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Animal and Plant Health Inspection Service, USDA.
Final rule.
We are amending the regulations regarding the recognition of regions to establish procedures that we will follow when a region that we recognize as free of an animal disease experiences an outbreak of that disease. The procedures include steps we will take to prevent the introduction of disease from that region and steps we will take to further assess the region's animal health status. The procedures will allow for timely reinstatement of the region's disease-free status if supported by the reassessment.
June 9, 2004.
Dr. Gary Colgrove, Director, National Center for Import and Export, VS, APHIS, 4700 River Road Unit 38, Riverdale, MD 20737-1231; (301) 734-4356.
The regulations in 9 CFR part 92, “Importation of Animals and Animal Products; Procedures for Requesting Recognition of Regions” (referred to below as the regulations), set out the process by which a foreign government may request recognition of the animal health status of a region or approval to export animals or animal products to the United States from a region based on the disease risk associated with animals or animal products from that region. As provided in § 92.2, each request must include information about the region, including information on the authority, organization, and infrastructure of the veterinary services organization of the region; the extent to which movement of animals and animal products is controlled from regions of higher disease risk, and the level of biosecurity for such movements; livestock demographics and marketing practices in the region; diagnostic laboratory capabilities in the region; and the region's policies and infrastructure for animal disease control,
Recognition by the Animal and Plant Health Inspection Service (APHIS) of a region's animal health status makes exports of animals and animal products from that region subject to a certain set of import conditions, depending on that region's animal health status. These import conditions are intended to ensure that animals and animal products imported from the region will not introduce animal diseases into the United States.
While the regulations in part 92 have provided for what can be described as the original recognition of the animal disease status of a region with respect to a particular disease, they have not described the actions that we will take when a region that we already recognize as free of a disease experiences an outbreak of that disease, nor have they described a process by which the region's disease-free status may be restored following its eradication of the disease.
To address this need, on June 24, 2003, we published in the
We solicited comments concerning our proposal for 60 days ending August 25, 2003. We received 11 comments by that date. The comments were from representatives of domestic and foreign animal industry organizations, State veterinarians, a foreign government association, a representative of State government, and an individual. Most of the comments were generally supportive, although several asked for clarifications or minor adjustments to the proposed procedures. Three commenters did not appear to support the proposal. Their comments and the clarifications and adjustments requested by others are described below.
One commenter who opposed the proposal objected to the concept of regionalization, arguing that an area smaller than an entire country should not be accorded a separate disease status. He expressed the concern that disease could spread into a regionalized area through, among other means, the unauthorized movement of animals into that area.
We will not be making any changes to the final rule in response to these comments. International trade agreements entered into by the United States—specifically, the North American Free Trade Agreement and the World Trade Organization Agreement on Sanitary and Phytosanitary Measures—obligate APHIS to recognize regions, rather than only countries, for the purpose of regulating the importation of animals and animal products into the United States, and we have been doing so for several years. Our procedures for recognizing a region's disease status, including a region smaller than an entire country, are set out in § 92.2. We consider a number of factors, including the extent to which movement of animals and animal products is controlled and the level of biosecurity regarding such movements, the extent of an active disease control program and disease surveillance activities in the region, and the authority, organization, and infrastructure of the veterinary services organization in the region. We believe that an evaluation of these factors can justify recognition of a region smaller than an entire country, in accordance with part 92, and provide assurance that the region has the means to prevent the spread of disease into and from that region.
Another commenter who opposed the proposal maintained that reinstatement of the disease-free status of a region
We will not be making any changes to the final rule in response to these comments. We disagree with the commenter's assertion that reinstatement of disease-free status should be done in strict accordance with the existing regulations for original recognition of such status. We did not intend for the regulations in § 92.2 to apply in circumstances where an outbreak of a disease, or an increased incidence of disease, in a foreign region makes it necessary for the United States to take interim measures to protect its livestock from the foreign animal disease. In these cases, APHIS must take immediate action to prohibit or restrict imports from the region of concern. Such action may include publishing an interim rule to provide an appropriate basis for enforcing prohibitions or restrictions that may initially be announced administratively. An interim rule of this type is intended to be just that, an “interim” or “temporary” measure which would provide the immediate protection needed for animal health purposes. Such a rule gives APHIS an opportunity to evaluate the effectiveness of emergency response measures taken in the subject region to deal with the outbreak and to determine whether the outbreak is indeed a temporary situation or indicates a fundamental change in the region's disease status. If a region takes immediate and effective steps to control and stamp out the disease and satisfies any other requirements that it may be necessary to apply to that particular region, it should be promptly returned to its previous status.
The third commenter who opposed the proposed rule represented the European Commission (EC). This commenter stated that, in failing to recognize regionalization decisions made by the EC, the proposed rule was inconsistent with the Veterinary Equivalency Agreement between the EC and the United States concerning sanitary measures in the trade of live animals and animal products (Council Decision 98/258/EC).
We will not be making any changes to the final rule in response to this comment. Article 16 of the Veterinary Equivalency Agreement states, among other things, that, “Each Party shall implement the commitments and obligations arising from this Agreement in accordance with its laws and procedures.” APHIS’ customary regulatory procedures involve rulemakings such as this one. However, we are working to create mechanisms through rulemaking that will provide us with greater flexibility and reduce response time. This rulemaking is one example.
Several commenters suggested that our proposed procedures placed too much emphasis on the standards of the OIE, suggesting that OIE standards may not always reflect current science and may not be sufficient to protect U.S. livestock from disease. These commenters cited, in particular, the wording in both the preamble and rule text that said we intend to reassess the disease situation in a country “in accordance with OIE standards.” One commenter also cited our statement in the preamble that, “If a region takes immediate and effective steps to control and stamp out the disease, we believe the region's disease-free status should be restored as quickly as possible once the region has met OIE requirements.” That commenter noted that while OIE sets “standards,” those standards are not “requirements.”
We agree that OIE standards are not requirements, and we did not intend to imply that we would base our evaluation of a region's disease status solely on whether the region has satisfied the criteria contained in those standards. APHIS uses OIE's waiting period as a guideline; however, APHIS' evaluation of a region's disease status will be based not only on whether the region has met OIE standards for reinstatement of disease-free status, but also on consideration of all relevant information, including information obtained through public comments on both the initial interim rule and the notice of availability of our reassessment and information collected by or submitted to us through other means. We have modified § 92.4 (b)(1) in this final rule to clarify that all these factors will be taken into account when we conduct such evaluations.
Two commenters cautioned that we should not rush the process of reinstating a region's disease-free status. We agree that the process should not be rushed; however, we will not be making any changes to the final rule as a result of these comments, since we continue to believe that the procedures originally contained in proposed § 92.4 will give us additional flexibility in evaluating a region's disease status without reducing the thoroughness of the evaluation process.
Some commenters suggested that the list of possible actions to be taken after the reassessment of a region's disease status should include a provision allowing APHIS to modify the scope of products affected by the initial interim rule. We believe that the proposed rule did include such a provision. Proposed § 92.4(c) listed three possible actions that APHIS may take following a reassessment: (1) Publish a final rule that reinstates the disease-free status of the region, or a portion of the region, covered by the interim rule; (2) publish an affirmation of the interim rule that imposed prohibitions or restrictions on the imports of animals and animal products from that region; or (3) publish another document in the
One commenter questioned how APHIS will address regions that have a cycle of disease outbreaks. APHIS will carefully consider a pattern of disease outbreaks as we conduct our reassessment. A cycle of disease outbreaks may indicate that the region does not have the safeguards or resources to prevent future outbreaks. Under no circumstances will we reestablish a region's disease-free status when we believe that our reassessment does not support such a decision.
Therefore, for the reasons given in the proposed rule and in this document, we are adopting the proposed rule as a final rule, 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.
Below is a summary of the economic analysis for this final rule. The economic analysis provides a cost-benefit analysis and an analysis of the potential economic effects on small entities as required by the Regulatory Flexibility Act. A copy of the full economic analysis may be obtained by contacting the person listed under
This final rule establishes procedures that we will follow when a region that we recognize as free of a disease experiences an outbreak of that disease. The procedures include steps we will take to prevent the introduction of disease from that region and steps we will take to further assess the region's animal health status. The procedures will allow for a more timely reinstatement of the disease-free status of a region, or portion of a region, if supported by the reassessment.
As in the past, if a region that we recognize as free of a specified animal disease experiences an outbreak of that disease, we will take immediate action to prohibit or restrict imports of animals and animal products from that region to protect U.S. livestock. Restrictions and/or prohibitions may at first be announced administratively but are generally followed by an interim rule.
Previously, following the close of the comment period on the interim rule, we would publish an affirmation of the interim rule. Then, in order to restore the region's previous disease-free status, we would begin a new rulemaking with the publication of a proposed rule. After considering any comments we received during the comment period for the proposed rule, we would publish a final rule.
Under our new procedures, we will not proceed directly to an affirmation of the interim rule following the close of the comment period. As part of the reassessment process, we will consider all public comments we receive on the interim rule, as well as any additional information relevant to a decision to change the disease status of the region, including information collected by or submitted to us. Additionally, we will reassess the disease status of the region in the context of the standards of the OIE to determine whether it is necessary to continue the interim prohibitions or restrictions. Prior to taking any action to relieve or finalize prohibitions or restrictions imposed by the interim rule, we will make information regarding our reassessment of the region's disease status available to the public for comment. We will announce the availability of this information by publishing a notice in the
• A final rule that reinstates the disease-free status of the region, or a portion of the region covered by the interim rule;
• An affirmation of the interim rule that imposed prohibitions or restrictions on imports of animals and animal products from that region;
• Another document in the
The new procedures will improve the process for reinstating a region's disease-free status while still providing an effective opportunity for public participation.
U.S. entities potentially affected by these changes in procedures include importers, domestic producers, and consumers. In particular, importers and consumers may benefit because imports affected by the change in disease status may resume earlier than under previous procedures. Domestic producers of close substitutes of the imports, who may have benefitted during the period when imports were restricted or prohibited, may incur losses associated with a resumption of imports that could occur sooner than under past procedures. Because import levels of potentially regulated commodities from the majority of disease-free foreign regions are low relative to total imports and domestic availability of those commodities, the new procedures will likely not lead to significant benefits or losses. This projection is based on a review of economic analyses we prepared for recent rulemakings revoking and reinstating the disease-free status of foreign regions, as well as an analysis of the types and volumes of commodities currently imported from regions we currently recognize as free of specified diseases. We believe that the main benefits associated with the change in procedures will be improved trade relations between the United States and foreign governments.
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 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 inconsistent 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.
This final rule contains no information collection or recordkeeping requirements under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501
Animal diseases, Imports, Livestock, Poultry and poultry products, Region, Reporting and recordkeeping requirements.
7 U.S.C. 1622 and 8301-8317; 21 U.S.C. 136 and 136a; 31 U.S.C. 9701; 7 CFR 2.22, 2.80, and 371.4.
This section applies to regions that are designated in this subchapter D as free of a specific animal disease and then experience an outbreak of that disease.
(a)
(b)
(2) Prior to taking any action to relieve or finalize prohibitions or restrictions imposed by the interim rule, APHIS will make information regarding its reassessment of the region's disease status available to the public for comment. APHIS will announce the availability of this information by publishing a notice in the
(c)
(1) Publish a final rule that reinstates the disease-free status of the region, or a portion of the region, covered by the interim rule;
(2) Publish an affirmation of the interim rule that imposed prohibitions or restrictions on the imports of animals and animal products from that region; or
(3) Publish another document in the
Animal and Plant Health Inspection Service, USDA.
Interim rule and request for comments.
We are amending the regulations concerning the importation of animals and animal products to prohibit or restrict the importation of birds, poultry, and unprocessed bird and poultry products from regions that have reported the presence of the H5N1 subtype of highly pathogenic avian influenza and to establish additional permit and quarantine requirements for U.S. origin pet birds and performing or theatrical birds and poultry returning to the United States. This action is necessary to prevent the introduction of highly pathogenic avian influenza subtype H5N1 into the United States.
This interim rule was effective February 4, 2004. We will consider all comments that we receive on or before July 9, 2004.
You may submit comments by any of the following methods:
• Postal Mail/Commercial Delivery: Please send four copies of your comment (an original and three copies) to Docket No. 04-011-1, Regulatory Analysis and Development, PPD, APHIS, Station 3C71, 4700 River Road Unit 118, Riverdale, MD 20737-1238. Please state that your comment refers to Docket No. 04-011-1.
• E-mail: Address your comment to
• Agency Web site: Go to
Federal eRulemaking Portal: Go to
For information concerning bird and poultry products, contact Dr. Tracye Butler, Senior Staff Veterinarian, National Center for Import and Export, VS, APHIS, 4700 River Road Unit 40, Riverdale, MD 20737-1231; (301) 734-3277.
For information concerning live birds and poultry, contact Dr. Julie Garnier, Staff Veterinarian, National Center for Import and Export, VS, APHIS, 4700 River Road Unit 39, Riverdale, MD 20737-1231; (301) 734-8364.
The Animal and Plant Health Inspection Service (APHIS) of the United States Department of Agriculture (USDA or the Department) regulates the importation of animals and animal products into the United States to guard against the introduction of animal diseases. The regulations in 9 CFR parts 93, 94, and 95 (referred to below as the regulations) govern the importation of certain animals, birds, poultry, meat, other animal products and byproducts, hay, and straw into the United States in order to prevent the introduction of various animal diseases, including avian influenza (AI).
There are many strains of AI virus that can cause varying degrees of clinical illness in poultry. AI viruses can infect chickens, turkeys, pheasants, quail, ducks, geese, and guinea fowl, as well as a wide variety of other birds. Migratory waterfowl have proved to be the natural reservoir for this disease.
AI viruses can be classified into low pathogenic (LPAI) and highly pathogenic (HPAI) forms based on the
HPAI is an extremely infectious and fatal form of the disease for chickens. HPAI can strike poultry quickly without any infection warning signs and, once established, the disease can spread rapidly from flock to flock. HPAI viruses can also be spread by manure, equipment, vehicles, egg flats, crates, and people whose clothing or shoes have come in contact with the virus. HPAI viruses can remain viable at moderate temperatures for long periods in the environment and can survive indefinitely in frozen material. One gram of contaminated manure can contain enough virus to infect 1 million birds.
In some instances, strains of HPAI viruses can be infectious to people. Human infections with AI viruses under natural conditions have been documented in recent years. Since December 2003, a growing number of Southeast Asian countries have reported outbreaks of HPAI responsible for the deaths of millions of birds and at least 22 humans.
The rapid spread of HPAI, with outbreaks occurring at the same time in a number of regions, is historically unprecedented and of growing concern for human and animal health. According to the World Health Organization, particularly alarming is the HPAI strain of most of these outbreaks, H5N1, which has crossed the species barrier and caused severe disease, with high mortality, in humans. The current avian flu outbreaks have caused significant concern among health authorities worldwide because of the potential for the human and avian flu viruses to swap genes, creating a new virus to which humans would have little or no immunity.
The regulations in § 94.6 restrict the importation of carcasses, parts or products of carcasses, and eggs (other than hatching eggs) of poultry, game birds, or other birds from regions where exotic Newcastle disease (END) exists. These regulations have thus far been effective in preventing the introduction of HPAI in the United States because all regions experiencing outbreaks of HPAI are also regions where END exists. However, because of the increasing threat of introducing HPAI into the United States, we have determined that stronger safeguards are needed. These additional safeguards will apply to all unprocessed bird and poultry carcasses, parts, and products from regions where HPAI subtype H5N1 is considered to exist, as well as to U.S. origin pet birds and performing or theatrical birds and poultry returning to the United States.
The current regulations in § 93.101 call for a 30-day home quarantine for all U.S. origin pet birds returning to the United States after spending more than 60 days in another region and a veterinary inspection at the port of entry for such birds returning to the United States after spending not more than 60 days in another country. We are amending the regulations to require all pet birds of U.S. origin that have spent any length of time in a region reporting incidents of HPAI subtype H5N1 to undergo a 30-day quarantine at a USDA facility.
In addition, we are requiring that all U.S. origin pet birds returning from any region, except for such birds returning from Canada and Mexico through a land border port, be accompanied by an import permit issued by APHIS. We are not requiring an import permit for U.S. origin pet birds returning to the United States from Canada or Mexico through a land border port because those birds are subject to an examination by an APHIS veterinarian at the border prior to entry; pet birds returning to the United States through an airport are not examined until they have already entered the country. This import permit will ensure that U.S. origin pet birds undergo appropriate examinations, including being swabbed for HPAI and END, before entering the United States. We believe these measures will mitigate the risk of introducing HPAI subtype H5N1 into the United States.
Currently, the regulations in part 93 do not require U.S. origin performing and theatrical birds and poultry to have an import permit or undergo a quarantine when returning to the United States from another region. For the same reasons discussed above with respect to pet birds, we are amending the regulations in §§ 93.101 and 93.201 to require U.S. origin performing or theatrical birds or poultry returning from any region, except for such birds or poultry returning from Canada or Mexico through a land border port, to be accompanied by an import permit. We are also adding requirements that U.S. origin performing and theatrical poultry returning from regions where HPAI subtype H5N1 exists undergo a 30-day quarantine at a USDA facility. U.S. origin performing or theatrical birds or poultry returning from all other regions, except Canada or Mexico, must undergo a 30-day home quarantine.
Section 94.6 of the regulations contains provisions for the importation of unprocessed bird and poultry carcasses, parts, and products into the United States from regions where END exists. As noted previously, our regulations in § 94.6 have been effective at preventing the introduction of HPAI in the United States because the regions from which bird and poultry parts and products are experiencing outbreaks of HPAI subtype H5N1 are all regions restricted because of END. Given the concerns described above, we believe it is necessary to establish regulations in part 94 that specifically address HPAI subtype H5N1. Therefore, we are amending the regulations to restrict the importation of unprocessed bird and poultry carcasses, parts, and products from regions where HPAI subtype H5N1 is considered to exist.
These new restrictions, which we are adding as a new § 94.6(e), provide that bird and poultry carcasses, parts, and products, may be imported from a region where HPAI subtype H5N1 exists only if accompanied by an import permit, and only if they are research or educational materials destined for a museum, educational institution, or research institution. These types of imports are generally in smaller quantities and are destined for controlled environments, thus they pose a lower risk of introducing HPAI subtype H5N1 in the United States. We have also added, as a new § 94.6(d), a list of regions (Cambodia, China, Indonesia, Japan, Laos, South Korea, Thailand, and Vietnam) where HPAI subtype H5N1 is considered to exist.
The regulations in part 95, in their present form, do not explicitly set out restrictions on imports into the United States of feathers, birds' nests, and bird trophies from regions with avian diseases like END and HPAI. We have allowed the entry of these articles, however, if, among other requirements, the articles are sent directly to an establishment approved by APHIS for the receipt and handling of restricted imported animal byproducts. We believe it is now necessary to explicitly restrict the entry of these types of products into the United States when they pose a risk of introducing HPAI subtype H5N1. Therefore, we are adding a new § 95.30 “Restrictions on entry of products and byproducts of poultry, game birds, or other birds from regions where highly pathogenic avian
These measures are considered necessary because of the present risk of HPAI subtype H5N1 introduction into the United States, but are not necessarily intended to be permanent. The restrictions and prohibitions described in this interim rule will be reviewed as more information on the situation in Southeast Asia becomes available. At a time when the Administrator deems that the affected regions have implemented proper procedures to control the spread of the disease and no longer pose a disease threat, we will reconsider the need for these restrictions.
Emergency action is necessary to prevent the introduction of HPAI subtype H5N1 into the United States. Under these circumstances, the Administrator has determined that prior notice and opportunity for public comment are contrary to the public interest and that there is good cause under 5 U.S.C. 553 for making this action effective less than 30 days after publication in the
We will consider comments we receive during the comment period for this interim rule (see
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.
We are amending the regulations to prohibit or restrict the importation of unprocessed bird, poultry, and bird and poultry products from regions that have reported the presence of HPAI subtype H5N1 and to establish procedures for issuing permits and quarantining U.S. origin pet birds and performing or theatrical birds and poultry returning to the United States from these regions. This action is in response to recent numerous outbreaks of the disease in Southeast Asia. This action is necessary to prevent the introduction of HPAI subtype H5N1 into the United States.
Eight South and Southeast Asian countries have reported outbreaks of HPAI subtype H5N1. HPAI subtype H5NI is of particular importance due to the threat posed to humans. However, the introduction of any strain of HPAI causes immediate and devastating losses to the poultry industry. During the 1983-84 HPAI subtype H2N2 outbreak in the United States, more than 17 million birds were destroyed, at a cost of nearly $65 million to the U.S. poultry industry. To understand the importance of restricting poultry imports, and thereby the necessity of protecting against introduction of H5N1 into the United States, we must consider the value of the poultry industry. Also, we will consider the potential impact to small entities in the case of H5N1 introduction.
U.S. import restrictions have limited imports of live poultry and poultry meat from the regions affected by this interim rule due to the presence of END in those regions. As a result, there have been no imports of these commodities from those regions in recent years during that time; therefore, there will be no discernable effect on domestic prices of poultry products due to this interim rule. The United States received no imports of unprocessed carcasses of poultry or poultry meat from the affected regions in 2002, and feathers account for the most valuable avian imports from these regions. Whereas the regulations have previously provided for the importation from regions affected with END of unprocessed carcasses and products of birds or poultry under certain conditions, this interim rule severely restricts these types of imports due to HPAI subtype H5N1.
Unprocessed down feathers have been the primary commercially traded import from regions that have reported the presence of HPAI subtype H5N1. In 2003, 127.2 metric tons of feathers were imported from the affected regions, with a cash value of $499,000.
According to the Small Business Association (SBA), domestic companies engaging in feathers wholesaling come under the NAICS code 422590. SBA defines a small feather wholesaling entity as one that employs no more than 100 persons.
Other unprocessed poultry products of interest are bird nests and bird trophies. Unfortunately, as these are not commercially traded products, statistics regarding the number and value of these imports into the United States are unavailable. In any case, we do not believe the cost of restricting these imports will outweigh the benefit of preventing disease introduction.
To get an idea of the expected benefits of this interim rule, we must consider the domestic losses that could result in the introduction of HPAI subtype H5N1. The U.S. poultry industry is largely a vertically integrated industry with the majority of producers working under contract and producing poultry for a few big corporations. These entities would capture the benefits resulting from the prevention of an HPAI subtype H5N1 outbreak.
The United States is the world's largest producer of poultry meat and the second-largest egg producer behind China. Preliminary reports for the year 2002 indicate there were a total of 438.9 million chickens, excluding commercial broilers, with a cash value of $1.045 billion. In 2001, broiler production, raised for the purpose of meat production, totaled 8.389 billion broilers, with a combined live weight of more than 42.4 billion pounds. The value of broiler production for that year was more than $16.6 billion. In 2001, 85.7 billion eggs were produced with a cash value of $4.4 billion.
Prompted by outbreaks of HPAI subtype H5N1 that have been responsible for the deaths of millions of birds and at least 22 humans in South and Southeast Asia, this interim rule will severely restrict imports of unprocessed poultry and poultry products from regions reporting incidents of HPAI subtype H5N1. As a result of complying with END restrictions, there have been no imports of live poultry, poultry meat, or eggs from these regions in the past 4 years. The only commercially traded import that will be primarily affected by this interim rule, assuming no further spread of the disease to regions outside South Asia, is unprocessed down feathers. The benefits resulting from avoided HPAI subtype H5N1 introduction into the United States as a result of this interim rule far outweigh any costs imposed. In addition, we do not expect any resulting costs experienced by small entities to be significant.
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 rule has been reviewed under Executive Order 12988, Civil Justice Reform. This rule: (1) Preempts all State and local laws and regulations that are inconsistent with this rule; (2) has retroactive effect to February 4, 2004; and (3) does not require administrative proceedings before parties may file suit in court challenging this rule.
In accordance with section 3507(j) of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501
We plan to request continuation of that approval for 3 years. Please send written comments on the 3-year approval request to the following addresses: (1) Office of Information and Regulatory Affairs, OMB, Attention: Desk Officer for APHIS, Washington, DC 20503; and (2) Docket No. 04-011-1, Regulatory Analysis and Development, PPD, APHIS, Station 3C71, 4700 River Road Unit 118, Riverdale, MD 20737-1238. Please state that your comments refer to Docket No. 04-011-1 and send your comments within 60 days of publication of this rule.
We are amending the regulations concerning the importation of animals and animal products to prohibit or restrict the importation of birds, poultry, and unprocessed bird and poultry products from regions that have reported the presence of HPAI subtype H5N1 and to establish additional permit and quarantine requirements for U.S. origin pet birds and performing or theatrical birds and poultry returning to the United States. This action is necessary to prevent the introduction of HPAI subtype H5N1 into the United States.
Implementing these additional import requirements will necessitate the use of several information collection activities, including an Application to Import Controlled Materials or Transport Organisms and Vectors (VS Form 16-3), an Application for Import or In-Transit Permit (VS Form 17-129), a notarized declaration or affirmation, and a Pet Bird Owner Agreement (VS Form 17-8).
We are soliciting comments from the public (as well as affected agencies) concerning our information collection and recordkeeping requirements. These comments will help us:
(1) Evaluate whether the information collection is necessary for the proper performance of our agency's functions, including whether the information will have practical utility;
(2) Evaluate the accuracy of our estimate of the burden of the information collection, including the validity of the methodology and assumptions used;
(3) Enhance the quality, utility, and clarity of the information to be collected; and
(4) Minimize the burden of the information collection on those who are to respond (such as through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology;
(Due to averaging, the total annual burden hours may not equal the product of the annual number of responses multiplied by the reporting burden per response.)
Copies of this information collection can be obtained from Mrs. Celeste Sickles, APHIS' Information Collection Coordinator, at (301) 734-7477.
The Animal and Plant Health Inspection Service is committed to compliance with the Government Paperwork Elimination Act (GPEA), which requires Government agencies in general to provide the public the option of submitting information or transacting business electronically to the maximum extent possible. For information pertinent to GPEA compliance related to this interim rule, please contact Mrs. Celeste Sickles, APHIS' Information Collection Coordinator, at (301) 734-7477.
Animal diseases, Imports, Livestock, Poultry and poultry products, Quarantine, Reporting and recordkeeping requirements.
Animal diseases, Imports, Livestock, Meat and meat products, Milk, Poultry and poultry products, Reporting and recordkeeping requirements.
Animal feeds, Hay, Imports, Livestock, Reporting and recordkeeping requirements, Straw, Transportation.
7 U.S.C. 1622 and 8301-8317; 21 U.S.C. 136 and 136a; 31 U.S.C. 9701; 7 CFR 2.22, 2.80, and 371.4.
(c) * * *
(2)(i) Except for pet birds that have been in any region where highly pathogenic avian influenza subtype H5N1 exists, which are subject to the provisions of paragraph (c)(3) of this section, pet birds of United States origin that have not been outside the country for more than 60 days may be offered for entry under the provisions of paragraph (c)(1) of this section if:
(A) The pet birds are accompanied by an import permit issued by APHIS:
(B) The birds are also accompanied by a United States veterinary health certificate issued prior to the departure of the birds from the United States and the certificate shows the number from the leg band, tattoo, or microchip affixed to the birds prior to departure; and
(C) During port of entry veterinary inspection it is determined that the number from the leg band, tattoo, or microchip on the bird is the same as the one listed on the health certificate.
(ii) Except for pet birds that have been in any region where highly pathogenic avian influenza subtype H5N1 exists, which are subject to the provisions of paragraph (c)(3) of this section, pet birds of United States origin that have been outside the country for more than 60 days may be imported by their owner if:
(A) The pet birds are accompanied by an import permit issued by APHIS:
(B) The pet birds are found upon port of entry veterinary inspection to be free of poultry diseases; and
(C) The pet birds are accompanied by a United States veterinary health certificate issued prior to the departure of the birds from the United States and the certificate shows the number from the leg band, tattoo, or microchip affixed to the birds prior to departure; and
(D) During port of entry veterinary inspection it is determined that the number from the leg band, tattoo, or microchip on the bird is the same as the one listed on the health certificate; and
(E) The owner importing the pet birds signs and furnishes to the Administrator the following:
(
(
(
(
(3) Any pet birds of United States origin that have been in any region listed in § 94.6(d) of this subchapter as a region where highly pathogenic avian influenza subtype H5N1 exists, regardless of the length of time such birds have been outside of the United States, may only be imported through the port of Los Angeles, CA, Miami, FL, or New York, NY, and only under the following conditions:
(i) The birds meet the requirements of paragraphs (c)(2)(ii)(A) through (D) of this section; and
(ii) The birds are quarantined for a minimum of 30 days, and for such longer period as may be required by the Administrator in any specific case, at a USDA quarantine facility in accordance with § 93.106.
(f)
(i) The birds are found upon port of entry veterinary inspection to be free of avian diseases; and
(ii) The birds are accompanied by a United States veterinary health certificate issued prior to the departure of the birds from the United States and the certificate shows the number from the leg band, tattoo, or microchip affixed to the birds prior to departure; and
(iii) During port of entry veterinary inspection it is determined that the number from the leg band, tattoo, or microchip on the birds is the same as the one listed on the health certificate.
(2) Except for performing or theatrical birds that have been in any region where highly pathogenic avian influenza subtype H5N1 exists, which are subject to the provisions of paragraph (f)(3) of this section, performing or theatrical poultry of United States origin that have been outside the United States in a region other than Canada or Mexico may be imported if:
(i) The birds meet the requirements of paragraphs (f)(1)(i) through (iii) of this section; and
(ii) The birds are accompanied by an import permit issued by APHIS; and
(iii) The owner importing the birds signs and furnishes to the Administrator the following:
(A) A notarized declaration under oath or affirmation (or a statement signed by the owner and witnessed by a Department inspector) stating that the birds have not been in contact with other birds while out of the region (for example, association with other avian species at exhibitions or at aviaries); and
(B) An agreement on VS Form 17-8, obtainable from a Federal inspector at the port of entry, stating:
(
(
(3) Any performing or theatrical birds of United States origin that have been in any region listed in § 94.6(d) of this subchapter as a region where highly pathogenic avian influenza subtype H5N1 exists may only be imported through the port of Los Angeles, CA, Miami, FL, or New York, NY, and only under the following conditions:
(i) The birds meet the requirements of paragraphs (f)(1)(i) through (iii) of this section; and
(ii) The birds are accompanied by an import permit issued by APHIS; and
(iii) The birds are quarantined for a minimum of 30 days, and for such longer period as may be required by the Administrator in any specific case, at a quarantine facility maintained by APHIS in accordance with paragraphs (c)(3)(ii) through (c)(3)(iv) of this section.
(c)
(i) The poultry are found upon port of entry veterinary inspection to be free of poultry diseases; and
(ii) The poultry are accompanied by a United States veterinary health certificate issued prior to the departure of the poultry from the United States and the certificate shows the number from the leg band, tattoo, or microchip affixed to the poultry prior to departure; and
(iii) During port of entry veterinary inspection it is determined that the number from the leg band, tattoo, or microchip on the poultry is the same as the one listed on the health certificate.
(2) Except for performing or theatrical poultry that have been in any region where highly pathogenic avian influenza subtype H5N1 exists, which are subject to the provisions of paragraph (c)(3) of this section, performing or theatrical poultry of United States origin that have been outside the United States in a region other than Canada or Mexico may be imported if:
(i) The poultry meet the requirements of paragraphs (c)(1)(i) through (iii) of this section; and
(ii) The poultry are accompanied by an import permit issued by APHIS; and
(iii) The owner importing the poultry signs and furnishes to the Administrator the following:
(A) A notarized declaration under oath or affirmation (or a statement signed by the owner and witnessed by a Department inspector) stating that the poultry have not been in contact with poultry or other birds while out of the region (for example, association with other avian species at exhibitions or at aviaries); and
(B) An agreement on VS Form 17-8, obtainable from a Federal inspector at the port of entry, stating:
(
(
(3) Any performing or theatrical poultry of United States origin that have been in any region listed in § 94.6(d) of this subchapter as a region where highly pathogenic avian influenza subtype H5N1 exists may only be imported through the port of Los Angeles, CA, Miami, FL, or New York, NY, and only under the following conditions:
(i) The poultry meet the requirements of paragraphs (c)(1)(i) through (iii) of this section; and
(ii) The poultry are accompanied by an import permit issued by APHIS; and
(iii) The poultry are quarantined for a minimum of 30 days, and for such longer period as may be required by the Administrator in any specific case, at a quarantine facility maintained by APHIS in accordance with §§ 93.209 and 93.210.
7 U.S.C. 450, 7701-7772, and 8301-8317; 21 U.S.C. 136 and 136a; 31 U.S.C. 9701; 7 CFR 2.22, 2.80, and 371.4.
(d) Highly pathogenic avian influenza (HPAI) subtype H5N1 is considered to exist in the following regions: Cambodia, China, Indonesia, Japan, Laos, South Korea, Thailand, and Vietnam.
(e)
7 U.S.C. 8301-8317; 21 U.S.C. 136 and 136a; 31 U.S.C. 9701; 7 CFR 2.22, 2.80, and 371.4.
(a) Products or byproducts, including feathers, birds' nests, and bird trophies, of poultry, game birds, or other birds may be imported from a region listed in § 94.6(d) of this subchapter as a region where HPAI subtype H5N1 exists only if the Administrator has determined that the importation can be made under conditions that will prevent the introduction of HPAI subtype H5N1 into the United States. The articles must be accompanied by a permit obtained from APHIS prior to the importation in accordance with paragraph (b) of this section, and they must be moved and handled as specified on the permit to prevent the introduction of HPAI subtype H5N1 into the United States.
(b) To apply for a permit, contact the Animal and Plant Health Inspection Service, Veterinary Services, National Center for Import and Export, 4700 River Road Unit 38, Riverdale, Maryland 20737-1231.
Board of Governors of the Federal Reserve System.
Final rule; technical amendment.
The Board of Governors is amending appendix A of Regulation CC to delete the reference to the San Antonio check processing office of the Federal Reserve Bank of Dallas and reassign the Federal Reserve routing symbols currently listed under that office to the head office of the Federal Reserve Bank of Dallas. These amendments reflect the restructuring of check processing operations within the Federal Reserve System.
The final rule will become effective on July 10, 2004.
Jack K. Walton II, Assistant Director (202/452-2660), or Joseph P. Baressi, Senior Financial Services Analyst (202/452-3959), Division of Reserve Bank Operations and Payment Systems; or Adrianne G. Threatt, Counsel (202/452-3554), Legal Division. For users of Telecommunications Devices for the Deaf (TDD) only, contact 202/263-4869.
Regulation CC establishes the maximum period a depositary bank may wait between receiving a deposit and making the deposited funds available for withdrawal.
Appendix A to Regulation CC contains a routing number guide that assists banks in identifying local and nonlocal banks and thereby determining the maximum permissible hold periods for most deposited checks. The appendix includes a list of each Federal Reserve check processing office and the first four digits of the routing number, known as the Federal Reserve routing symbol, of each bank that is served by that office. Banks whose Federal Reserve routing symbols are grouped under the same office are in the same check processing region and thus are local to one another.
As explained in detail in the Board's final rule published in the
The Board accordingly is amending the lists of routing symbols assigned to Eleventh District check processing offices to reflect the transfer of operations from San Antonio to Dallas and to assist banks in identifying local and nonlocal banks. These amendments are effective July 10, 2004, to coincide with the effective date of the underlying check processing changes. The Board is providing advance notice of these amendments to give affected banks ample time to make any needed processing changes. The advance notice will also enable affected banks to amend their availability schedules and related disclosures, if necessary, and provide their customers with notice of these changes.
The Board has not followed the provisions of 5 U.S.C. 553(b) relating to notice and public participation in connection with the adoption of this final rule. The revisions to the appendices are technical in nature, and the routing symbol revisions are required by the statutory and regulatory definitions of “check-processing region.” Because there is no substantive change on which to seek public input, the Board has determined that the section 553(b) notice and comment procedures are unnecessary.
In accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. 3506; 5 CFR 1320 Appendix A.1), the Board has reviewed the final rule under authority delegated to the Board by the Office of Management and Budget. This technical amendment to appendix A of Regulation CC will delete the reference to the San Antonio check processing office of the Federal Reserve Bank of Dallas and reassign the routing symbols listed under that office to the head office of the Federal Reserve Bank of Dallas. The depository institutions that are located in the affected check processing regions and that include the routing numbers in their disclosure statements would be required to notify customers of the resulting change in availability under § 229.18(e). However, because all paperwork collection procedures associated with Regulation CC already are in place, the Board anticipates that no additional burden will be imposed as a result of this rulemaking.
Banks, Banking, Reporting and recordkeeping requirements.
12 U.S.C. 4001
By order of the Board of Governors of the Federal Reserve System, acting through the Secretary of the Board under delegated authority, May 4, 2004.
Food and Drug Administration, HHS.
Final rule.
The Food and Drug Administration (FDA) is amending the animal drug regulations to reflect approval of a new animal drug application (NADA) filed by Intervet, Inc. The NADA provides for the veterinary prescription use of an injectable suspension of zinc insulin of porcine origin for the reduction of hyperglycemia and hyperglycemia-associated clinical signs in dogs with diabetes mellitus.
This rule is effective May 10, 2004.
Melanie R. Berson, Center for Veterinary Medicine (HFV-110), Food and Drug Administration, 7500 Standish Pl., Rockville, MD 20855, 301-827-7540, e-mail:
Intervet, Inc., P.O. Box 318, 405 State St., Millsboro, DE 19966, filed NADA 141-236 for the veterinary prescription use of VETSULIN (porcine zinc insulin) Suspension for the reduction of hyperglycemia and hyperglycemia-associated clinical signs in dogs with diabetes mellitus. The NADA is approved as of April 1, 2004, and the regulations are amended in part 522 (21 CFR part 522) by adding § 522.1160 to reflect the approval. The basis of approval is discussed in the freedom of information summary.
In accordance with the freedom of information provisions of 21 CFR part 20 and 21 CFR 514.11(e)(2)(ii), a summary of safety and effectiveness data and information submitted to support approval of this application may be seen in the Division of Dockets Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852, between 9 a.m. and 4 p.m., Monday through Friday.
Under section 512(c)(2)(F)(i) of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 360b(c)(2)(F)(i)), this approval qualifies for 5 years of marketing exclusivity beginning April 1, 2004.
The agency has determined under 21 CFR 25.33(d)(1) that this action is of a type that does not individually or cumulatively have a significant effect on the human environment. Therefore, neither an environmental assessment nor an environmental impact statement is required.
This rule does not meet the definition of “rule” in 5 U.S.C. 804(3)(A) because it is a rule of “particular applicability.” Therefore, it is not subject to the congressional review requirements in 5 U.S.C. 801-808.
Animal drugs.
21 U.S.C. 360b.
(a)
(b)
(c)
(ii) Adjust the once-daily dose described in paragraph (c)(1)(i) of this section at appropriate intervals based on clinical signs, urinalysis results, and glucose curve/spot check values until adequate glycemic control has been attained. Twice-daily therapy should be initiated if the duration of insulin action is determined to be inadequate. If twice-daily treatment is initiated, the two doses should be 25 percent less than the once daily dose required to attain an acceptable nadir.
(2)
(3)
Federal Highway Administration (FHWA), (DOT).
Interim final rule; request for comments.
This interim final rule amends the rule that prescribes the use of the 2003 edition of the Manual on Uniform Traffic Control Devices (MUTCD) to permit the use of Specific Service and General Service signing to assist motorists in locating licensed 24-hour pharmacy services open to the public. These changes are designated as Revision No. 1 to the 2003 Edition of the MUTCD.
Mail or hand deliver comments to the U.S. Department of Transportation, Dockets Management Facility, Room PL-401, 400 Seventh Street, SW., Washington, DC 20590, or submit comments electronically at
Mr. Ernest Huckaby, Office of Transportation Operations (HOTO-1), (202) 366-9064, or Mr. Raymond Cuprill, Office of the Chief Counsel (202) 366-0791, Federal Highway Administration, 400 Seventh Street, SW., Washington, D.C. 20590-0001. Office hours are from 7:45 a.m. to 4:15 p.m., e. t., Monday through Friday, except Federal holidays.
You may submit or retrieve comments online through the Document Management System (DMS) at:
An electronic copy of this document may also be downloaded by using a computer, modem and suitable communications software from the Government Printing Office's Electronic Bulletin Board Service at (202) 512-1661. Internet users may also reach the Office of the Federal Register's Home page at:
On January 23, 2004, the President signed, thereby enacting into law, the Consolidated Appropriations Act, Fiscal Year 2004 (the Act), Public Law 108-199, 118 Stat. 3. Division F of the Act
1. In Section 2D.45 General Service Signs (D9 Series), the FHWA revises the second STANDARD statement to remove the list of legends for various services. This list was incomplete in that it did not include some of the types of services that had been previously added to the MUTCD for General Service signing. Rather than adding Pharmacy and other services that had been missing from the list, the FHWA amends the sentence to be general in nature, applying to all types of General Service signs, including Pharmacy signs. The text of the second standard statement will now state: “General Service signs, if used at intersections, shall be accompanied by a directional message.”
Consistent with the requirements of the Act, the FHWA revises the third STANDARD statement to add the requirement that the Pharmacy (D9-20) sign shall only be used to indicate the availability of a pharmacy that is open, with a State-licensed pharmacist on duty, 24 hours per day, seven days per week and that is located within 3 miles of an interchange on the Federal-aid system. The D9-20 sign shall have a 24 HR (D9-20) plaque mounted below it. The Act refers to “licensed pharmacy services.” The States license pharmacy service by requiring pharmacists to be licensed, according to criteria set by each State, in order to practice the profession of pharmacy and dispense prescription medicines to the public. Retail pharmacies employ State-licensed pharmacists to perform this service in their stores
The FHWA also revises Figure 2D-11 General Service Signs to add a new D9-20 Pharmacy symbol sign, with a white “Rx” symbol and border on a blue background, and a D9-20a plaque having white “24 HR” text and border on a blue background. The “Rx” symbol is widely used in commercial signing and other media to denote medicinal prescriptions available at pharmacies. The textbook “Remington's Pharmaceutical Sciences” states: “The Rx symbol generally is understood to be a contraction of the Latin verb recipe, meaning ‘take thou’ or ‘you take.’ Some historians believe this symbol originated from the sign of Jupiter, employed by the ancients in requesting aid in healing. Gradual distortion through the years has led to the symbol currently used. Today, the symbol is representative of both the prescription and pharmacy itself.”
2. In Section 2E.51 General Service Signs, the FHWA revises the first guidance statement to renumber existing item F to become item G and to insert as new item F the recommended criteria for availability of pharmacy services shown on General Service signs. The criteria for pharmacy services are that the pharmacy must be open, with a State-licensed pharmacist on duty, 24 hours per day, seven days per week and located within 4.8 km (3 miles) of an interchange on the Federal-aid system. These criteria correspond to the requirements of the Act.
Also, in the third STANDARD statement, the FHWA adds Pharmacy to the list of services for which one or more legends shall be carried on General Service signs.
The FHWA amends the fourth option statement to allow the Pharmacy (D9-20) symbol as well as the Tourist Information (D9-18) symbol to be substituted on symbolic (D9-18) General Service signs in the last position. Further, the FHWA changes the parenthetical phrase “(four services)” in the first sentence of this paragraph to “(four or six services)” for clarity and to correctly reflect that six services may be displayed on symbolic General Service signs, as stated previously in Section 2E.51.
3. The FHWA revises Figure 2E-42 Examples of General Service Signs (with Exit Numbering) to include additional examples of the D9-18a and D9-18 General Service signs that illustrate the use of the pharmacy word legend and pharmacy symbol on these signs.
4. In Section 2F.01 Eligibility, the FHWA adds to the second standard a statement that distances to eligible 24-hour pharmacies shall not exceed 4.8 km (3 miles) in either direction of an interchange on the Federal-aid system.
In addition, the FHWA amends the third guidance statement to indicate that distances to eligible services other than pharmacies should not exceed 4.8 km (3 miles) in either direction.
The FHWA also amends the second option statement to specifically exempt pharmacies from the provision that allows the 4.8 km (3 mi) limit to be extended for eligibility for Specific Service signs when eligible facilities are not available within the 4.8 km (3 mi) limit or choose not to participate.
Finally, the FHWA adds a standard statement at the end of the section listing criteria that must be met for a pharmacy to qualify for Specific Service signing if a jurisdiction elects to provide Specific Service signing for pharmacies. Both of the following criteria must be met: (1) The pharmacy shall be continuously operated 24 hours per day, seven days per week, and shall have a State-licensed pharmacist on duty at all times, and (2) the pharmacy shall be located within 4.8 km (3 miles) of an interchange on the Federal-aid system. These criteria correspond to those specified in the Act.
5. In Section 2F.02 Application, the FHWA amends the standard statement to include 24-hour pharmacy as the first service type that is to be displayed in successive Specific Service signs in the direction of traffic. In this same standard, the FHWA adds the word message 24-hour pharmacy to the list of word messages on Specific Service signs.
In the option statement, the FHWA also removes the list of various specific services that may be signed on any class of highway. This list was incomplete in that it did not include some of the types of services that had been previously added to the MUTCD for Specific
6. In Section 2H.04 Regulatory and Warning Signs, in Table 2H-1 Category Chart for Symbols, the FHWA amends the Motorist Services series to add the 24-Hour Pharmacy symbol as new number RM-230. With the establishment of the new symbol for pharmacy in the D9 series of symbols for General Service signing, the FHWA believes it is appropriate for consistency and uniformity to provide for this symbol to be used in Recreational and Cultural Interest Area signing as well. The other D9 series symbols are already included in Chapter 2H for use with Recreational and Cultural Interest Area signing.
7. In Section 2H.08 Placement of Recreational and Cultural Interest Area Symbol Signs, the FHWA amends Figure 2H-5 Recreational and Cultural Interest Area Symbol Signs (Sheet 2 of 5) to include the 24-hour Pharmacy (RM-230) symbol sign. This sign consists of a white “Rx” symbol and border on a square brown background with an integral supplemental plaque having a white “24 HR” legend and border on a rectangular brown background.
Under the Administrative Procedure Act (APA) (5 U.S.C. 553(b)), an agency may waive the normal notice and comment requirements if it finds, for good cause, that they are impracticable, unnecessary, or contrary to the public interest. The FHWA has determined that prior notice and comment is impracticable and contrary to the public interest due to a congressionally imposed deadline. Section 124, Division F, Title I Consolidated Appropriations Act, 2004, requires that the Secretary of Transportation amend the MUTCD within 6 months of the effective date of the Act to include a provision permitting information to be provided to motorists to assist motorists in locating licensed 24-hour pharmacies. Therefore, taking into account Congress's expectation that this regulation will be issued in July 2004, the FHWA is faced with a situation in which the necessary and timely required execution of the required changes to the MUTCD would be prevented by undertaking a rulemaking proceeding prior to the adoption of the necessary changes to the MUTCD. In order to meet the congressionally mandated deadline, the FHWA is adopting the change to the MUTCD with as much notice as practicable by issuing this interim final rule and inviting public comment before the final regulation is issued. Furthermore, it is contrary to the public interest to further delay the ability of the States to provide this pertinent information to the traveling public. Accordingly, for the reasons listed above the agency finds good cause under 5 U.S.C. 553(b)(3)(B) to waive prior notice and opportunity for comment.
Comments received will be considered in evaluating whether any changes to the technical details of the revised MUTCD text and figures in this interim final rule are required. All comments received before the close of business on the comment closing date indicated above will be considered and will be available for examination in the docket at the above address. Comments received after the comment closing date will be filed in the docket and will be considered to the extent practicable. In addition to late comments, the FHWA will also continue to file relevant information in the docket as it becomes available after the comment period closing date, and interested persons should continue to examine the docket for new material.
The FHWA has determined that this action is not a significant regulatory action within the meaning of Executive Order 12866 or significant within the meaning of the U.S. Department of Transportation regulatory policies and procedures. It is anticipated that the economic impact of this rulemaking will be minimal. Including 24-hour pharmacies in General and Specific Service signs is required by law (see section 124 Division F, Title I, of Public Law 108-199, January 23, 2004.) States and other jurisdictions are not required to install signs for pharmacy services, but if they elect to do so, these amendments to the MUTCD will create uniformity in how the Pharmacy signs are used on public roads.
These changes will not adversely affect, in a material way, any sector of the economy. In addition, these changes will not interfere with any action taken or planned by another agency and will not materially alter the budgetary impact of any entitlements, grants, user fees, or loan programs.
In compliance with the Regulatory Flexibility Act (Pub. L. 96-354, 5 U.S.C. 601-612) the FHWA has evaluated the effects of this action on small entities and has determined that this action will not have a significant economic impact on a substantial number of small entities. This action adds General Service and Specific service signing for optional use by States to provide motorist information concerning pharmacies in order to aid the traveling public. States are not included in the definition of small entity set forth in 5 U.S.C. 601. For these reasons, the FHWA certifies that this action will not have a significant economic impact on a substantial number of small entities. The FHWA will reexamine this certification after reviewing the comments to this rule.
This interim final rule does not impose unfunded mandates as defined by the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4, March 22, 1995, 109 Stat. 48). This rule will not result in the expenditure by State, local, and tribal governments, in the aggregate, or by the private sector, of $100 million or more in any one year. States and other jurisdictions are not required to install signs for pharmacy services, but if they elect to do so, these amendments to the MUTCD will create uniformity in how the signs are used on public roads.
Additionally, the definition of “Federal mandate” in the Unfunded Mandates Reform Act excludes financial assistance of the type in which State, local, or tribal governments have authority to adjust their participation in the program in accordance with changes made by the Federal government. The Federal-aid highway program permits this type of flexibility to the States.
This action has been analyzed in accordance with the principles and criteria contained in Executive Order 13132, and the FHWA has determined that this action does not have sufficient federalism implications to warrant the preparation of a federalism assessment. The FHWA has also determined that this action does not preempt any State law or State regulation or affect the States' ability to discharge traditional State governmental functions.
The MUTCD is incorporated by reference in 23 CFR part 655, subpart F. These amendments are in keeping with the Secretary of Transportation's
Catalog of Federal Domestic Assistance Program Number 20.205, Highway Planning and Construction. The regulations implementing Executive Order 12372 regarding intergovernmental consultation on Federal programs and activities apply to this program.
This action does not contain a collection of information requirement under the Paperwork Reduction Act of 1995, 44 U.S.C. 3501-3520.
The agency has analyzed this action for the purpose of the National Environmental Policy Act of 1969 (42 U.S.C. 4321-4347) and has determined that this action will not have any effect on the quality of the environment.
The FHWA has analyzed this action under Executive Order 13175, dated November 6, 2000, and concluded that this interim final rule will not have substantial direct effects on one or more Indian tribes; will not impose substantial direct compliance costs on Indian tribal government; and will not preempt tribal law. The requirements set forth in this interim final rule do not directly affect one or more Indian tribes. Therefore, a tribal summary impact statement is not required.
This interim final rule meets applicable standards in section 3(a) and 3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize litigation, eliminate ambiguity, and reduce burden.
Under Executive Order 13045, Protection of Children from Environmental Health and Safety Risks, this interim final rule is not economically significant and does not involve an environmental risk to health and safety that may disproportionally affect children.
This interim final rule will not effect a taking of private property or otherwise have taking implications under Executive Order 12630, Governmental Actions and Interference with Constitutionally Protected Property Rights.
This interim final rule has been analyzed under Executive Order 13211, Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use. The FHWA has determined that it is not a significant energy action under that order because it is not a significant regulatory action under Executive Order 12866 and this interim final rule is not likely to have a significant adverse effect on the supply, distribution, or use of energy.
A regulation identification 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 contained in the heading of this document can be used to cross reference this action with the Unified Agenda.
Design standards, Grant programs—transportation, highways and roads, Incorporation by reference, Signs and symbols, Traffic regulations.
23 U.S.C. 101(a), 104, 109(d), 114(a), 217, 315, and 402(a); 23 CFR 1.32; and 49 CFR 1.48(b).
(a) Manual on Uniform Traffic Control Devices for Streets and Highways (MUTCD), 2003 Edition, including Revision No. 1, FHWA, dated July 21, 2004. This publication is incorporated by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51 and is on file at the National Archives and Record Administration (NARA). For information on the availability of this material at NARA call (202) 741-6030, or go to
Alcohol and Tobacco Tax and Trade Bureau, Treasury.
Final rule; Treasury decision.
This Treasury decision establishes the Columbia Gorge viticultural area in Hood River and Wasco Counties, Oregon, and Skamania and Klickitat Counties, Washington, approximately 60 miles east of Portland, Oregon. We designate viticultural areas to allow bottlers to better describe the origin of wines and allow consumers to better identify the wines they may purchase.
N.A. Sutton, Program Manager, Regulations and Procedures Division, Alcohol and Tobacco Tax and Trade Bureau, 6660 Delmonico Drive, #D422, Colorado Springs, CO 80919; telephone (415) 271-1254.
Effective January 24, 2003, the Homeland Security Act of 2002 divided the Bureau of Alcohol, Tobacco and Firearms into the Alcohol and Tobacco Tax and Trade Bureau (TTB) in the Department of the Treasury and the Bureau of Alcohol, Tobacco, Firearms and Explosives in the Department of Justice. TTB regulates wine labeling, including viticultural area designations.
The Federal Alcohol Administration Act (FAA Act) at 27 U.S.C. 205(e) requires that alcohol beverage labels provide the consumer with adequate information regarding a product's identity, while prohibiting the use of misleading information on such labels. The FAA Act also authorizes the Secretary of the Treasury to issue regulations to carry out the Act's provisions, and the Secretary has delegated authority to administer those regulatory provisions to TTB.
Regulations in 27 CFR part 4, Labeling and Advertising of Wine, allow the establishment of definitive viticultural areas and the use of their names as appellations of origin on wine labels and in wine advertisements. Title 27 CFR part 9, American Viticultural Areas, contains the list of approved viticultural areas.
Title 27 CFR 4.25(e)(1) defines an American viticultural area as a delimited grape-growing region distinguishable by geographical features, the boundaries of which have been recognized and defined in part 9. These designations allow consumers and vintners to attribute a given quality, reputation, or other characteristic of wine made from grapes grown in an area to its geographic origin. We believe that the establishment of viticultural areas allows wineries to describe more accurately the origin of their wines to consumers and helps consumers identify the wines they purchase. Establishment of a viticultural area is neither an approval nor endorsement by TTB of the wine produced in that area.
Viticultural area names have geographic significance. Our 27 CFR part 4 label regulations prohibit the use of a brand name with geographic significance on a wine unless the wine meets the appellation of origin requirements for the named area. Our regulations also prohibit any label references that suggest an origin other than the true place of origin of the wine.
With the establishment of this viticultural area, bottlers who use “Columbia Gorge” as a brand name, including a trademark, or in other label references to indicate the origin of the wine must ensure that their product is eligible to use the name of the viticultural area as an appellation of origin and that the use of the name is otherwise not misleading as to the origin of the wine. For a wine to be eligible to use a name listed in part of our regulations as an appellation of origin, at least 85 percent of the grapes used to make the wine must have been grown within the viticultural area. If the wine is not eligible to use the viticultural area name and such name appears in the brand name of the wine, bottlers must change the brand name of that wine and obtain approval of a new label.
Different rules apply if a wine in this category has a brand name containing a viticultural area name that was used as a brand name on a label approved before July 7, 1986.
Section 4.25(e)(2) outlines the procedure for proposing an American viticultural area. Anyone interested may petition TTB to establish a grape-growing region as a viticultural area. The petition must include—
• Evidence that the proposed viticultural area is locally and/or nationally known by the name specified in the petition;
• Historical or current evidence that supports setting the boundary of the proposed viticultural area as specified in the petition;
• Evidence that growing conditions, such as climate, soils, elevation, physical features, etc., distinguish the proposed area from surrounding areas;
• A description of the specific boundary of the proposed viticultural area, based on features shown on United States Geological Survey (USGS) maps or USGS-approved maps; and
• Copies of the appropriate map(s) with the boundary prominently marked.
Mark Wharry, for the Columbia River Gorge Wine Growers Association, petitioned ATF to establish “Columbia Gorge” viticultural area in Hood River and Wasco Counties, Oregon, and Skamania and Klickitat Counties, Washington. The 280 square mile Columbia Gorge viticultural area is located about 60 miles east of Portland, Oregon, straddles the Columbia River for 15 miles, and extends into south-central Washington and north-central Oregon. The area surrounds Hood River, Oregon, and White Salmon, Washington, and is generally bordered by B Z Corner, Washington, on the north; Lyle, Washington, on the east; Parkdale, Oregon, on the south; and Vinzenz Lausmann State Park, Oregon, on the west. The area is just west of the established Columbia Valley viticultural area and shares a part of its border with that area.
Local residents know this narrow, winding valley, with its steeply rising bluffs as “the Gorge,” “Columbia Gorge,” and “Columbia River Gorge,” and debate whether the name should be “Columbia Gorge” or “Columbia River Gorge,” since they use both terms. The term “Columbia River Gorge” often appears as a more formal title, such as the Columbia River Gorge National Scenic Area and the Columbia River Gorge National Fish Hatcheries.
The “Columbia Gorge” name is the most common usage, as stated in the petition, and connotes an area smaller in size than the Federally designated Columbia River Gorge National Scenic Area. Examples of this usage include the Columbia Gorge Interpretive Center of the Skamania County Historical Society, the Columbia Gorge Discovery Center of the Wasco County Historical Museum, and various businesses and tourist attractions. Promotional groups such as the Skamania County Chamber of Commerce, Cascade Locks, use maps titled “Experience the Columbia Gorge” and “Heart of the Columbia Gorge.”
Growers have raised grapes in the Columbia Gorge for over a century. In the 1880s, the Jewitt family, founders of the town of White Salmon, Washington, built terraces on a wide south-facing slope on the bluff above Bingen, Washington. They planted American vines that they had brought with them from Illinois. Also, the pioneering Balfour and Meress families brought grape cuttings to the Columbia Gorge. John Balfour, the youngest son of English Lord Balfour, planted grape vines in the early 1900s near the current location of Lyle, Washington. Leonis and Elizah Meress brought grape cuttings to the area from their native Adele Nord, a village in one of France's
Interest in grape growing in the Columbia Gorge was renewed in the early 1960s when experimental plots were planted in White Salmon, Washington. Later, commercial plots were planted under the direction of Washington State University. Today the Columbia River Gorge Wine Growers Association is comprised of 24 growers and 4 wineries. Currently, 284 acres are planted to wine grapes in the Columbia Gorge viticultural area, with more being planted each year.
The Columbia Gorge viticultural area's boundary is based on a combination of topographic, soil, and climatic factors that contrast with the nearby Columbia Valley and Willamette Valley viticultural areas. Much of the boundary line is the 2,000-foot elevation line, which encloses lower elevations and flatter agricultural areas with loamy soils. Above the 2,000-foot elevation boundary line the terrain becomes steeper and has gravelly soils more suitable for timber.
The Columbia River, twisting and turning on a westbound course, carved the Columbia Gorge, with its sides of steep cliffs, into the landscape. These sides range from sheer rock faces, comprised of volcanic outcroppings of igneous and metamorphic rock, to gentle stair-step benchlands formed by prehistoric lava flows. These benchlands have deep soil and good sun exposure, making them desirable for vineyards.
The Gorge funnels the Pacific's moist marine air to its west and the drier inland air to its east, back and forth. The Columbia Gorge viticultural area benefits from these prevailing winds, which moderate temperatures that otherwise might be warmer in the summer and cooler in the winter.
Soil types within the boundaries of the Columbia Gorge viticultural area are silty loams, as opposed to the more gravelly soils found outside the area. As the valleys on both the Washington and Oregon sides of the area slope up to the surrounding hills, the terrain becomes much steeper, and the soil types change noticeably.
Permeability of the silty loams found within the Columbia Gorge viticultural area is slow to moderate, and the available water capacity is high. Effective rooting depth is 60 inches or more. Soils include Chemawa, Underwood Loam, McGowen, Wyest Silt Loam, Van Horn, Parkdale Loam, and Oak Grove Loam series.
By contrast, the soils immediately surrounding the Columbia Gorge viticultural area, both above the 2,000-foot elevation line and eastward to the Columbia Valley, are generally gravelly with higher permeability. These soils typically support sloped timber areas at more than 2,000 feet above sea level. Examples of soils outside the area are the Steeper McElroy, Undusk Gravelly Loam, Husum Gravelly Loam, Rock Outcrop, Bins-Bindle, Yallani, and Hesslan-Skyline series.
Yearly rainfall totals determine the eastern and western borders of the Columbia Gorge viticultural area. To the west, the land has more rainfall, cloud cover, and vegetative growth, which results in benchlands unsuitable for viticulture. To the east, the terrain is more arid.
Annual rainfall within the Columbia Gorge viticultural area ranges from 30 inches on the west side of the Hood River, Oregon, to 18 inches near its eastern boundary at Lyle, Washington. By comparison, west of the Columbia Gorge viticultural area boundary the Bonneville Dam averages 77.54 inches and Skamania, Washington, averages 85.49 inches of annual rainfall. To the east of the boundary line, The Dalles, Oregon, averages 14.52 inches and Yakima, Washington, averages 8.21 inches of rainfall annually.
The average growing temperatures within the Columbia Gorge viticultural area range from 62 degrees (Appleton and Wind River, Washington) to 65 degrees (Hood River, Oregon), as compared to 61 degrees to the west in Skamania and 71.6 degrees to the east in The Dalles. In general, grapes grown in this viticultural area are early varietals, such as Pinot Noir and Gewurztraminer, which require fewer high temperature days. By contrast, the Columbia Valley viticultural area is able to grow much later varieties,
TTB published a notice of proposed rulemaking regarding the establishment of the Columbia Gorge viticultural area in the June 27, 2003,
We certify that this regulation will not have a significant economic impact on a substantial number of small entities. It imposes no new reporting, recordkeeping, or other administrative requirement. Any benefit derived from the use of the Columbia Gorge viticultural area name would be the result of a proprietor's efforts and consumer acceptance of wines from that area. Therefore, no regulatory flexibility analysis is required.
This rule is not a significant regulatory action as defined by Executive Order 12866, 58 FR 51735. Therefore, it requires no regulatory assessment.
The principal author of this document is N.A. Sutton, Regulations and Procedures Division, Alcohol and Tobacco Tax and Trade Bureau.
Wine.
27 U.S.C. 205.
(a)
(b)
(1) Hood River Quadrangle, Oregon—Washington, 1994;
(2) Northwestern Lake Quadrangle, Washington, 1983;
(3) Husum Quadrangle, Washington—Klickitat Co., 1994;
(4) Appleton Quadrangle, Washington—Klickitat Co., 1994;
(5) Lyle Quadrangle, Washington—Oregon, 1994;
(6) Brown Creek Quadrangle, Oregon, 1994;
(7) Ketchum Reservoir Quadrangle, Oregon, 1994;
(8) Parkdale Quadrangle, Oregon—Hood River Co., 1994;
(9) Dee Quadrangle, Oregon—Hood River Co., 1994; and
(10) Mt. Defiance Quadrangle, Oregon—Washington, 1994.
(c)
(1) Goes 1.5 miles straight north along the R9E-R10E line to the northwest corner of section 19, T3N, R10E (Hood River Quadrangle);
(2) Continues 2 miles straight east along the section line to the northeast corner of section 20, T3N, R10E (Hood River Quadrangle);
(3) Goes 4.1 miles straight north along the section line, crossing onto the Northwestern Lake map, to the northwest corner of section 33, T4N, R10E (Northwestern Lake Quadrangle);
(4) Continues 1 mile straight east on the section line to the northeast corner of section 33, T4N, R10E (Northwestern Lake Quadrangle);
(5) Goes 1 mile straight north on the section line to the northwest corner of section 27, T4N, R10E (Northwestern Lake Quadrangle);
(6) Continues 1 mile straight east on the section line to the northeast corner of section 27, T4N, R10E (Northwestern Lake Quadrangle);
(7) Goes 3.8 miles north on the section line to its intersection with the T4N-T5N line, R10E (Northwestern Lake Quadrangle);
(8) Continues 4 miles straight east on the T4N-T5N line, crossing onto the Husum map, to the northeast corner of section 5, R11E (Husum Quadrangle);
(9) Goes 2 miles straight south on the section line to the southwest corner of section 9, T4N, R11E (Husum Quadrangle);
(10) Continues 2 miles straight east on the section line to the northeast corner of section 15, T4N, R11E (Husum Quadrangle);
(11) Goes 3 miles straight south on the section line to the southwest corner of section 26, T4N, R11E (Husum Quadrangle);
(12) Continues 2 miles straight east on the section line, crossing onto the Appleton map, to the R11E-R12E line (Appleton Quadrangle);
(13) Goes 1.25 miles straight south on the R11E-R12E line to its intersection with the 2,000-foot contour line near the northeast corner of section 1, T3N (Appleton Quadrangle);
(14) Continues 11 miles south along the meandering 2,000-foot contour line through sections 1 and 12; then generally east through sections 7, 18, 8, and 9 to section 10; then generally north, weaving back and forth between sections 3, 4, 33, and 34; then south to section 3, until the 2,000-foot contour line first intersects the section line between sections 2 and 3, near a creek and an unnamed light duty road, T3N, R12E (Appleton Quadrangle);
(15) Goes 5.1 miles straight south on the section line, crossing onto the Lyle map, and continuing south until it intersects with the Klickitat River along the section 34 east boundary line, T3N, R12E (Lyle Quadrangle);
(16) Continues 0.9 mile generally southwest along the Klickitat River until it joins the Columbia River, and then continues 0.4 mile southwest in a straight line to the Washington-Oregon State line in the center of the Columbia River, section 3, T2N, R12E (Lyle Quadrangle);
(17) Follows the Oregon-Washington state line 2.4 miles generally southeast until it intersects with a northward extension of the R12E-R13E line, T2N (Lyle Quadrangle);
(18) Goes 11 miles straight south on the R12E-R13E line, crossing onto the Brown Creek map, to its intersection with the T1N-T1S Base Line at the southeast corner of section 36 (Brown Creek Quadrangle);
(19) Continues 6.1 miles straight west along the T1N-T1S Base Line, crossing onto the Ketchum Reservoir map, to its intersection with the R11E-R12E line at the southeast corner of section 36 (Ketchum Reservoir Quadrangle);
(20) Goes 6 miles straight north on the R11E-R12E line to its intersection with the T1N-T2N line at the northeast corner of section 1 (Ketchum Reservoir Quadrangle);
(21) Continues 6.2 miles straight west on the T1N-T2N line, crossing onto the Parkdale map, to its intersection with the R10E-R11E line at the southeast corner of section 36 (Parkdale Quadrangle);
(22) Goes 1.85 miles south on the R10E-R11E line to its intersection with the 2,000-foot contour line near the southeast corner of section 12, T1N, R10E (Parkdale Quadrangle);
(23) Continues 10.1 miles along the meandering 2,000-foot contour line generally southwest through sections 12, 13, 14, 23, 22, 26, 27, and 34 in T1N, and section 4 in T1S, to its intersection with the section 4 south boundary line, T1S, R10E (Parkdale Quadrangle);
(24) Goes 2.4 miles straight west along the section line to its intersection with the R9E-R10E line, just west of Trout Creek, at the southwest corner of section 6, T1S (Parkdale Quadrangle);
(25) Continues 1 mile straight north along the R9E-R10E line to its intersection with the T1S-T1N Base Line at the northwest corner of section 6 (Parkdale Quadrangle);
(26) Goes 1.3 miles straight west along the T1S-T1N Base Line, crossing onto the Dee map, to its intersection with the R9E-R10E line at the southwest corner of section 21 (Dee Quadrangle);
(27) Continues 3.1 miles north along the R9E-R10E line to the southeast corner of section 13, T1N (Dee Quadrangle);
(28) Goes 2 miles west along the section line to the southwest corner of section 14, T1N, R9E (Dee Quadrangle);
(29) Continues 1 mile straight north along the section line to the northwest corner of section 14, T1N, R9E (Dee Quadrangle);
(30) Goes 1 mile east along the section line to the northeast corner of section 14, T1N, R9E (Dee Quadrangle);
(31) Continues 2 miles straight north along the section line until its intersection with the T1N-T2N line, R9E (Dee Quadrangle);
(32) Goes 1 mile straight east along the T1N-T2N line to the southeast corner of section 36, R9E (Dee Quadrangle);
(33) Continues 6.75 miles straight north along the R9E-R10E line, crossing onto the Mt. Defiance map, to the Washington-Oregon State line in the Columbia River, T3N (Mt. Defiance Quadrangle);
(34) Goes 1 mile straight east-northeast along the State line, crossing onto the Hood River map, to its
(35) Continues 0.6 mile north along the R9E-R10E extension, returning to the point of beginning at its intersection with the Washington State Highway 14, close to Tunnel 4, on the north bank of the Columbia River (Hood River Quadrangle).
Environmental Protection Agency (EPA).
Direct final rule.
The EPA is approving a revision to the plan prepared by Wisconsin to maintain the one-hour national ambient air quality standard (NAAQS) for ozone in the Kewaunee County maintenance area through the year 2012. Wisconsin's submitted the revision on January 28, 2003, and supplemented it on February 5, 2003 and February 27, 2003. This revision is required by the Clean Air Act. The effect of this approval is to ensure federal enforceability of the state air program plan and to maintain consistency between the state-adopted plan and the approved State Implementation Plan (SIP).
This “direct final” rule is effective July 9, 2004, unless EPA receives written adverse comment by June 9, 2004. If written adverse comment is received, EPA will publish a timely withdrawal of the direct final rule in the
Submit your comments, identified by Docket ID No.WI119 by one of the following methods: Federal eRulemaking Portal:
Michael Leslie, Environmental Engineer, Criteria Pollutants Section (AR-18J), Air Programs Branch, Air and Radiation Division, United States Environmental Protection Agency, Region 5, 77 West Jackson Boulevard, Chicago, Illinois 60604, (312) 353-6680,
Throughout this document whenever “we,” “us,” or “our” is used, we mean EPA. This section provides additional information by addressing the following questions:
This action applies to the citizens, industries, and transportation agencies in Kewaunee County, Wisconsin.
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(a) Identify the rulemaking by docket number and other identifying information (subject heading,
(b) Follow directions—The agency may ask you to respond to specific questions or organize comments by referencing a Code of Federal Regulations (CFR) part or section number.
(c) Explain why you agree or disagree; suggest alternatives and substitute language for your requested changes.
(d) Describe any assumptions and provide any technical information and/or data that you used.
(e) If you estimate potential costs or burdens, explain how you arrived at your estimate in sufficient detail to allow for it to be reproduced.
(f) Provide specific examples to illustrate your concerns, and suggest alternatives.
The Clean Air Act (CAA) at section 110 requires states to develop air pollution regulations and control strategies to ensure that state air quality meets the national ambient air quality standards established by EPA. These ambient standards are established under section 109 of the CAA, and they currently address six criteria pollutants. These pollutants are: carbon monoxide, nitrogen dioxide, ozone, lead, particulate matter, and sulfur dioxide. Each state must submit these regulations and control strategies to us for approval and incorporation into the federally-enforceable SIP. Each federally-approved SIP protects air quality primarily by addressing air pollution at its point of origin. These SIPs can be extensive and contain state regulations or other enforceable documents, as well as supporting information such as emission inventories, monitoring networks, and modeling demonstrations.
For state regulations to be incorporated into the federally-enforceable SIP, states must formally adopt the regulations and control strategies consistent with state and federal requirements. This process generally includes a public notice, public hearing, public comment period, and a formal adoption by a state-authorized rulemaking body. Once a state rule, regulation, or control strategy is adopted, the state submits it to us for inclusion into the SIP. We must provide public notice and seek additional public comment regarding the federal action on the state submission. If adverse comments are received, they must be addressed prior to any final federal action. All state regulations and supporting information approved by EPA under section 110 of the CAA are incorporated into the federally-approved SIP. Records of such SIP actions are maintained in the Code of Federal Regulations (CFR) at Title 40, part 52, entitled “Approval and Promulgation of Implementation Plans.” The actual state regulations which are approved are not reproduced in their entirety in the CFR, but are “incorporated by reference,” which means that we have approved a given state regulation with a specific effective date.
The requirements for the approval and revision of a maintenance plan are found in section 175A of the CAA. A maintenance plan must provide a demonstration of continued attainment including the control measures relied upon, provide contingency measures for the prompt correction of any violation of the standard, provide for continued operation of the ambient air quality monitoring network, provide a means of tracking the progress of the plan, and include the attainment emissions inventory and new budgets for motor vehicle emissions.
Enforcement of the state regulation before and after it is incorporated into the federally-approved SIP is primarily a state responsibility. However, after the regulation is federally approved, we are authorized to take enforcement action against violators. Citizens are also offered legal recourse to address violations as described in section 304 of the CAA.
For the past ten years, Wisconsin has had a plan in place to maintain the one-hour ozone standard in the maintenance area through 2002. The CAA requires that the maintenance plan be revised to provide for maintenance for ten years after the expiration of the initial maintenance period. Wisconsin's submittal of January 28, 2003, which Wisconsin supplemented on February 5, 2003 and February 27, 2003, contained a revised plan that describes what will be done during the next ten-year period to maintain the ozone standard in the Kewaunee County maintenance area through 2012. The following analysis will look at the elements necessary for approval of a maintenance plan and determine if they have been fulfilled.
This revised plan relies on an attainment level of emissions of volatile organic compounds (VOCs) and nitrogen oxides (NO
Any discrepancies between the table totals and the sum of their constituent values are due to rounding conventions. The sector totals were actually figured to three decimal places, summed, and then rounded to two decimal places to obtain the total emissions.
As can be seen, total emissions decreased during the ten-year maintenance period. Thus the plan has demonstrated that the one-hour ozone standard will be maintained. The full emissions benefits obtained from state and federal control measures are included in the tables above. For the demonstration of maintenance, it is only necessary for the state to show that there is no increase in the emissions. Clearly
The state has quantified emission reductions from the following permanent and enforceable measures: Federal Motor Vehicle Control Program; 1992 gasoline Reid vapor pressure change; federal architectural, industrial and maintenance coatings rule; federal consumer and commercial products rule; autobody refinishing rule; Stage II vapor recovery; traffic markings rule; gasoline station tank breathing rule; federal non-road engine standards; wood furniture coating rule; miscellaneous wood products coating rule; industrial adhesives rule; lithographic printing rule; and, plastic parts coating rule.
Despite the best efforts to demonstrate continued compliance with the NAAQS, the ambient ozone concentrations may exceed or violate the NAAQS. Therefore, as required by section 175A of the CAA, Wisconsin has provided contingency measures to promptly correct a future ozone air quality problem. For the years 2003 through 2007, Wisconsin has identified the following contingency measures: the NO
Wisconsin currently operates one ozone monitor in Kewaunee County. Wisconsin has committed to continue operating and maintaining an approved ozone monitor network through the maintenance period and beyond.
Continued attainment of the ozone NAAQS in Kewaunee County depends, in part, on the state's efforts toward tracking indicators of continued attainment during the maintenance period. The tracking plan for Kewaunee County primarily consists of continued ambient ozone monitoring in accordance with the requirements of 40 CFR part 58. WDNR maintains a comprehensive ambient air quality monitoring network and air quality reporting program, including ozone monitoring sites throughout the state and a fully enhanced network in the area around Lake Michigan. These are structured in the state statute to continue through and past the maintenance period. The state will also evaluate future VOC and NO
Wisconsin prepared an emissions inventory for the Kewaunee County maintenance area for the base year of 1999. The year 1999 year was selected for the inventory as no excursion nor violations of the standard occurred. Emissions were then projected for 2007 and 2012. The MOBILE6 emissions model was used for on-road mobile sources. These revised inventories were developed using the latest planning assumptions, including updated vehicle registration data from 1999 through 2001, vehicle miles traveled (VMT), speeds, fleet mix, and SIP control measures. The emission inventory amounts are shown in the tables below.
Any discrepancies between the table totals and the sum of their constituent values are due to rounding conventions. The sector totals were actually figured to three decimal places, summed, and then rounded to two decimal places to obtain the total emissions.
Wisconsin has submitted a complete and accurate emissions inventory of VOC and NO
These new budgets are to be used in all subsequent conformity determinations concerning transportation plans in the Kewaunee County maintenance area. We believe that the motor vehicle emissions budgets are consistent with the control measures identified in this maintenance plan and that this plan demonstrates maintenance with the one-hour ozone standard.
The Wisconsin submittal was subject to a 30 day public comment period. Wisconsin held a public hearing on November 22, 2002.
We are approving: Wisconsin's revision of the maintenance plan for the Kewaunee County maintenance and the transportation conformity budgets for VOC and NO
The EPA is publishing this action without prior proposal because we view this as a noncontroversial amendment and anticipate no adverse comments. However, in the proposed rules section of this
Under Executive Order 12866 (58 FR 51735, October 4, 1993), this action is not a “significant regulatory action” and therefore is not subject to review by the Office of Management and Budget.
Because this action does not significantly affect energy supply, distribution or use, it is not subject to Executive Order 13211, “Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use” (66 FR 28355, May 22, 2001).
This action merely approves state law as meeting federal requirements and imposes no additional requirements beyond those imposed by state law. Accordingly, the Administrator certifies 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
Because this rule approves pre-existing requirements under state law and does not impose any additional enforceable duty beyond that required by state law, it does not contain any unfunded mandate or significantly or uniquely affect small governments, as described in the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4).
This rule also does not have tribal implications because it will not have a substantial direct effect on one or more Indian tribes, on the relationship between the federal government and Indian tribes, or on the distribution of power and responsibilities between the federal Government and Indian tribes, as specified by Executive Order 13175 (65 FR 67249, November 9, 2000).
This action also does not have federalism implications because it does not have substantial direct effects on the states, on the relationship between the national government and the states, or on the distribution of power and responsibilities among the various levels of government, as specified in Executive Order 13132 (64 FR 43255, August 10, 1999). This action merely approves a state rule implementing a federal standard, and does not alter the relationship or the distribution of power and responsibilities established in the CAA.
This rule also is not subject to Executive Order 13045 “Protection of Children from Environmental Health Risks and Safety Risks” (62 FR 19885, April 23, 1997), because it is not economically significant.
In reviewing SIP submissions, EPA's role is to approve state choices, provided that they meet the criteria of the Clean Air Act. In this context, in the absence of a prior existing requirement for the state to use voluntary consensus standards (VCS), EPA has no authority to disapprove a SIP submission for failure to use VCS. It would thus be inconsistent with applicable law for EPA, when it reviews a SIP submission, to use VCS in place of a SIP submission that otherwise satisfies the provisions of the CAA. Thus, the requirements of section 12(d) of the National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272 note) do not apply.
This rule does not impose an information collection burden under the provisions of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501
The Congressional Review Act, 5 U.S.C. 801
Under section 307(b)(1) of the CAA, petitions for judicial review of this
Environmental protection, Air pollution control, Intergovernmental relations, Nitrogen dioxide, Ozone, Reporting and recordkeeping requirements, Volatile organic compounds.
42 U.S.C. 7401
(t) Approval—On January 28, 2003, Wisconsin submitted a request to update the ozone maintenance plan for Kewaunee County. Additional information was submitted on February 5, 2003 and February 27, 2003. As part of the request, the state submitted a maintenance plan as required by section 175A of the Clean Air Act, as amended in 1990. Elements of the section 175 maintenance plan include a contingency plan and Motor Vehicle Emissions Budgets (MVEB) for 2007 and 2012. The following table outlines the MVEB for transportation conformity purposes for the Kewaunee ozone maintenance area.
Environmental Protection Agency (EPA).
Direct final rule and NSPS delegation.
EPA is taking direct final action approving State Implementation Plan (SIP) revisions submitted by the State of South Dakota on September 12, 2003. The September 12, 2003 submittal revises the Administrative Rules of South Dakota, Air Pollution Control Program, by modifying the chapters pertaining to definitions, operating permits for minor sources, new source review and performance testing. In addition, the State made revisions to the Prevention of Significant Deterioration program, which has been delegated to the State. The intended effect of this action is to make these revisions federally enforceable. We are also announcing that on October 31, 2003, we updated the delegation of authority for the implementation and enforcement of the New Source Performance Standards to the State of South Dakota. These actions are being taken under sections 110 and 111 of the Clean Air Act.
This rule is effective on July 9, 2004 without further notice, unless EPA receives adverse comment by June 9, 2004. If adverse comment is received, EPA will publish a timely withdrawal of the direct final rule in the
Written comments may be submitted by mail to Richard R. Long, Director, Air and Radiation Program, Mailcode 8P-AR, Environmental Protection Agency (EPA), Region 8, 999 18th Street, Suite 300, Denver, Colorado 80202-2466. Comments may also be submitted electronically, or through hand delivery/courier. Please follow the detailed instructions described in sections (I)(B)(1)(i) through (iii) of the
Laurel Dygowski, EPA Region 8, 999 18th Street, Suite 300, Mailcode 8P-AR, Denver, Colorado 80202, (303) 312-6144, e-mail
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For public commenters, it is important to note that EPA's policy is that public comments, whether submitted electronically or in paper,
You may submit comments electronically, by mail, or through hand delivery/courier. To ensure proper receipt by EPA, identify the appropriate rulemaking identification number by including the text “Public comment on proposed rulemaking [SD-001-0017]” in the subject line on the first page of your comment. Please ensure that your comments are submitted within the specified comment period. Comments received after the close of the comment period will be marked “late.” EPA is not required to consider these late comments.
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Do not submit information that you consider to be CBI electronically to EPA. You may claim information that you submit to EPA as CBI by marking any part or all of that information as CBI (if you submit CBI on disk or CD ROM, mark the outside of the disk or CD ROM as CBI and then identify electronically within the disk or CD ROM the specific information that is CBI). Information so marked will not be disclosed except in accordance with procedures set forth in 40 CFR part 2.
In addition to one complete version of the comment that includes any information claimed as CBI, a copy of the comment that does not contain the information claimed as CBI must be submitted for inclusion in the official public regional rulemaking file. If you submit the copy that does not contain CBI on disk or CD ROM, mark the outside of the disk or CD ROM clearly that it does not contain CBI. Information not marked as CBI will be included in the public file and available for public inspection without prior notice. If you have any questions about CBI or the procedures for claiming CBI, please consult the person identified in the For Further Information Contact section.
On September 12, 2003, the State of South Dakota submitted revisions to its SIP. The specific revisions to the SIP contained in the September 12, 2003 submittal are explained below.
ARSD 74:36:01 was revised to correct a typographical error in the definition for “volatile organic compound.” ARSD 74:36:01 was also revised to include the definitions for two acronyms, SO
ARSD 74:36:04:06 was revised to clarify the number of days it takes to receive a new minor source air quality permit. Under 74:36:04:10, the State has up to 90 days to decide on a recommendation for a permit once a complete application has been submitted. After the State decides on its recommendation, the recommendation has to be published in the local newspaper to allow the public 30 days to comment on it. The State has revised ARSD 74:36:04:06 to clarify that it could take up to 120 days for a new source to get a permit once a complete application has been submitted, but the State has not added additional time in the review process.
The State has also revised ARSD 74:36:04 to provide clarification on general permits. Under South Dakota Law 34A-1-56, the State may issue a general permit for categories of air pollution sources that are similar in operation, have similar air pollution limits, and have similar reporting and record keeping requirements. The State has added two sections to ARSD
In order to maintain their NSR program, the State has made revisions to this chapter to make it equivalent to EPA's regulations. On December 31, 2002, EPA finalized revisions to the NSR program, which became effective on March 3, 2003 (
On June 30, 2000, the State submitted revisions to ARSD 74:36:11:01. On January 27, 2003, we proposed to approve the revisions to ARSD 74:36:11:01, except for the second sentence of this section, which we determined contained a director's discretion provision (
The September 12, 2003 submittal by the State updated the effective date of the incorporated by reference NSPS to July 1, 2002. EPA is announcing that on October 31, 2003, we updated the delegation of authority for the implementation and enforcement of the NSPS to the State. The October 31, 2003 letter of delegation to the State follows:
Subsequent to States adopting NSPS regulations, EPA delegates the authority for the implementation and enforcement of those NSPS, so long as the State's regulations are equivalent to the Federal regulations. EPA reviewed the pertinent statutes and regulations of the State of Montana and determined that they provide an adequate and effective procedure for the implementation and enforcement of the NSPS by the State of South Dakota. Therefore, pursuant to Section 111(c) of the Clean Air Act (Act), as amended, and 40 CFR Part 60, EPA hereby delegates its authority for the implementation and enforcement of the NSPS to the State of South Dakota as follows:
(A) Responsibility for all sources located, or to be located, in the State of South Dakota subject to the standards of performance for new stationary sources promulgated in 40 CFR Part 60. The categories of new stationary sources covered by this delegation are NSPS subparts A, D, Da, Db, Dc, E, Ea, Eb, Ec, F, I, K, Ka, Kb, O, Y, DD, GG, HH, LL, QQ, RR, VV, XX, AAA, JJJ, NNN, OOO, RRR, SSS, UUU and WWW in 40 CFR Part 60 as in effect on July 1, 2002.
(B) Not all authorities of NSPS can be delegated to States under Section 111(c) of the Act, as amended. The EPA Administrator retains authority to implement those sections of the NSPS that require: (1) approving equivalency determinations and alternative test methods, (2) decision making to ensure national consistency, and (3) EPA rulemaking to implement. Therefore, of the NSPS of 40 CFR Part 60 being delegated in this letter, the enclosure lists examples of sections in 40 CFR Part 60 that cannot be delegated to the State of South Dakota.
(C) The Department of Environment and Natural Resources (DENR) and EPA will continue a system of communication sufficient to guarantee that each office is always fully informed and current regarding compliance status of the subject sources and interpretation of the regulations.
(D) Enforcement of the NSPS in the State will be the primary responsibility of the DENR. If the DENR determines that such enforcement is not feasible and so notifies EPA, or where the DENR acts in a manner inconsistent with the terms of this delegation, EPA may exercise its concurrent enforcement authority pursuant to section 113 of the Act, as amended, with respect to sources within the State of South Dakota subject to NSPS.
(E) The State of South Dakota will at no time grant a variance or waiver from compliance with NSPS regulations. Should DENR grant such a variance or waiver, EPA will consider the source receiving such relief to be in violation of the applicable Federal regulation and initiate enforcement action against the source pursuant to section 113 of the Act. The granting of such relief by the DENR shall also constitute grounds for revocation of delegation by EPA.
(F) If at anytime there is a conflict between a State regulation and a Federal regulation (40 CFR Part 60), the Federal regulation must be applied if it is more stringent than that of the State. If the State does not have the authority to enforce the more stringent Federal regulation, this portion of the delegation may be revoked.
(G) If the Regional Administrator determines that a State procedure for enforcing or implementing the NSPS is inadequate, or is not being effectively carried out, this delegation may be revoked in whole or part. Any such revocation shall be effective as of the date specified in a Notice of Revocation to the DENR.
(H) Acceptance of this delegation of presently promulgated NSPS does not commit the State of South Dakota to accept delegation of future standards and requirements. A new request for delegation will be required for any standards not included in the State's request of September 12, 2003.
(I) Upon approval of the Regional Administrator of EPA Region VIII, the Secretary of DENR may subdelegate his authority to implement and enforce the NSPS to local air pollution control authorities in the State when such authorities have demonstrated that they have equivalent or more stringent programs in force.
(J) The State of South Dakota must require reporting of all excess emissions from any NSPS source in accordance with 40 CFR 60.7(c).
(K) Performance tests shall be scheduled and conducted in accordance with the procedures set forth in 40 CFR Part 60 unless alternate methods or procedures are approved by the EPA Administrator. Although the Administrator retains the exclusive right to approve equivalent and alternate test methods as specified in 40 CFR 60.8(b)(2) and (3), the State may approve minor changes in methodology provided these changes are reported to EPA Region VIII. The Administrator also retains the right to change the opacity standard as specified in 40 CFR 60.11(e).
(L) Determinations of applicability such as those specified in 40 CFR 60.5 and 60.6 shall be consistent with those which have already been made by the EPA.
(M) Alternatives to continuous monitoring procedures or reporting requirements, as outlined in 40 CFR 60.13(i), may be approved by the State with the prior concurrence of the Regional Administrator.
(N) If a source proposes to modify its operation or facility which may cause the source to be subject to NSPS requirements, the State shall notify EPA Region VIII and obtain a determination on the applicability of the NSPS regulations.
(O) Information shall be made available to the public in accordance with 40 CFR 60.9. Any records, reports, or information provided to, or otherwise obtained by, the State in accordance with the provisions of these regulations shall be made available to the designated representatives of EPA upon request.
(P) All reports required pursuant to the delegated NSPS should not be submitted to the EPA Region VIII office, but rather to the DENR.
(Q) As 40 CFR Part 60 is updated, South Dakota should revise its regulations
EPA is approving South Dakota's request for NSPS delegation for all areas within the State except for land within formal Indian reservations located within or abutting the State of South Dakota, including the: Cheyenne River Indian Reservation, Crow Creek Indian Reservation, Flandreau Indian Reservation, Lower Brule Indian Reservation, Pine Ridge Indian Reservation, Rosebud Indian Reservation, Standing Rock Indian Reservation, Yankton Indian Reservation, any land held in trust by the United States for an Indian tribe; and any other areas which are “Indian Country” within the meaning of 18 U.S.C. 1151.
Since this delegation is effective immediately, there is no need for the State to notify the EPA of its acceptance. Unless we receive written notice of objections from you within ten days of the date on which you receive this letter, the State of South Dakota will be deemed to accept all the terms of this delegation. EPA will publish an information notice in the
If you have any questions on this matter, please contact me or have your staff contact Richard Long, Director of our Air and Radiation Program, at (303) 312-6005.
Sincerely yours,
On July 6,1994, EPA delegated the authority to South Dakota to implement and enforce the Federal PSD permitting regulations (
EPA is approving revisions to the South Dakota SIP submitted by the State on September 12, 2003. The revisions we are approving are revisions to ARSD 74:36:01, 74:36:04, 74:36:10, and 74:36:11. We are also announcing that on October 31, 2003, we updated the delegation of authority for the implementation and enforcement of the NSPS to the State of South Dakota.
Section 110(l) of the Clean Air Act states that a SIP revision cannot be approved if the revision would interfere with any applicable requirement concerning attainment and reasonable further progress towards attainment of the NAAQS or any other applicable requirements of the Act. The South Dakota SIP revisions that are the subject of this document do not interfere with the maintenance of the NAAQS or any other applicable requirement of the Act because of the following: (1) The revisions to the SIP meet Federal requirements and allow the State to include the most recent version of Federal regulations; and (2) the NSPS delegation meets the requirements of section 111(c) of the CAA and 40 CFR
EPA is publishing this rule without prior proposal because the Agency views this as a noncontroversial amendment and anticipates no adverse comments. However, in the “Proposed Rules” section of today's
Under Executive Order 12866 (58 FR 51735, October 4, 1993), this action is not a “significant regulatory action” and therefore is not subject to review by the Office of Management and Budget. For this reason, this action is also not subject to Executive Order 13211, “Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use” (66 FR 28355, May 22, 2001). This action merely approves State law as meeting Federal requirements and imposes no additional requirements beyond those imposed by State law. Accordingly, the Administrator certifies 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 also does not have tribal implications because it will not have a substantial direct effect on one or more Indian tribes, on the relationship between the Federal Government and Indian tribes, or on the distribution of power and responsibilities between the Federal Government and Indian tribes, as specified by Executive Order 13175 (65 FR 67249, November 9, 2000). This action also does not have Federalism implications because it does not have substantial direct effects on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government, as specified in Executive Order 13132 (64 FR 43255, August 10, 1999). This action merely approves a State rule implementing a Federal standard, and does not alter the relationship or the distribution of power and responsibilities established in the Clean Air Act. This rule also is not subject to Executive Order 13045 “Protection of Children From Environmental Health Risks and Safety Risks” (62 FR 19885, April 23, 1997), because it is not economically significant.
In reviewing SIP submissions, EPA's role is to approve State choices, provided that they meet the criteria of the Clean Air Act. In this context, in the absence of a prior existing requirement for the State to use voluntary consensus standards (VCS), EPA has no authority to disapprove a SIP submission for failure to use VCS. It would thus be inconsistent with applicable law for EPA, when it reviews a SIP submission, to use VCS in place of a SIP submission that otherwise satisfies the provisions of the Clean Air Act. Thus, the requirements of section 12(d) of the National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272 note) do not apply. This rule does not impose an information collection burden under the provisions of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501
The Congressional Review Act, 5 U.S.C. 801
Under section 307(b)(1) of the Clean Air Act, petitions for judicial review of this action must be filed in the United States Court of Appeals for the appropriate circuit by July 9, 2004. Filing a petition for reconsideration by the Administrator of this final rule does not affect the finality of this rule for the purposes of judicial review nor does it extend the time within which a petition for judicial review may be filed, and shall not postpone the effectiveness of such rule or action. This action may not be challenged later in proceedings to enforce its requirements. (
Environmental protection, Air pollution control, Carbon monoxide, Incorporation by reference, Intergovernmental relations, Lead, Nitrogen dioxide, Ozone, Particulate matter, Reporting and recordkeeping requirements, Sulfur oxides, Volatile organic compounds.
42 U.S.C. 7401
(c) * * *
(23) On September 12, 2003, the designee of the Governor of South Dakota submitted revisions to the State Implementation Plan. The September 12, 2003 submittal revises the following chapters of the Administrative Rules of South Dakota: 74:36:01, 74:36:04, 74:36:10 and 74:36:11.
(i) Incorporation by reference.
(A) Administrative Rules of South Dakota, Chapter 74:36:01, sections 74:36:01:01(77), 74:36:01:01(80), and 74:36:01:01(81); Chapter 74:36:04, sections 74:36:04:06, 74:36:04:32 and 74:36:04:33; Chapter 74:36:10, except section 74:36:10:01; and Chapter 74:36:11, section 74:36:11:01, effective September 1, 2003.
Federal Communications Commission.
Final rule.
The Commission, by this document, dismisses a petition for rule making filed by Bowling Green State University, requesting the substitution of DTV channel *20 for station WBGU-TV's assigned DTV channel *36 at Bowling Green, Ohio.
Effective May 10, 2004.
Pam Blumenthal, Media Bureau, (202) 418-1600.
This is a synopsis of the Commission's Report and Order, MM Docket No. 02-29, adopted April 15, 2004, and released April 23, 2004. The full text of this document is available for public inspection and copying during regular business hours in the FCC Reference Information Center, Portals II, 445 12th Street, SW., Room CY-A257, Washington, DC. This document may also be purchased from the Commission's duplicating contractor, Qualex International, Portals II, 445 12th Street, SW., CY-B402, Washington, DC 20554, telephone 202-863-2893, facsimile 202-863-2898, or via e-mail
Digital television broadcasting, Television.
Federal Communications Commission.
Final rule.
The Commission, at the request of Tribune Broadcasting Holding, Inc., substitutes DTV channel 48 for DTV channel 53 at Bloomington.
Effective June 10, 2004.
Pam Blumenthal, Media Bureau, (202) 418-1600.
This is a synopsis of the Commission's Report and Order, MM Docket No. 03-230, adopted April 20, 2004, and released April 26, 2004. The full text of this document is available for public inspection and copying during regular business hours in the FCC Reference Information Center, Portals II, 445 12th Street, SW., Room CY-A257, Washington, DC. This document may also be purchased from the Commission's duplicating contractor, Qualex International, Portals II, 445 12th Street, SW., CY-B402, Washington, DC 20554, telephone 202-863-2893, facsimile 202-863-2898, or via e-mail
Digital television broadcasting, Television.
47 U.S.C. 154, 303, 334 and 336.
Federal Communications Commission.
Final rule.
The Commission, at the request of Smoky Hills Public Television Corporation, allots DTV channel *19 for noncommercial educational use at Colby, Kansas.
Effective June 1, 2004.
Pam Blumenthal, Media Bureau, (202) 418-1600.
This is a synopsis of the Commission's Report and Order, MB Docket No. 04-11, adopted April 8, 2004, and released April 16, 2004. The full text of this document is available for public inspection and copying during regular business hours in the FCC Reference Information Center, Portals II, 445 12th Street, SW., Room CY-A257, Washington, DC. This document may also be purchased from the Commission's duplicating contractor, Qualex International, Portals II, 445 12th Street, SW, CY-B402, Washington, DC 20554, telephone 202-863-2893, facsimile 202-863-2898, or via e-mail
Digital television broadcasting, Television.
47 U.S.C. 154, 303, 334 and 336.
Federal Communications Commission.
Final rule.
This document reallots Channel 278A from Russellville, Alabama, to Littleville, Alabama, and modifies the license for Station WMXV to specify operation Channel 278A at Littleville, Alabama, in response to a petition filed by Clear Channel Broadcasting Licenses, Inc. See 69 FR 6239, February 10, 2004. The coordinates for Channel 278A at Littleville are 34-35-44 and 87-40-47.
Effective June 4, 2004.
Kathleen Scheuerle, Media Bureau, (202) 418-2180.
This is a summary of the Commission's Report and Order, MB Docket No. 04-12, adopted April 12, 2004, and released April 14, 2004. The full text of this Commission decision is available for inspection and copying during regular business hours in the FCC's Reference Information Center, Portals II, 445 12th Street, SW., Room CY-A257, Washington, DC 20554. The complete text of this decision may also be purchased from the Commission's duplicating contractor, Natek, Inc., Portals II, 445 12th Street, SW., Room CY-B402, Washington, DC 20554, telephone 202-863-2893. In MM Docket No. 01-62, Station WKGL was ordered to specify operation on Channel 278A in lieu of Channel 249A at Russelville, Alabama, to which the FM Table of Allotments was not amended to reflect this change.
Radio, Radio broadcasting.
47 U.S.C. 154, 303, 334 and 336.
Federal Communications Commission.
Final rule.
In response to a
Effective June 4, 2004.
Victoria M. McCauley, Media Bureau, (202) 418-2180.
This is a synopsis of the Commission's
Radio, Radio broadcasting.
47 U.S.C. 154, 303, 334 and 336.
Federal Communications Commission.
Final rule.
The Audio Division, at the request of Beckham Palmer, III, as Receiver, reallots Channel 275C2 from Linden to Marion, Alabama, and modifies Station WNPT-FM's license accordingly.
Effective June 4, 2004.
Sharon P. McDonald, Media Bureau, (202) 418-2180.
This is a synopsis of the Commission's Report and Order, MB Docket No. 03-162, adopted April 12, 2004, and released April 14, 2004. The full text of this Commission decision is available for inspection and copying during normal business hours in the FCC Reference Information Center (Room CY-A257), 445 12th Street, SW., Washington, DC. The complete text of this decision may also be purchased from the Commission's copy contractor, Qualex International, Portals II, 445 12th Street, SW., Room CY-B402, Washington, DC 20054.
Provisions of the Regulatory Flexibility Act of 1980 do not apply to this proceeding.
Members of the public should note that from the time a Notice of Proposed Rule Making is issued until the matter is no longer subject to Commission consideration or court review, all
For information regarding proper filing procedures for comments,
Radio, Radio broadcasting.
47 U.S.C. 154, 303, 334 and 336.
Federal Communications Commission.
Final rule.
The Audio Division, at the request of Katherine Pyeatt, allots Channel 286A at Encinal, Texas, as the community's third local FM service. Channel 286A can be allotted to Encinal, Texas, in compliance with the Commission's minimum distance separation requirements with a site restriction of 6.3 km (3.9 miles) north of Encinal. The coordinates for Channel 286A at Encinal, Texas, are 28-05-37 North Latitude and 99-20-25 West Longitude. The Mexican government has concurred in this allotment. A filing window for Channel 286A at Encinal, TX, will not be opened at this time. Instead, the issue of opening this allotment for auction will be addressed by the Commission in a subsequent Order.
Effective June 4, 2004.
Deborah Dupont, Media Bureau, (202) 418-2180.
This is a synopsis of the Commission's Report and Order, MM Docket No. 01-152, adopted April 14, 2004, and released April 19, 2004. The full text of this Commission decision is available for inspection and copying during normal business hours in the FCC Information Center, Portals II, 445 12th Street, SW., Room CY-A257, Washington, DC 20554. The complete text of this decision may also be purchased from the Commission's duplicating contractor, Qualex International, Portals II, 445 12th Street, SW., Room CY-B402, Washington, DC 20554, (202) 863-2893, facsimile (202) 863-2898, or via e-mail
Radio, Radio broadcasting.
47 U.S.C. 154, 303, 334 and 336.
Federal Communications Commission.
Final rule.
The Audio Division, at the request of RTG Radio, LLC, licensee of FM Station WKAA, Channel 249A, Ocilla, Georgia, deletes Ocilla, Georgia, Channel 249A, from the FM Table of Allotments, allots Channel 250A at Ambrose, Georgia, as the community's first local FM service, and modifies the
Effective June 4, 2004.
Deborah Dupont, Media Bureau, (202) 418-2180.
This is a synopsis of the Commission's
Radio, Radio broadcasting.
47 U.S.C. 154, 303, 334 and 336.
Federal Communications Commission.
Final rule; denial of petition for reconsideration.
This document denies a Petition for Reconsideration filed by Auburn Network, Inc. directed at a letter action in this proceeding, which dismissed the Petition for Rulemaking requesting the allotment of Channel 228A at Shorter, Alabama because it was unacceptable for consideration. With this action, the proceeding is terminated.
Rolanda F. Smith, Media Bureau (202) 418-2180.
This is a synopsis of the Commission's
Rural Utilities Service, USDA.
Proposed rule.
The Rural Utilities Service (RUS), an agency delivering the U.S. Department of Agriculture's Rural Development Utilities Programs, proposes to amend its regulations on accounting policies and procedures for RUS Telecommunications Borrowers as set forth in RUS's regulations concerning Accounting System Requirements for RUS Telecommunications Borrowers. This proposed rule would adopt some recent accounting changes made by the Federal Communications Commission (FCC). These changes include increasing the expense limit for some assets excluding personal computers, allowing tools and test equipment located in the central office to be expensed under the new limitation. This proposed rule affirms the use of Class A accounts by RUS borrowers; maintains the expense matrix requirements; maintains the requirement that borrowers request prior approval to record extraordinary items, prior period adjustments, and contingent liabilities; establishes policies and procedures to permit RUS borrowers to follow Prudent Utility Practice regarding the storage and retention of business records; and eliminates certain Telecommunications Plant Under Construction accounts. This proposed rule also adds three new accounting interpretations on Allowance for Funds Used During Construction, Reporting Comprehensive Income, and Disclosures about Pensions and Other Postretirement Benefits.
Written comments must be received by RUS or carry a postmark or equivalent no later than July 9, 2004.
You may submit comments by any of the following methods:
• Federal eRulemaking Portal: Go to
• Agency Web site:
• E-mail:
• Mail: Addressed to Richard Annan, Acting Director, Program Development and Regulatory Analysis, Rural Development Utility Programs, U.S. Department of Agriculture, 1400 Independence Avenue, SW., STOP 1522, Washington, DC 20250-1522.
• Hand Delivery/Courier: Addressed to Richard Annan, Acting Director, Program Development and Regulatory Analysis, Rural Development Utility Programs, U.S. Department of Agriculture, 1400 Independence Avenue, SW., Room 5168-S, Washington, DC 20250-1522.
Ms. Diana C. Alger, Chief, Technical Accounting and Auditing Staff, Program Accounting Services Division, Rural Utilities Service, Stop 1523, Room 2221-South Building, U.S. Department of Agriculture, Washington, DC 20250, telephone number (202) 720-5227.
This proposed rule has been determined to be not significant for purposes of Executive Order 12866 and, therefore, has not been reviewed by the Office of Management and Budget.
This proposed 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, all state and local laws and regulations that are in conflict with this rule will be preempted, no retroactive effort will be given to this rule, and, in accordance with section 212(e) of the Department of Agriculture Reorganization Act of 1994 (7 U.S.C. 6912(e)), administrative appeal procedures, if any, must be exhausted before an action against the Department or its agencies may be initiated.
RUS has determined that this proposed rule will not have a significant economic impact on a substantial number of small entities, as defined in the Regulatory Flexibility Act (5 U.S.C. 601
This rule implements provisions of the loan documents between RUS and those telecommunications utilities that borrow from RUS and represents an update of existing record retention requirements. The requirements reflect due diligence standards of both pubic and private lenders for borrowers in the telecommunications industry. Moreover, the requirements reflect generally accepted telecommunications industry standards and are consistent with requirements imposed by many State and Federal utility regulatory bodies. The rule is not expected to materially change the current practices of most RUS borrowers and consequently will not have a significant impact on the affected entities.
This rule contains no new reporting or recordkeeping burdens under OMB control number 0572-0003 that would require approval under the Paperwork
The Administrator of RUS has determined that this proposed 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
This proposed rule is excluded from the scope of Executive Order 12372, Intergovernmental Consultation, which may require a consultation with State and local officials. See the final rule related notice titled, “Department Programs and Activities Excluded from Executive Order 12372” (50 FR 47034).
The program described by this proposed rule is listed in the Catalog of Federal Domestic Assistance Program under No. 10.851, Rural Telephone Loans and Loan Guarantees; No. 10.852, Rural Telephone Bank Loans; No. 10.857, Rural Broadband Access Loans and Loan Guarantees; and No. 10.854, Distance Learning and Telemedicine Loans and Grants. This catalog is available on a subscription basis from the Superintendent of Documents, the United States Government Printing Office, Washington, DC 20402. Telephone: (202) 512-1800.
This rule contains no Federal mandates (under the regulatory provisions of Title II of the Unfunded Mandates Reform Act of 1995) (2 U.S.C. 1501
This regulation will not have substantial direct effects on the States, on the relationship between the national government and the States, or on distribution of power and responsibilities among the various levels of government. Under Executive Order 13132, this rule does not have sufficient federalism implications for which we would prepare a Federalism Assessment.
In order to facilitate the effective and economic operation of a business, adequate and reliable financial records must be maintained. Accounting records must provide a clear, accurate picture of current economic conditions from which management can make informed decisions in charting the company's future. The rate regulated environment in which a telecommunications carrier operates causes an even greater need for financial information that is accurate, complete, and comparable with that generated by other carriers. For this reason, the Federal Communications Commission (FCC) prescribes a Uniform System of Accounts (USoA) for the telecommunications industry.
RUS, as a Federal lender and mortgagee, and in furthering the objectives of the Rural Electrification Act (RE Act) (7 U.S.C. 901
The RUS USoA parallels the USoA prescribed by the FCC for telecommunications utilities and, as such, is consistent with the standards of financial accounting in the telecommunications industry as a whole. As FCC amends its USoA, RUS reviews the appropriateness and applicability of each amendment and proposes revisions, as necessary, to the RUS USoA.
In Docket 95-60, published in the
The FCC published Docket 98-81 in the
RUS proposes combining accounts 2114 through 2116 into a single new account 2114, Tools and Other Work Equipment. Because the assets recorded in these accounts are similar in nature and use similar depreciation rates, we believe that combining them would not adversely impact loan security issues or the consistent and comparable reporting of financial information to RUS. Nor would it affect reporting for ratemaking purposes.
RUS proposes to eliminate account 5010 and to require that all nonregulated revenues be recorded in account 5280, Nonregulated Operating Revenue. This rule requires carriers to maintain subsidiary record categories for each nonregulated revenue item recorded in this account. Our interest is in ensuring that nonregulated revenues be segregated from regulated revenues. This proposed change would achieve that goal.
Docket 98-81 also eliminated the requirement in 47 CFR 32.16 for filing projected future effects of an accounting change (revenue requirement study) and the requirement in 47 CFR 32.2000(b) that borrowers submit for approval, journal entries to record telecommunications plant acquisitions of more than $1 million Class A companies and more than $250,000 for Class B companies. Because the need for this level of approval no longer exists, RUS proposes to eliminate these requirements.
The FCC published Docket 99-253 in the
The FCC has also eliminated the requirement for carriers to obtain prior approval before recording extraordinary items, contingent liabilities, and prior period adjustments as previously required in 47 CFR 32.25. RUS proposes to retain this requirement for borrowers of the RUS Telecommunications Program.
Additionally, this docket eliminated the expense matrix requirement found in 47 CFR 32.5999. The information provided by this matrix is invaluable for RUS in its analysis of the financial condition of borrowers. RUS, therefore, proposes to retain the expense matrix requirement.
Because account 2004 has been eliminated from the FCC USoA, RUS proposes to delete accounts 2004.1, 2004.2, and 2004.3 from the accounts required under 7 CFR 1770.15 and rename and redefine accounts 2003.1, 2003.2, and 2003.4.
In response to a change by the FCC of its revenue threshold for classification of Class A carriers, RUS proposes to require that all borrowers using the Class A system of accounts as of the publication date of this proposed rule be required to continue using this system and all new borrowers adopt the Class A system of accounts. RUS shall continue to require financial information that can be analyzed and compared with the operations of all other borrowers in the RUS program. For this reason, RUS borrowers must continue to maintain financial records that utilize uniform accounts and uniform accounting policies and procedures.
To ensure that borrowers consistently report their financial operations and keep pace with the changing environment in which they operate, RUS is proposing to set forth accounting interpretations that establish the reporting and disclosure requirements for Reporting Comprehensive Income and Disclosures about Pensions and Other Postretirement Benefits.
RUS is proposing to revise 7 CFR part 1770 to change the word “companies” to “borrowers” in all instances to better reflect the current nature of the industry. RUS also proposes to specifically identify the organizational unit within RUS to which requests for approval and interpretations should be addressed. This revision should assist borrowers in filing requests and should expedite the review process within RUS.
On November 5, 2001, the FCC released its' “Report and Order in CC Docket NOS. 00-199, 97-212, and 80-286 Further Notice of Proposed Rulemaking in CC Docket NOS. 00-199, 99-301, and 80-286” addressing: (1) The 2000 Biennial Regulatory Review—Comprehensive Review of the Accounting Requirements and Automated Reporting Management Information System (ARMIS) Reporting Requirements for Incumbent Local Exchange Carriers: Phase 2, (2) Amendments to the Uniform System of Accounts for Interconnection, (3) Jurisdictional Separations Reform and Referral to the Federal-State Joint Board, and (4) Local Competition and Broadband reporting. This order contains a number of items that RUS proposes to incorporate into its USoA.
The FCC created new subaccounts for accounts 2212, 2232, 6212, 6232, and 6620. Account 2212, Digital Electronic Switching, will have subaccounts 2212.1, Circuit, and 2212.2, Packet. Account 2232, Circuit Equipment, will have subaccounts 2232.1, Electronic, and 2232.2, Optical. Account 6212, Digital Electronic Switching Expense, will have subaccounts 6212.1, Circuit, and 6212.2, Packet. Account 6232, Circuit Equipment Expense, will have subaccounts 6232.1, Electronic, and 6232.2, Optical. Account 6620, Services, will have subaccounts 6620.1, Wholesale, and 6620.2, Retail. RUS proposes to adopt these changes.
The FCC revised §§ 32.1220(h) and 32.2311(f) of 47 CFR part 32 and eliminated the annual inventory requirement for materials and supplies, and station apparatus in stock. Borrowers would be allowed the latitude to determine the appropriate inventory validation methodology based on risk assessment and existing controls. RUS proposes to adopt this change.
Additionally, under 7 CFR part 32, § 32.4999(L) the FCC eliminated the “treated traditionally” requirement from incidental activities. Revenues from minor nontariffed activities that are an outgrowth of the borrower's regulated activities may be recorded as regulated revenues under certain conditions. However, the FCC maintained the other three requirements to provide safeguards to prevent misuse of the incidental activities exception. RUS proposes to adopt this change.
The FCC addressed the affiliate transaction rules under § 32.27 in five distinct areas by: (1) Eliminating the requirement that carriers make a fair market value comparison for asset transfers when the total annual value of that asset is less than $500,000; (2) giving carriers flexibility in valuing certain transactions by allowing the higher or lower of cost or market valuation to operate as either a floor or ceiling, depending on the direction of the transaction; (3) lowering the percent of sales of assets or services to third parties, from greater than 50 percent to 25 percent, in order to qualify for prevailing price treatment in valuing affiliate transactions; (4) maintaining the narrowly defined exception that provides when an incumbent carrier purchases services from an affiliate that exists solely to provide services to members of the carrier's corporate family, the carrier may record the services at fully distributed cost rather than applying the cost or market rule; and (5) maintaining the affiliate transaction rules and not exempting nonregulated to nonregulated transactions from the affiliate transaction rules. RUS proposes not to adopt these changes.
The FCC modified § 32.5280(c) so that incumbent local exchange carriers (ILEC's) may group their nonregulated revenues into two groups: One subsidiary record for all the revenues from regulated services treated as nonregulated for federal accounting purposes pursuant to the FCC order, and the second for all other nonregulated revenues. RUS proposes not to adopt these changes.
Additionally, the FCC streamlined many of its accounting rules and reporting requirements by reducing the number of Class A accounts from 296 to 164, and the number of Class B accounts from 113 to 82 accounts. RUS proposes not to adopt this change.
On November 12, 2002, the FCC released an Order that suspended implementation of four accounting and recordkeeping rule modifications they previously adopted: (1) The consolidation of Accounts 6621 through 6623 into Account 6620, with subaccounts for wholesale and retail; (2) the consolidation of Account 5230, Directory Revenue into Account 5200, Miscellaneous Revenue; (3) the consolidation of the depreciation and amortization expense accounts (Accounts 6561 through 6565) into Account 6562, Depreciation and Amortization Expense; and (4) the revised “Loop Sheath Kilometers” data collection in Table II of ARMIS Report 43-07. RUS agrees with this suspension.
The suspension will allow the recently established Federal-State Joint Conference on Accounting Issues to review these rules before carriers are required to implement them. However, those reforms included in the FCC's November 5, 2001, Report and Order and Further Notice of Proposed Rulemaking, took effect January 1, 2003.
Loan programs—communications, Reporting and recordkeeping requirements, Rural areas, Telecommunications, Uniform System of Accounts.
For the reasons set out in the preamble, RUS proposes to amend chapter XVII of title 7 of the Code of Federal Regulations by amending part 1770 to read as follows:
1. The authority citation for part 1770 continues to read as follows:
7 U.S.C. 901
2. The heading for part 1770 is revised to read as set out above.
3. Subpart A is revised to read as follows:
(a) This subpart establishes RUS polices and procedures for the preservation of records of telecommunications borrowers.
(b) The regulations prescribed in this part apply to all books of account, contracts, records, memoranda, documents, papers, and correspondence prepared by or on behalf of the borrower as well as those which come into its possession in connection with the acquisition of property by purchase, consolidation, merger, etc.
(c) The regulations prescribed in this part shall not be construed as excusing compliance with any other lawful requirements for the preservation of records.
Each borrower shall designate one or more officials to supervise the preservation of its records.
(a) Each borrower shall maintain a master index of records. The master index shall identify the records retained, the related retention period, and the locations where the records are maintained. The master index shall be subject to review by RUS and RUS shall reserve the right to add records, or lengthen retention periods upon finding that retention periods may be insufficient for its purposes.
(b) At each office where records are kept or stored the borrower shall arrange, file, and index the records currently at that site so that they may be readily identified and made available to representatives of RUS.
Each RUS borrower has the flexibility to select its own storage media subject to the following conditions:
(a) The storage media must have a life expectancy at least equal to the applicable retention period provided for in the master index of records, unless there is quality transfer from one media to another with no loss of data. Each transfer of data from one media to another must be verified for accuracy and documented.
(b) Each borrower is required to implement internal control procedures that assure the reliability of, and ready access to, data stored on machine-readable media. Internal control procedures must be documented by a responsible supervisory official.
(c) The records shall be indexed and retained in such a manner that they are easily accessible.
(d) The borrower shall have the hardware and software available to locate, identify, and reproduce the records in readable form without loss of clarity.
(e) At the expiration of the retention period, the borrower may use any appropriate method to destroy records.
(f) When any records are lost or destroyed before the expiration of the retention period set forth in the master index, a certified statement shall be added to the master index listing, as far as may be determined, the records lost or destroyed and describing the circumstances of the premature loss or destruction.
(a) Except as provided for in paragraphs (b), (c), and (d) of this section, record retention shall be consistent with Prudent Utility Practice. Prudent Utility Practice shall mean any of the practices, methods, and acts which, in the exercise of reasonable judgment, in light of the facts, including but not limited to, the practices, methods, and acts engaged in or approved by a significant portion of the telecommunications industry prior thereto, known at the time the decision was made, would have been expected to accomplish the desired result consistent with cost effectiveness, reliability, safety, and expeditiousness. It is recognized that Prudent Utility Practice is not intended to be limited to optimum practice, method, or act to the exclusion of all others, but rather is a spectrum of possible practices, methods, or acts which could have been expected to accomplish the desired result at the lowest reasonable cost consistent with cost effectiveness, reliability, safety, and expedition.
(b) Records supporting construction financed by RUS shall be retained until audited and approved by RUS.
(c) Records related to plant in service must be retained until the facilities are permanently removed from utility service, all removal and restoration activities are completed, and all costs are retired from the accounting records unless accounting adjustments resulting from reclassification and original costs studies have been approved by RUS or other regulatory body having jurisdiction.
(d) Life and mortality study data for depreciation purposes must be retained for 25 years or for 10 years after plant is retired whichever is longer.
4-5. Amend § 1770.11 by revising paragraphs (b)(1) and (b)(2) to read as follows:
(b) * * *
(1) RUS borrowers maintaining the accounts prescribed in 47 CFR part 32 for Class A companies as of [EFFECTIVE DATE OF FINAL RULE] shall continue to do so. RUS suspends implementation of the reduced number of Class A and B accounts, until the Federal-State Joint Conference has reviewed them.
(2) New borrowers under the RUS telecommunications program shall maintain the accounts prescribed in 47 CFR part 32 for Class A companies.
6. Amend § 1770.13 by revising paragraph (d) to read as follows:
(d) Interpretations of RUS accounting requirements shall be referred to the Assistant Administrator, Program Accounting and Regulatory Analysis, Rural Utilities Service.
7. Section 1770.15 is amended by:
A. Removing account entries 2004.1, 2004.2, and 2004.3;
B. Revising account entries 2003.1, 2003.2, and 2003.3, and
C. Adding new subaccount entries 2212, 2232, 6212, 6232, and 6620.
This revision and addition are to read as follows:
8. Section 1770.17 is added to read as follows:
The expense accounts shall be maintained by the following subsidiary record categories, as appropriate to each account. Such subsidiary record categories shall be reported as required by 47 CFR part 43.
(a)
(b)
(1) Pensions;
(2) Savings plan contributions (company portion);
(3) Worker's compensation required by law;
(4) Life, hospital, medical, dental, and vision plan insurance; and
(5) Social Security and other payroll taxes.
(c)
(2) This subsidiary record category is applicable only to the Plant Specific Operations Expense accounts. Incidental rents,
(d)
(e)
9. Section 1770.25 is added to read as follows:
Extraordinary items, prior period adjustments and contingent liabilities shall be submitted to RUS for review before being recorded in the company's books of account. The materiality of corrections of errors in prior periods shall be measured in relation to the summary account level used for reporting purposes for Class A companies, or in relation to total operating revenues or total operating expenses for Class B companies. For Class A companies, no correction in excess of one percent of the aggregate summary account dollars or one million dollars, whichever is higher, may be recorded in current operating accounts without prior approval. For Class B companies, no correction which exceeds one percent of total operating revenues or one percent of total operating expenses, depending on the nature of the item, may be recorded in current operating accounts without prior approval.
10-12. The Appendix to Subpart C is amended by:
A. Adding under “Numerical Index” and “Number and Title”, in numerical order, the new numbers and their respective titles;
B. Adding under “Subject Matter Index”, in alphabetic order, new subjects and their respective number, and
C. Add at the end of this Appendix, the new numbers and descriptions.
These additions are to read as follows:
A. Statement of Financial Accounting Standard No. 34, Capitalization of Interest Cost, established the standards for capitalizing interest cost as a part of the historical cost of acquiring certain assets. In order to capitalize interest, the asset must require a period of time to complete or to get it ready for its intended use. This standard applies to all entities that construct facilities for their own use and should be applied by RUS Telecommunications borrowers as follows:
1. Only actual interest costs incurred on external borrowings qualify to be capitalized. The interest rate used to calculate the amount of interest to be capitalized is based on the companies external borrowings. If a construction project is associated with specific debt, the interest rate on that debt is used to calculate interest cost to be capitalized. If the project is not associated with a specific debt, a weighted average of the rates of all existing debt shall be applied to expenditures for the project. There is no materiality threshold for adoption of this standard (47 CFR 32.26).
2. If a borrower is involved in a joint construction project, all determinations as to the amount of interest incurred and qualified for capitalization must be based on individual financing arrangements with regard to the Interest During Construction rules.
3. The capitalization period shall end when the asset is substantially complete and ready for its intended use.
A. The following information with respect to interest cost shall be disclosed in the financial statements or related notes:
1. For an accounting period in which no interest cost is capitalized, the amount of interest cost incurred and charged to expense during the period.
2. For an accounting period in which some interest cost is capitalized, the total amount of interest cost incurred during the period and the amount thereof that has been capitalized.
A. In June 1997, the Financial Accounting Standards Board issued Statement of Financial Accounting Standards No. 130, Reporting Comprehensive Income. This statement requires that all items that meet the definition of the components of comprehensive income be reported in the financial statements for the period in which they are recognized. Statement 130 establishes a distinction between
1.
2.
(a) Foreign currency items,
(b) Minimum pension liability adjustments, and
(c) Unrealized gains and losses on certain investments in debt and equity securities.
Gains or losses on investment securities included in the net income of the current period that also had been included in other comprehensive income as unrealized holding gains or losses in a prior period must be adjusted (called reclassification adjustments) in the presentation of other comprehensive income in the current period.
B.
Net Income ± items of
While Statement 130 requires that comprehensive income should be divided into two broad display classifications, net income and other comprehensive income, it does not prescribe a specific format for displaying comprehensive income in the financial statements.
C. RUS telecommunications borrowers that present a single Statement of Operations and Patronage Capital should present the components of
A. Statement of Financial Accounting Standards (SFAS) No. 132, Employers' Disclosures about Pensions and Other Postretirement Benefits, issued in February 1998, is effective for fiscal years beginning after December 15, 1998. This statement revises employers' disclosure requirements for pension and other postretirement benefit plans. It does not change the measurement or recognition of those plans. The statement also permits reduced disclosures for nonpublic entities, which are defined as any entity other than one:
1. Whose debt or equity securities trade in a public market either on a domestic or foreign stock exchange or in the over-the-counter market, including securities quoted only locally or regionally,
2. That makes a filing with a regulatory agency in preparation for the sale of any class of debt or equity securities in a public market, or
3. That is controlled by an entity covered by 1 or 2 above.
A. A commercial RUS Telecommunications borrower that meets the definition of a public entity and sponsors one or more defined benefit pension or postretirement benefit plan shall provide the following information on a comparative basis for the statements presented:
1. A reconciliation of beginning and ending balances of the benefit obligation showing separately, if applicable, the effects during the period attributable to each of the following:
(a) Service cost,
(b) Interest cost,
(c) Contributions by plan participants,
(d) Actuarial gains and losses,
(e) Foreign currency exchange rate changes,
(f) Benefits paid,
(g) Plan amendments,
(h) Business combinations,
(i) Divestitures,
(j) Curtailments,
(k) Settlements, and
(l) Special termination benefits.
2. A reconciliation of beginning and ending balances of the fair value of plan assets showing separately, if applicable, the effects during the period attributable to each of the following:
(a) Actual return on plan assets,
(b) Foreign currency exchange rate changes,
(c) Contributions by the employer,
(d) Contributions by plan participants,
(e) Benefits paid,
(f) Business combinations,
(g) Divestitures, and
(h) Settlements.
3. The funded status of the plans, the amounts not recognized in the statement of financial position, and the amounts recognized in the statement of financial position, including:
(a) The amount of any unamortized prior service cost.
(b) The amount of any unrecognized net gain or loss (including asset gains and losses not yet reflected in market-related value).
(c) The amount of any remaining unamortized, unrecognized net obligation or net asset existing at the initial date of application of SFAS No. 87, Employers' Accounting for Pensions, or SFAS No. 106, Employers' Accounting for Postretirement Benefits Other Than Pensions.
(d) The net pension or other postretirement benefit prepaid assets or accrued liabilities.
(e) Any intangible asset and the amount of accumulated other comprehensive income recognized pursuant to paragraph 37 of SFAS No. 87, as amended.
4. The amount of net periodic benefit cost recognized, showing separately:
(a) The service cost component,
(b) The interest cost component,
(c) The expected return on plan assets for the period,
(d) The amortization of the unrecognized transition obligation or transition asset,
(e) The amount of recognized gains and losses, the amount of prior service cost recognized, and
(f) The amount of gain or loss recognized due to a settlement or curtailment.
5. The amount included within other comprehensive income for the period arising from a change in the additional minimum pension liability recognized pursuant to paragraph 37 of SFAS No. 87, as amended.
6. On a weighted-average basis, the following assumptions used in the accounting for the plans:
(a) Assumed discount rate,
(b) Rate of compensation increase (for pay-related plans), and
(c) Expected long-term rate of return on plan assets.
7. The assumed health care cost trend rate(s) for the next year used to measure the expected cost of benefits covered by the plan (gross eligible charges) and a general description of the direction and pattern of change in the assumed trend rates thereafter, together with the ultimate trend rate(s) and when that rate is expected to be achieved.
8. The effect of a one-percentage-point increase and the effect of a one-percentage-point decrease in the assumed health care cost trend rates on (for purposes of this disclosure, all other assumptions shall be held constant, and the effects shall be measured based on the substantive plan that is the basis for the accounting):
(a) The aggregate of the service and interest cost components of net periodic postretirement health care benefit cost, and
(b) The accumulated postretirement benefit obligation for health care benefits.
9. If applicable, the amounts and types of securities of the employer and related parties included in plan assets, the approximate amount of future annual benefits of plan participants covered by insurance contracts issued by the employer or related parties, and any significant transactions between the employer or related parties and the plan during the period.
10. If applicable, any alternative amortization method used to amortize prior service amounts or unrecognized net gains and losses pursuant to paragraphs 26 and 33 of SFAS No. 87 or paragraphs 53 and 60 of SFAS No. 106.
11. If applicable, any substantive commitment, such as past practice or a history of regular benefit increases, used as the basis for accounting for the benefit obligation.
12. If applicable, the cost of providing special or contractual termination benefits recognized during the period and a description of the nature of the event.
13. An explanation of any significant change in the benefit obligation or plan assets not otherwise apparent in the other disclosures.
B. RUS Telecommunications borrowers that sponsor two or more pension or postretirement plans may aggregate the required disclosures. If the disclosures are aggregated, the aggregate benefit obligation and aggregate fair value of plan assets for plans with benefit obligations in excess of plan assets must be disclosed.
C. RUS Telecommunications borrowers sponsoring defined contribution plans shall disclose the amount of cost recognized for defined contribution pension or other postretirement benefit plans during the period separately from the amount of cost recognized for defined benefit plans. The disclosures shall include a description of the nature and effect of any significant changes during the period affecting comparability, such as a change in the rate of employer contributions, a business combination, or a divestiture.
A. RUS commercial and cooperative type borrowers that meet the definition of a nonpublic entity, as previously defined, may elect to meet the following reduced disclosure requirements:
1. The benefit obligation.
2. Fair value of plan assets.
3. Funded status of the plan.
4. Employer contributions.
5. Participant contributions.
6. Benefits paid.
7. The amounts recognized in the statement of financial position, including the net pension and other postretirement benefit prepaid assets or accrued liabilities and any intangible asset and the amount of accumulated other comprehensive income recognized pursuant to paragraph 37 of SFAS No. 87, as amended.
8. The amount of net periodic benefit cost recognized and the amount included within other comprehensive income arising from a change in the minimum pension liability recognized pursuant to paragraph 37 of SFAS No. 87, as amended.
9. On a weighted-average basis, the following assumptions used in the accounting for the plans: assumed discount
10. The assumed health care cost trend rate(s) for the next year used to measure the expected cost of benefits covered by the plan (gross eligible charges) and a general description of the direction and pattern of change in the assumed trend rates thereafter, together with the ultimate trend rate(s) and when that rate is expected to be achieved.
11. If applicable, the amounts and types of securities of the employer and related parties included in plan assets, the approximate amount of future annual benefits of plan participants covered by insurance contracts issued by the employer or related parties, and any significant transactions between the employer or related parties and the plan during the period.
12. The nature and effect of significant nonroutine events, such as amendments, combinations, divestitures, curtailments, and settlements.
B. The majority of RUS Telecommunications borrowers will fall within the definition of nonpublic entities with exception of those held by publicly traded holding companies.
A. An RUS Telecommunications borrower shall disclose the amount of contributions to multiemployer plans during the period. The borrower may disclose total contributions to multiemployer plans without disaggregating the amounts attributable to pensions and other postretirement benefits. The disclosures shall include a description of the nature and effect of any changes affecting comparability, such as a change in the rate of employer contributions, a business combination, or a divestiture.
B. In some cases, withdrawal from a multiemployer plan results in an obligation to the plan for a portion of the plan's unfunded accumulated postretirement benefit obligation. If it is either probable or reasonably possible that (a) an employer would withdraw from the plan under circumstances that would give rise to an obligation or (b) an employer's contribution to the fund would be increased during the remainder of the contract period to make up a shortfall in the funds necessary to maintain the negotiated level of benefit coverage, the employer shall apply the provisions of SFAS No. 5, Accounting for Contingencies.
Bureau of Industry and Security, Commerce.
Notice of public hearing.
On April 7, 2004, the Bureau of Industry and Security (BIS) received a written petition requesting the imposition of monitoring and export controls on copper scrap and copper-alloy scrap; the petitioner also requested a public hearing on the issue. This notice advises the public of the date, time, and location of the hearing, and establishes the procedures to be followed to request participation as a speaker, or to attend the hearing.
The public hearing will be held on May 19, 2004, in the auditorium of the Herbert C. Hoover Building, Department of Commerce, 14th Street and Pennsylvania Avenue, NW., Washington, DC 20230, from 10 a.m. to 5 p.m. At the Department's discretion, the public hearing may continue on May 20, 2004.
Requests to participate as a speaker at the hearing may be mailed to the Regulatory Policy Division, Attention: Copper Short Supply Petition, Bureau of Industry and Security, P.O. Box 273, Washington, DC 20044, or sent by facsimile to (202) 482-5650.
Daniel O. Hill, Director of the Office of Strategic Industries and Economic Security, Bureau of Industry and Security, who may be reached at (202) 482-4506.
On April 7, 2004, a petition was received by the Department of Commerce from the Copper & Brass Fabricators Council, Inc., and the Non-Ferrous Founders' Society requesting that the Department impose monitoring and controls on exports of recyclable metallic materials containing copper pursuant to the short supply provisions of section 7(c) of the Export Administration Act and section 754.7 of the Export Administration Regulations. The petition also requested that the Department hold a hearing on the subject of the petition.
As described in the April 22, 2004,
The Department will seek to provide an opportunity for a full range of perspectives regarding the petition. In the interest of fulfilling this objective, the Department reserves the right to select the presenters on the basis of their written requests to speak, and the written summaries of their proposed remarks. Should time constraints preclude including all of those requesting to be heard, priority consideration will be given to those presenters whose written request to speak, and accompanying statement summary, most comprehensively address the issues raised by the petitioner, and the areas of interest and information sought by the Department in its April 22, 2004,
The Department will notify each person selected to be heard no later than 5 p.m. on May 17, 2004. Persons selected to be heard should bring 25 copies of their statement to the hearing. The length of each presentation will be limited to ten minutes, with a subsequent period for questions from the members of the hearing panel. Members of the public or presenters who attend the hearing will not be permitted to question any other presenters or members of the panel.
Please be advised that the requests to participate at the hearing, the summaries of proposed remarks, and a transcript of the hearing will be made a matter of public record, and available for review on the BIS Web site at
The general public is invited to attend the hearing, and is advised that compliance with security procedures is required before entering the Department, so attendees should time their arrival accordingly.
Internal Revenue Service (IRS), Treasury.
Notice of proposed rulemaking and notice of public hearing.
This document contains proposed regulations on the definition of solid waste disposal facilities for purposes of the rules applicable to tax-exempt bonds issued by State and local governments. These regulations provide guidance to State and local governments that issue tax-exempt bonds to finance solid waste disposal facilities and to taxpayers that use those facilities. This document also contains a notice of public hearing on these proposed regulations.
Written or electronic comments must be received by August 9, 2004. Outlines of topics to be discussed at the public hearing scheduled for August 11,
Send submissions to CC:PA:LPD:PR (REG-140492-02), room 5203, Internal Revenue Service, POB 7604, Ben Franklin Station, Washington, DC 20044. Submissions may be hand delivered Monday through Friday between the hours of 8 a.m. and 4 p.m. to CC:PA:LPD:PR (REG-140492-02), Courier's Desk, Internal Revenue Service, 1111 Constitution Avenue, NW., Washington, DC. Alternatively, taxpayers may submit comments electronically to the IRS Internet site at
Concerning the regulations, Michael P. Brewer, (202) 622-3980; concerning submissions and the hearing, Sonya Cruse, (202) 622-4693 (not toll-free numbers).
Generally, interest on a State or local bond is excluded from gross income under section 103 of the Internal Revenue Code (Code). However, section 103(b) provides that the exclusion does not apply to a private activity bond unless the bond is a qualified bond. Section 141(e) defines
Section 1.103-8(f)(2)(ii)(
Former section 203(4) of the Solid Waste Disposal Act, as quoted in § 1.103-8(f)(2)(ii)(
Section 1.103-8(f)(2)(ii)(
Section 17.1(a) of the temporary Income Tax Regulations generally provides that, in the case of property that has both a solid waste disposal function and a function other than the disposal of solid waste, only the portion of the cost of the property allocable to the function of solid waste disposal is taken into account as an expenditure to provide solid waste disposal facilities. However, under § 17.1(a), a facility that otherwise qualifies as a solid waste disposal facility will not be treated as having a function other than solid waste disposal merely because material or heat that has utility or value is recovered or results from the disposal process. Section 17.1(a) provides that, when materials or heat are recovered, the waste disposal function includes the processing of those materials or heat that occurs in order to put them into the form in which the materials or heat are in fact sold or used, but does not include further processing that converts the materials or heat into other products.
Section 17.1(b) provides that the portion of the cost of property allocable to solid waste disposal is determined by allocating the cost of the property between the property's solid waste disposal function and any other functions by any method which, with reference to all the facts and circumstances with respect to the property, reasonably reflects a separation of costs for each function of the property.
In Notice 2002-51 (2002-2 C.B. 131) the IRS and Treasury Department requested public comments on the application of section 142(a)(6) to recycling facilities. Notice 2002-51 also invited comments on any other issues concerning the application of that Code provision.
In response to the Notice, commentators suggested that the rules governing exempt facility bonds for solid waste disposal facilities should be consistent with national policies to encourage, facilitate, and increase recycling. For example, commentators stated that the rules should not deny tax-exempt financing to recycling while providing such financing to landfills and municipal waste incinerators.
Commentators suggested revisions to the no-value test used for determining whether material is solid waste. For example, commentators suggested that material that has a market or other value at the place it is located only by reason of its value for recycling should not be considered to have a market or other value. Commentators also suggested that material acquired by a recycler should qualify as solid waste if the amounts paid to the packer, collector or similar party are not in excess of the cost of transporting and handling the material. Some commentators suggested that the determination of whether material is waste should be made at the point of generation prior to the time costs are incurred to divert the material from the waste stream.
Commentators also suggested that the determination of when the waste recycling process stops should not depend on whether the activity is being carried out by a single party or multiple parties, or whether there has been a change of ownership of the material.
The IRS and Treasury Department have considered these comments, and the proposed regulations contained in this document (the proposed regulations) implement a number of these recommendations.
The proposed regulations contain proposed amendments to 26 CFR part 1 regarding exempt facility bonds for solid waste disposal facilities. In light of the changes that have occurred in the waste recycling industry since the existing regulations were issued in 1972, the proposed regulations eliminate the no-
Thus, the proposed regulations provide that the term
For these purposes, the proposed regulations provide that
The first category of material that does not constitute solid waste is material that is introduced into a conversion process if the material is either: (1) A fossil fuel; or (2) any material that is grown, harvested, produced, mined, or otherwise created for the principal purpose of converting the material to heat, hot water, steam, or another useful form of energy. For this purpose, material is not treated as grown, harvested, produced, mined, or otherwise created for the principal purpose of converting the material to heat, hot water, steam, or another useful form of energy just because an operation is performed on the material to make the material more conducive to being converted to heat, hot water, or steam. For example, if material that is not otherwise grown, harvested, produced, mined, or created for the principal purpose of converting the material to a useful form of energy is formed into pellets to make the material more conducive to being incinerated to produce steam, the creation of pellets does not cause the material to be produced or created for the principal purpose of converting the material to steam.
The second category of material that does not constitute solid waste is any precious metal that is introduced into a recovery process.
The regulations are reserved with respect to any additional category of excluded material that may be specified with respect to a transformation process.
Under the proposed regulations, hazardous material is not solid waste if the material is disposed of at a facility that is subject to final permit requirements under subtitle C of title II of the Solid Waste Disposal Act (as in effect on October 22, 1986, the date of the enactment of the Tax Reform Act of 1986). Thus, under the proposed regulations, a hazardous waste disposal facility described in section 142(h)(1) would not qualify as a solid waste disposal facility.
Finally, the proposed regulations provide that radioactive material is not solid waste.
The proposed regulations provide that a facility is a
The proposed regulations define
Under the proposed regulations, a
The proposed regulations define
The proposed regulations define
The proposed regulations further provide that, if an end product is fabricated entirely from non-virgin material, the recovery process ends immediately before the non-virgin material is processed in the same or substantially the same way that virgin material is processed in a comparable fabrication process that uses only virgin material or a combination of virgin and non-virgin material.
The proposed regulations also specify that refurbishing, repair, or similar activities are not recovery processes.
Comments are requested on the definition of recovery process in the proposed regulations, including whether the definition should include processes, other than melting or re-pulping, that return material to a form in which the material previously existed.
The IRS and Treasury Department recognize that certain processes in which material is transformed for use in the creation of a useful product (
A facility is a solid waste disposal facility under the proposed regulations to the extent that the facility is used to perform a preliminary function. For this purpose, a
The proposed regulations provide that, in general, if a facility is used to perform both (1) a solid waste disposal function or a preliminary function, and (2) another function, then the costs of the facility allocable to the solid waste disposal function or the preliminary function are determined using any reasonable method, based on all the facts and circumstances. This rule applies, for example, if a facility is used (1) to process solid waste in a recovery process and (2) to perform another function that is neither a solid waste disposal function (because it does not process solid waste in a final disposal process, conversion process, recovery process, or transformation process) nor a preliminary function (because it is not preliminary and directly related to a solid waste disposal function).
The proposed regulations also contain a special rule to determine the portion of the costs of property that are allocable to a solid waste disposal function if the property is used to perform a final disposal process, conversion process, recovery process, or transformation process and the inputs to the process consist of solid waste and material that is not solid waste. Under this special rule, the portion of the costs of property used to perform such a process that are allocable to a solid waste disposal function equals the lowest percentage of solid waste processed in the process in any year while the issue is outstanding. The percentage of solid waste processed in such a process for any year is the percentage, by weight or volume, of the total materials processed in the process that constitute solid waste for that year. If, however, for each year while the issue is outstanding, solid waste constitutes at least 80 percent, by weight or volume, of the total materials processed in the process, all of the costs of the property used to perform the process are allocable to a solid waste disposal function.
The proposed regulations will apply to bonds that are: (1) Sold on or after the date that is 60 days after the date of publication of final regulations under section 142(a)(6) in the
It has been determined that this notice of proposed rulemaking is not a significant regulatory action as defined in Executive Order 12866. Therefore, a regulatory assessment is not required. It also has been determined that section 553(b) of the Administrative Procedure Act (5 U.S.C. chapter 5) does not apply to these regulations, and because the regulations do not impose a collection of information on small entities, the Regulatory Flexibility Act (5 U.S.C. chapter 6) does not apply. Pursuant to section 7805(f) of the Code, this notice of proposed rulemaking will be submitted to the Chief Counsel for Advocacy of the Small Business Administration for comment on its impact on small business.
Before these proposed regulations are adopted as final regulations, consideration will be given to any written (a signed original and eight (8) copies) or electronic comments that are submitted timely to the IRS. The IRS and Treasury Department request comments on the clarity of the proposed rules and how they can be made easier to understand. All comments will be available for public inspection and copying.
A public hearing has been scheduled for August 11, 2004, at 10 a.m. in the auditorium, Internal Revenue Building, 1111 Constitution Avenue, NW., Washington, DC. Due to building security procedures, visitors must enter at the Constitution Avenue entrance. In addition, all visitors must present photo identification to enter the building. Because of access restrictions, visitors will not be admitted beyond the lobby more than 30 minutes before the hearing starts. For information about having your name placed on the building access list to attend the hearing, see the
The rules of 26 CFR 601.601(a)(3) apply to the hearing. Persons who wish to present oral comments at the hearing must submit written comments by August 9, 2004 and submit an outline of the topics to be discussed and the amount of time to be devoted to each topic by August 4, 2004.
A period of 10 minutes will be allotted to each person for making comments. An agenda showing the scheduling of the speakers will be prepared after the deadline for receiving outlines has passed. Copies of the agenda will be available free of charge at the hearing.
Comments are requested on all aspects of the proposed regulations, including those aspects for which specific requests for comments are set forth above.
The principal authors of these regulations are Michael P. Brewer, Timothy L. Jones and Rebecca L. Harrigal, Office of Chief Counsel, IRS (TE/GE). However, other personnel from the IRS and Treasury Department participated in their development.
Income taxes, Reporting and recordkeeping requirements.
Accordingly, 26 CFR part 1 is proposed to be amended as follows:
26 U.S.C. 7805 * * *
(a)
(b)
(i) Used to perform a solid waste disposal function (within the meaning of paragraph (b)(2) of this section);
(ii) Used to perform a preliminary function (within the meaning of paragraph (b)(3) of this section); or
(iii) Functionally related and subordinate (within the meaning of § 1.103-8(a)(3)) to a facility that is used to perform a solid waste disposal function or a preliminary function.
(2)
(i) A final disposal process (as defined in paragraph (d) of this section);
(ii) A conversion process (as defined in paragraph (e) of this section);
(iii) A recovery process (as defined in paragraph (f) of this section); or
(iv) A transformation process (as defined in paragraph (g) of this section).
(3)
(4)
(i) A solid waste disposal function or a preliminary function; and
(ii) Another function.
(c)
(2)
(ii)
(A) A fossil fuel; or
(B) Any material that is grown, harvested, produced, mined, or otherwise created for the principal purpose of converting the material to heat, hot water, steam, or another useful form of energy. For example, organic material that is closed-loop biomass under section 45(c) is described in this paragraph (c)(2)(ii) if the material is introduced into a conversion process. Material is not treated as described in this paragraph (c)(2)(ii) just because an operation is performed on the material to make the material more conducive to being converted to heat, hot water, or steam. For example, if material that is not otherwise grown, harvested, produced, mined, or created for the principal purpose of converting the material to a useful form of energy is formed into pellets to make the material more conducive to being incinerated to produce steam, the creation of pellets does not cause the material to be produced or created for the principal purpose of converting the material to steam.
(iii)
(iv)
(v)
(vi)
(d)
(1) The placement of material in a landfill; or
(2) The incineration of material without any useful energy being captured.
(e)
(f)
(2)
(3)
(g)
(h)
(2)
(ii)
(i)
Garbage trucks collect solid material at curbside from businesses and residences and dump the material in a landfill owned by Company A. The landfill is not subject to final permit requirements under subtitle C of title II of the Solid Waste Disposal Act (as in effect on the date of the enactment of the Tax Reform Act of 1986). The placement of material in the landfill is a final disposal process. The solid material placed in the landfill is solid waste under paragraph (c) of this section. Therefore, the landfill is a solid waste disposal facility.
Company B re-pulps magazines and cleans the pulp. After cleaning, B mixes the pulp with virgin material and uses the mixed material to produce rolls of paper towels. Before the mixing, the re-pulped material is not processed in the same or substantially the same way that virgin material is processed to produce the paper towels. The process starting with the re-pulping of the magazines and ending immediately before the re-pulped material is mixed with the virgin material is a recovery process. The magazines introduced into the recovery process are solid waste. Therefore, the property that re-pulps the magazines and the property that cleans the re-pulped material are used to perform a solid waste disposal function.
Company C owns a paper mill. At the mill, logs from nearby timber operations are processed through a machine that removes bark. The stripped logs are used to manufacture paper. The stripped bark falls onto a conveyor belt that transports the bark to a storage bin used to briefly store the bark until C feeds the bark into a boiler. The conveyor belt and storage bin are used only for these purposes. The boiler is used only to create steam by burning the bark, and the steam is used to generate electricity. The creation of steam from the stripped bark is a conversion process that starts with the incineration of the stripped bark. The conversion process is a solid waste disposal function. The conveyor belt performs a collection activity that is preliminary and that is directly related to the solid waste disposal function. The storage bin performs a storage function that is preliminary and that is directly related to the solid waste disposal function. Thus, the conveyor belt and storage bin are solid waste disposal facilities. The removal of the bark does not have a sufficient nexus to the conversion process to be directly related to the conversion process; the process of removing the bark does not become directly related to the conversion process merely because it results in material that will be waste used in the conversion process.
Company D owns an incinerator financed by an issue and uses the incinerator exclusively to burn coal (a fossil fuel) and other solid material to create steam that is used to generate electricity. Each year while the issue is outstanding, 30 percent by volume and 40 percent by weight of the solid material that D processes in the conversion process is a fossil fuel. The remainder of the solid material processed is neither a fossil fuel nor material that was grown, harvested, produced, mined, or otherwise created for the principal purpose of converting the material to heat, hot water, steam, or another useful form of energy. Seventy percent of the costs of the property used to perform the conversion process are allocable to a solid waste disposal function.
Company E owns and operates a facility financed by an issue and uses the facility exclusively to sort damaged bottles from bottles that may be re-filled. The damaged bottles are directly introduced into a process that melts them for use in the fabrication of an end product. The melting process is a recovery process. Each year while the issue is outstanding, more than 50 percent, by weight or volume, of all of the bottles that pass out of the sorting process are damaged bottles that are processed in a recovery process. The sorting facility performs a preliminary function, but it also performs another function. The costs of the sorting facility allocable to the preliminary function are determined using any reasonable method, based on all the facts and circumstances.
(j)
(i) Sold on or after the date that is 60 days after the date of publication of final regulations in the
(ii) Subject to section 142.
(2)
United States Patent and Trademark Office, Commerce.
Proposed rule.
The United States Patent and Trademark Office (referred to as “we”, “us”, or “our” in this notice) is proposing to adjust certain patent fee amounts to reflect fluctuations in the Consumer Price Index (CPI). Also, we are proposing to adjust, by a corresponding amount, a few patent fees
Legislation has been proposed and passed by the House of Representatives that would alter our fee amounts and procedures. The United States Patent and Trademark Fee Modernization Act of 2004 (H.R. 1561) passed the House of Representatives on March 3, 2004. Similar legislation is pending in the Senate as S. 1760. If enacted, this legislation would supersede certain patent fee amounts identified in this proposed rule.
Comments must be submitted on or before June 9, 2004.
You may submit comments, identified by RIN number 0651-AB70, by any of the following methods:
• Federal eRulemaking Portal:
•
•
•
Tamara McClure by e-mail at
This proposed rule would adjust our fees in accordance with the applicable provisions of title 35, United States Code, as amended by the Consolidated Appropriations Act, Fiscal Year 2000 (which incorporated the Intellectual Property and Communications Omnibus Reform Act of 1999) (Pub. L. 106-113). This proposed rule would also adjust, by a corresponding amount, a few patent fees (37 CFR 1.17(e), (r), (s), and (t)) that track statutory fees (either 37 CFR 1.16(a) or 1.17(m)).
Legislation has been proposed and passed by the House of Representatives that would alter our fee amounts and procedures. The United States Patent and Trademark Fee Modernization Act of 2004 (H.R. 1561) passed the House of Representatives on March 3, 2004. Similar legislation is pending in the Senate as S. 1760. Customers should be aware that legislative changes to our fees would supersede certain patent fees in this proposed rule. If such legislative changes occur, we will need to make corresponding changes to the rules of practice to conform them to the fees as set forth in such legislation. Customers may wish to refer to our official Web site at
Patent fees are authorized by 35 U.S.C. 41, 119, 120, 132(b) and 376. For fees paid under 35 U.S.C. 41(a) and (b) and 132(b), independent inventors, small business concerns, and nonprofit organizations who meet the requirements of 35 U.S.C. 41(h)(1) are entitled to a fifty-percent reduction.
Section 41(f) of title 35, United States Code, provides that fees established under 35 U.S.C. 41(a) and (b) may be adjusted on October 1, 1992, and every year thereafter, to reflect fluctuations in the CPI over the previous twelve months.
Section 41(d) of title 35, United States Code, authorizes the Director to establish fees for all other processing, services, or materials related to patents to recover the average cost of providing these services or materials, except for the fees for recording a document affecting title, for each photocopy, for each black and white copy of a patent, and for standard library service.
Section 41(g) of title 35, United States Code, provides that new fee amounts established by the Director under section 41 may take effect thirty days after notice in the
The patent statutory fees established by 35 U.S.C. 41(a) and (b) are proposed to be adjusted on October 1, 2004, to reflect fluctuations occurring during the twelve-month period from October 1, 2003, through September 30, 2004, in the Consumer Price Index for All Urban Consumers (CPI-U). The Office of Management and Budget has advised us that in calculating these fluctuations, we should use CPI-U data as determined by the Secretary of Labor. In accordance with previous fee-setting methodology, we base this fee adjustment on the Administration's projected CPI-U for the twelve-month period ending September 30, 2004, which is 1.1 percent. Based on this projected CPI-U, patent statutory fees are proposed to be adjusted by 1.1 percent. Before the final fee amounts are published, the fee amounts may be adjusted based on actual fluctuations in the CPI-U published by the Secretary of Labor.
Certain patent processing fees established under 35 U.S.C. 41(d), 119, 120, 132(b), 376, and Public Law 103-465 (the Uruguay Round Agreements Act) are proposed to be adjusted to reflect fluctuations in the CPI.
The fee amounts were rounded by applying standard arithmetic rules so that the amounts rounded will be convenient to the user. Fees for other than a small entity of $100 or more were rounded to the nearest $10. Fees of less than $100 were rounded to an even number so that any comparable small entity fee will be a whole number.
Any fee amount that is paid on or after the effective date of the proposed fee adjustment would be subject to the new fees then in effect. The amount of the fee to be paid will be determined by the time of filing. The time of filing will be determined either according to the date of receipt in our office or the date reflected on a proper Certificate of Mailing or Transmission, where such a certificate is authorized under 37 CFR 1.8. Use of a Certificate of Mailing or Transmission is not authorized for items that are specifically excluded from the provisions of § 1.8. Items for which a Certificate of Mailing or Transmission under § 1.8 are not authorized include, for example, filing of Continued Prosecution Applications (CPAs) under § 1.53(d) and other national and international applications for patents. See 37 CFR 1.8(a)(2).
Patent-related correspondence delivered by the “Express Mail Post Office to Addressee” service of the United States Postal Service (USPS) is considered filed or received in our office on the date of deposit with the USPS. See 37 CFR 1.10(a)(1). The date of deposit with the USPS is shown by the “date-in” on the “Express Mail” mailing label or other official USPS notation.
To ensure clarity in the implementation of the proposed new fees, a discussion of specific sections is set forth below.
Section 1.16, paragraphs (a), (g) and (h), if revised as proposed, would adjust fees established therein to reflect fluctuations in the CPI.
Section 1.17, paragraphs (a)(3) through (a)(5), (e), (m), and (r) through (t), if revised as proposed, would adjust fees established therein to reflect fluctuations in the CPI.
Section 1.18, paragraphs (a) through (c), if revised as proposed, would adjust fees established therein to reflect fluctuations in the CPI.
Section 1.20, paragraphs (e) through (g), if revised as proposed, would adjust fees established therein to reflect fluctuations in the CPI.
Section 1.492, paragraphs (a)(1) through (a)(3), and (a)(5) if revised as proposed, would adjust fees established therein to reflect fluctuations in the CPI.
This proposed rule contains no information collection requirements within the meaning of the Paperwork Reduction Act of 1995, 44 U.S.C. 3501
The Deputy General Counsel for General Law of the United States Patent and Trademark Office has certified to the Chief Counsel for Advocacy, Small Business Administration, that the proposed rule change would not have a significant economic impact on a substantial number of small entities (Regulatory Flexibility Act, 5 U.S.C. 605(b)).
By statute, the USPTO's Director is expressly authorized to adjust fees annually to reflect fluctuations in the CPI.
The proposed rule increases fees to reflect the change in the CPI as authorized by 35 U.S.C. 41(f). The fee increases would range from a minimum of $10 to a maximum of $40 under the proposed rule.
Under 35 U.S.C. 41(h)(1) small entities are accorded a fifty-percent reduction in most patent fees. Consequently, the small entity fee increases would range from a minimum of $5 to a maximum of $20 under the proposed rule. The sole exception under this proposed rule package is the fee set forth under 35 CFR 1.17(t), which does not qualify for a small entity fee reduction. The fee increase for 35 CFR 1.17(t) is only $10.
Accordingly, the proposed rule does not have a significant economic impact on a substantial number of small entities.
Administrative practice and procedure, Patents.
For the reasons set forth in the preamble, we are proposing to amend title 37 of the Code of Federal Regulations, Part 1, as set forth below.
1. The authority citation for 37 CFR Part 1 would continue to read as follows:
35 U.S.C. 2, unless otherwise noted.
2. Section 1.16 is proposed to be amended by revising paragraphs (a), (g), and (h) to read as follows:
3. Section 1.17 is proposed to be amended by revising paragraphs (a)(3) through (a)(5), (e), (m), and (r) through (t) to read as follows:
(a) * * *
(1) * * *
(2) * * *
4. Section 1.18 is proposed to be amended by revising paragraphs (a) through (c) to read as follows:
5. Section 1.20 is proposed to be amended by revising paragraphs (e) through (g) to read as follows:
6. Section 1.492 is proposed to be amended by revising paragraphs (a)(1) through (a)(3) and (a)(5) to read as follows:
(a) The basic national fee:
Postal Service.
Proposed rule.
This proposed rule amends the regulations that define a postage meter and its components and a manufacturer and/or distributor of postage meters. The proposed rule also puts forth the responsibilities of any authorized person or entity to notify the Postal Service upon a change in ownership or control, or bankruptcy or insolvency, and identifies factors the Postal Service will consider in acting upon requests for changes of approval or ownership or control of an approved manufacturer or distributor.
Comments must be received on or before July 9, 2004.
Wayne Wilkerson, manager of Postage Technology Management, by fax at 703-292-4050.
Title 39, Code of Federal Regulations (CFR) Part 501, Authorization to Manufacture and Distribute Postage Meters, expands the definition of a postage meter and its components to include all postage evidencing systems that produce evidence of prepayment of postage by any method other than postage stamps or permit imprints. This part also expands the activities of persons or entities that must be approved by the Postal Service. These changes are required to address the evolution in postage evidencing technology in recent years. The events requiring notification to the Postal Service are hereby expanded to include changes in the financial condition of the authorized party, such as bankruptcy and insolvency as well as a change in ownership or control.
Administrative practice and procedure, Postal Service.
For the reasons set out in this document, the Postal Service is proposing to amend 39 CFR part 501 as follows:
1. The authority citation for part 501 continues to read as follows:
5 U.S.C. 552(a); 39 U.S.C. 101, 401, 403, 404, 410, 2601, 2605; Inspector General Act of 1978, as amended (Pub. L. 95-452, as amended), 5 U.S.C. App. 3.
2. Amend § 501.1 by replacing the title and all text to read as follows:
a. Postage evidencing systems produce evidence of prepayment of U.S. postage by any method other than postage stamps or permit imprint. They include but are not limited to postage meters and PC Postage® systems.
b. Due to the potential for adverse impact upon Postal Service revenue, the following activities may not be engaged in by any person or concern without prior, written approval of the Postal Service:
i. Producing or distributing any postage evidencing system that generates U.S. postage.
ii. Repairing, distributing, refurbishing, remanufacturing or destroying any component of a postage evidencing system that accounts for or authorizes the printing of U.S. postage.
iii. Owning or operating an infrastructure that maintains operating data for the production of U.S. postage; maintains data concerning users or use of a postage evidencing systems; or accounts for U.S. postage purchased for distribution through a postage evidencing system.
iv. Owning or operating an infrastructure that maintains operating data or data concerning existing or proposed users of a postage evidencing system that is used to facilitate licensing or registration with the Postal Service of users of a postage evidencing system.
c. Any person or entity seeking authorization to perform any activity described in b must submit a request to the Postal Service in person or in writing.
d. Approval shall be based upon satisfactory evidence of the applicant's integrity and financial responsibility and a determination that disclosure to the applicant of the Postal Service customer, financial, or other data of a commercial nature necessary to perform the function for which approval is sought would be appropriate and consistent with good business practices within the meaning of 39 U.S.C. 410(c)(2).
e. Qualification and approval may be based upon conditions agreed to by the Postal Service and the applicant. The applicant is approved in writing to engage in the function(s) for which authorization was sought and approved.
3. Amend § 501.3 by replacing the title and all text to read as follows:
a. Any person or entity authorized under 501.1 must promptly notify the Postal Service when it has a reasonable expectation that there may be a change in its ownership or control including changes in the ownership of an affiliate which exercises control over its postage evidencing system operations in the United States. A change of ownership or control within the meaning of this section includes entry into a strategic alliance or other agreement under which a third party may gain access to Postal Service customer or financial data. Any person or entity seeking to acquire ownership or control of a person or entity authorized under 501.1 must provide the Postal Service satisfactory evidence that it satisfies the conditions for approval stated in 501.1. Early notification of a proposed change in ownership or control will facilitate expeditious review of an application to acquire ownership or control under this section.
b. Any person or entity authorized under 501.1 must promptly notify the Postal Service when it has a reasonable expectation that there may be a change in the status of its financial condition either through bankruptcy, insolvency, assignment for the benefit of creditors, or other similar financial action. Any person or entity authorized under 501.1 who experiences a change in the status of its financial condition may, at the discretion of the Postal Service, have its authorization under 501.1 modified or terminated.
Environmental Protection Agency (EPA).
Proposed rule.
The EPA is proposing to approve a plan prepared by Wisconsin to maintain the one-hour national ambient air quality standard (NAAQS) for ozone in the Kewaunee County maintenance area through the year 2012. This revision is required by the Clean Air Act. The effect of this approval is to ensure Federal enforceability of the State air program plan and to maintain consistency between the State-adopted plan and the approved State Implementation Plan (SIP). In the final rules section of this
Written comments must be received on or before June 9, 2004.
Comments may also be submitted electronically or through hand delivery/courier. Please follow the detailed instructions described in part(I)(B)(1)(i) through (iii) of the
Written comments should be sent to: J. Elmer Bortzer, Chief, Criteria Pollutants Section, Air Programs Branch (AR-18J), EPA Region 5, 77 West Jackson Boulevard, Chicago, Illinois 60604-3590.
Michael Leslie, Environmental Engineer, Criteria Pollutants Section (AR-18J), Air Programs Branch, Air and Radiation Division, United States Environmental Protection Agency, Region 5, 77 West Jackson Boulevard, Chicago, Illinois 60604, (312) 353-6680,
For additional information, see the Direct Final Rule which is located in the Rules section of this
Environmental Protection Agency (EPA).
Proposed rule.
EPA is proposing to approve State Implementation Plan (SIP) revisions submitted by the State of Wyoming on September 12, 2003. The submitted revisions restructure the Wyoming Air Quality Standards and Regulations (WAQS&R) from a single chapter into thirteen separate chapters and renumber the provisions within each chapter. The submitted revisions contain no substantive changes to the existing SIP-approved regulations. The intended effect of this action is to make federally enforceable the restructured WAQS&R. This action is being taken under section 110 of the Clean Air Act.
Comments must be received on or before June 9, 2004.
Submit your comments, identified by Docket ID No.WY-001-0013, by one of the following methods:
• Federal eRulemaking Portal:
• E-mail:
• Fax: (303) 312-6064 (please alert the individual listed in the
• Mail: Richard R. Long, Director, Air and Radiation Program, Environmental Protection Agency (EPA), Region 8, Mailcode 8P-AR, 999 18th Street, Suite 300, Denver, Colorado 80202-2466.
• Hand Delivery: Richard R. Long, Director, Air and Radiation Program, Environmental Protection Agency (EPA), Region 8, Mailcode 8P-AR, 999 18th Street, Suite 300, Denver, Colorado 80202-2466. Such deliveries are only accepted Monday through Friday, 8 a.m. to 4:55 p.m., excluding federal holidays. Special arrangements should be made for deliveries of boxed information.
Domenico Mastrangelo, Air & Radiation Program, Mailcode 8P-AR, EPA, Region 8, 999 18th Street, Suite 300, Denver, Colorado 80202-2466, (303) 312-6436,
For the purpose of this document, we are giving meaning to certain words or initials as follows:
(i) The words or initials
(ii) The words
(iii) The initials
(iv) The words
1.
2.
a. Identify the rulemaking by docket number and other identifying information (subject heading,
b. Follow directions—The agency may ask you to respond to specific questions or organize comments by referencing a Code of Federal Regulations (CFR) part or section number.
c. Explain why you agree or disagree; suggest alternatives and substitute language for your requested changes.
d. Describe any assumptions and provide any technical information and/or data that you used.
e. If you estimate potential costs or burdens, explain how you arrived at your estimate in sufficient detail to allow for it to be reproduced.
f. Provide specific examples to illustrate your concerns, and suggest alternatives.
g. Explain your views as clearly as possible, avoiding the use of profanity or personal threats.
h. Make sure to submit your comments by the comment period deadline identified.
On August 9, 2000, the State submitted to EPA a SIP revision that restructured and renumbered the entire set of its air regulations from a single chapter into thirteen separate chapters, and modified the content of some of the regulations. On August 7, 2001, the State submitted a SIP revision adopting credible evidence provisions and modifying the definition of volatile organic compounds (VOCs) in the State's air regulations. On August 13, 2001, the State submitted a SIP revision modifying several chapters of its air regulations to correct deficiencies or bring regulations up to date with the Federal regulations. On February 6, 2002 (67 FR 5485) EPA published a Direct Final Rule partially approving and partially disapproving the Wyoming SIP revisions submitted on the dates indicated above.
In the aftermath of this EPA action, EPA received adverse comments from the Wyoming Outdoor Council (on March 7, 2002), and a March 8, 2002 letter from the State of Wyoming requesting the withdrawal of the SIP revisions submitted on August 9, 2000, August 7, 2001 and August 13, 2001. In response, on April 1, 2002 (67 FR 15335) EPA published a notice withdrawing its February 6, 2002 action.
On September 12, 2003, the State of Wyoming submitted to EPA a request for approval of revisions containing changes in the structure and number of the State's SIP provisions, but containing no substantive changes. Following EPA's approval of these renumbering revisions, the State of Wyoming plans to submit to EPA requests for substantive changes and updates to its SIP provisions.
Section 110(k) of the Act addresses our actions on submissions of SIP revisions. The Act also requires States to observe certain procedures in developing SIP revisions. We have evaluated the State's submission and determined that the necessary procedures were followed. We also must determine whether a submittal is complete and therefore warrants further review and action (
We reviewed the September 12, 2003 submittal and found that the renumbered and restructured revisions of the Wyoming Air Quality Standards and Regulations contain no substantive changes from the prior codification that is approved into the SIP.
The September 12, 2003 letter indicates that, once EPA approves the renumbered and restructured SIP regulations, the State will submit other SIP revisions that have already been adopted at the State level. The letter further states that these already-adopted revisions clarify director discretion provisions, correct outdated references to reference methods, add a new section on credible evidence, update the definition of volatile organic compounds, and update other provisions of the rules to make them consistent with federal regulations. In addition, the letter mentions that the State is working on additional changes to the SIP such as equipment malfunction provisions. Finally, the letter indicates that once the renumbering is in place, and as the State reopens chapters to make changes, it will respond to public comment, by EPA or other interested stakeholders, on any aspect of the chapters under consideration.
In a March 22, 2004 letter to the Wyoming Department of Environmental Quality (DEQ), EPA sought further clarification on the commitment mentioned in the September 12, 2003 letter. Specifically, we questioned whether the commitment in the September 12, 2003 letter extended to addressing additional concerns EPA had with the State regulations (
In a March 29, 2004 letter from the Wyoming DEQ to EPA, the DEQ indicated that it was DEQ's intent and commitment to address additional EPA concerns as DEQ submits SIP revisions to incorporate changes in the SIP that have already been adopted at the State level. With respect to the timing of future SIP revisions, the DEQ indicated that DEQ would take a phased approach to making changes to the regulations and that it was DEQ's intent to begin the process by addressing Chapters 1 and 2. The DEQ indicated that a number of EPA's concerns are in Chapters 1 and 2. The DEQ indicated that they would identify the timing of this first phase of the process within 30 days of notice of EPA's final approval of the current restructuring and renumbering proposal.
Because the September 12, 2003 submittal only restructures and renumbers the existing SIP-approved regulations, contains no substantive changes, and commits to submit further revisions in the future, we believe it is appropriate to propose to approve the submittal. Approving the restructured and renumbered WAQS&R into the SIP will also facilitate future discussions on the rules.
EPA is proposing to approve the restructuring and renumbering of the WAQS&R as a revision to the Wyoming State Implementation Plan (SIP). Specifically, we are proposing that the following renumbered SIP chapters and sections replace the prior numbered SIP chapter and sections in the federally approved SIP: Chapter 1, Section 2—Authority; Chapter 1, Section 3—Definitions; Chapter 1, Section 4—Diluting and concealing emissions; Chapter 1, Section 5—Abnormal conditions and equipment malfunction; Chapter 2, Section 2—Ambient standards for particulate matter; Chapter 2, Section 3—Ambient standards for nitrogen oxides; Chapter 2, Section 4—Ambient standards for sulfur oxides; Chapter 2, Section 5—Ambient standards for carbon monoxide; Chapter 2, Section 6—Ambient standards for ozone; Chapter 2, Section 8—Ambient standard for suspended sulfates; Chapter 2, Section 10—Ambient standards for lead; Chapter 3, Section
The following table cross references the renumbered and prior numbered SIP chapters and sections.
Under Executive Order 12866 (58 FR 51735, October 4, 1993), this proposed action is not a “significant regulatory action” and therefore is not subject to review by the Office of Management and Budget. For this reason, this action is also not subject to Executive Order 13211, “Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use” (66 FR 28355, May 22, 2001). This proposed action merely proposes to approve state law as meeting Federal requirements and imposes no additional requirements beyond those imposed by state law. Accordingly, the Administrator certifies that this proposed 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 proposed rule also does not have tribal implications because it will not have a substantial direct effect on one or more Indian tribes, on the relationship between the Federal Government and Indian tribes, or on the distribution of power and responsibilities between the Federal Government and Indian tribes, as specified by Executive Order 13175 (65 FR 67249, November 9, 2000). This action also does not have Federalism implications because it does not have substantial direct effects on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government, as specified in Executive Order 13132 (64 FR 43255, August 10, 1999). This action merely proposes to approve a state rule implementing a Federal standard, and does not alter the relationship or the distribution of power and responsibilities established in the Clean Air Act. This proposed rule also is not subject to Executive Order 13045 “Protection of Children from Environmental Health Risks and Safety Risks” (62 FR 19885, April 23, 1997), because it is not economically significant.
In reviewing SIP submissions, EPA's role is to approve state choices, provided that they meet the criteria of the Clean Air Act. In this context, in the absence of a prior existing requirement for the State to use voluntary consensus standards (VCS), EPA has no authority to disapprove a SIP submission for failure to use VCS. It would thus be inconsistent with applicable law for EPA, when it reviews a SIP submission, to use VCS in place of a SIP submission that otherwise satisfies the provisions of the Clean Air Act. Thus, the requirements of section 12(d) of the National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272 note) do not apply. This proposed rule does not impose an information collection burden under the provisions of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501
Environmental protection, Air pollution control, Carbon monoxide, Intergovernmental relations, Lead, Nitrogen dioxide, Ozone, Particulate matter, Reporting and recordkeeping requirements, Sulfur oxides, Volatile organic compounds.
42 U.S.C. 7401
Environmental Protection Agency (EPA).
Proposed rule.
EPA is proposing to take direct final action approving State Implementation Plan (SIP) revisions submitted by the State of South Dakota on September 12, 2003. The September 12, 2003 submittal revises the Administrative Rules of South Dakota, Air Pollution Control Program, by modifying the chapters pertaining to definitions, operating permits for minor sources, new source review and performance testing. In addition, the State made revisions to the Prevention of Significant Deterioration program, which has been delegated to the State. The intended effect of this action is to make these revisions federally enforceable. We are also announcing that on October 31, 2003, we updated the delegation of authority for the implementation and enforcement of the New Source Performance Standards to the State of South Dakota. These actions are being taken under sections 110 and 111 of the Clean Air Act.
In the “Rules and Regulations” section of this
Written comments must be received on or before June 9, 2004.
Written comments may be mailed to Richard R. Long, Director, Air and Radiation Program, Mailcode 8P-AR, Environmental Protection Agency (EPA), Region 8, 999 18th Street, Suite 300, Denver, Colorado 80202-2466. Comments may also be submitted electronically, or through hand delivery/courier. Please follow the detailed instructions described in sections (I)(B)(1)(i) through (iii) of the
Laurel Dygowski, EPA Region 8, 999 18th Street, Suite 300, MS 8P-AR, Denver, CO 80202, (303) 312-6144,
See the information provided in the Direct Final action of the same title which is located in the Rules and Regulations section of this
42 U.S.C. 7401
Environmental Protection Agency (EPA).
Proposed rule.
On February 18, 2004, the State of Alaska submitted a carbon monoxide (CO) maintenance plan for the Anchorage CO nonattainment area to EPA for approval. The State concurrently requested that EPA redesignate the Anchorage CO nonattainment area to attainment for the National Ambient Air Quality Standard (NAAQS) for CO. In this action, EPA is proposing approval of the maintenance plan and redesignation of the Anchorage CO nonattainment area to attainment.
Comments must be received on or before June 9, 2004.
EPA has established a docket for this action under Docket ID No. AK-04-001, by one of the following methods:
• Federal eRulemaking Portal:
• Mail: Office of Air Quality, Environmental Protection Agency, Mail code: OAQ-107, 1200 Sixth Ave., Seattle, Washington 98101.
• Hand Delivery: Environmental Protection Agency, 14th Floor, 1200 Sixth Ave., Seattle, Washington 98101. Such deliveries are only accepted during normal hours of operation, and special arrangements should be made for deliveries of boxed information.
Connie Robinson, Office of Air Quality, Region 10, Mail code OAQ-107, Environmental Protection Agency, 1200 Sixth Avenue, Seattle, Washington 98101; telephone number: (206) 553-1086; fax number: (206) 553-0110; e-mail address:
Throughout this document, wherever “we,” “us,” or “our” is used, we mean the EPA. Information is organized as follows:
1.
2.
i. Identify the rulemaking by docket number and other identifying information (subject heading,
ii. Follow directions—The agency may ask you to respond to specific questions or organize comments by referencing a CFR part or section number.
iii. Explain why you agree or disagree; suggest alternatives and substitute language for your requested changes.
iv. Describe any assumptions and provide any technical information and/or data that you used.
v. If you estimate potential costs or burdens, explain how you arrived at your estimate in sufficient detail to allow for it to be reproduced.
vi. Provide specific examples to illustrate your concerns, and suggest alternatives.
vii. Explain your views as clearly as possible, avoiding the use of profanity or personal threats.
viii. Make sure to submit your comments by the comment period deadline identified.
EPA is proposing to approve the Anchorage CO Maintenance plan and redesignate the Anchorage area from nonattainment for CO to attainment as requested by the Governor of Alaska on February 18, 2004. The maintenance plan demonstrates that Anchorage will be able to remain in attainment for the next 10 years. The Anchorage, Alaska CO nonattainment area is eligible for redesignation to attainment because air quality data shows that it has not recorded a violation of the primary or secondary CO air quality standards since 1996.
Upon enactment of the 1990 Clean Air Act Amendments (the Act), areas meeting the requirements of section 107(d) of the Act were designated nonattainment for CO by operation of law. Under section 186(a) of the Act, each CO nonattainment area was also classified by operation of law as either moderate or serious depending on the severity of the area's air quality problems. Anchorage was classified as a
On July 12, 2001, EPA made a determination based on air quality data that the Anchorage CO nonattainment area in Alaska attained the NAAQS for CO by December 31, 2000, the deadline for serious areas as required by the Act. (See 66 FR 36476, July 12, 2001.)
On January 4, 2002, the Alaska Department of Environmental Conservation submitted the Anchorage CO attainment plan as a revision to the Alaska SIP. We reviewed and subsequently approved the revision effective October 18, 2002. (See 67 FR 58711, September 18, 2002.)
Section 107(d)(3)(E) of the Act states that EPA can redesignate an area to attainment if the following conditions are met:
A. The area has attained the applicable NAAQS.
B. The area has a fully approved SIP under section 110(k) of the Act and the area meets all the relevant requirements under section 110 and part D of the Act.
C. The air quality improvement is permanent and enforceable.
D. The area has a fully approved maintenance plan under section 175A of the Act.
EPA has reviewed the State's maintenance plan and redesignation request. The following is a summary of EPA's evaluation and a description of how each of the requirements is met.
To attain the CO NAAQS, an area must have complete quality-assured data showing no more than one exceedance of the standard in a year at any monitoring site in the nonattainment area for at least two consecutive years. The proposed redesignation of Anchorage is based on air quality data that shows the CO standard was not violated from 1997 through 2003, or since. These data were collected by the Municipality of Anchorage (MOA) in accordance with 40 CFR 50.8, following EPA guidance on quality assurance and quality control, and entered in the EPA Air Quality System database. Since the Anchorage, Alaska area has complete quality-assured monitoring data showing attainment with no violations after 1977, the area has met the statutory criterion for attainment of the CO NAAQS and EPA has already found that the Anchorage area attained the NAAQS. The MOA has committed to continue monitoring in the area in accordance with 40 CFR part 58.
Yes. Anchorage was classified as a moderate nonattainment area on enactment of the Act in 1990. Anchorage was unable to meet the CO NAAQS by December 31, 1996, and was reclassified a serious nonattainment area effective July 13, 1998. Therefore, the requirements applicable to the Anchorage nonattainment area for inclusion in the Alaska SIP included an attainment demonstration, base year emission inventory with periodic updates, an oxygenated gasoline program, basic motor vehicle inspection/maintenance (I/M) program, contingency measures, conformity procedures, and a permit program for new or modified major stationary sources. EPA has previously approved all elements required in the Alaska SIP.
Yes. Emissions reductions were achieved through permanent and enforceable control measures in the attainment plan, including the Federal Motor Vehicle Control Program, establishing emission standards for new motor vehicles; an oxygenated gasoline program, and a basic I/M program.
The MOA has demonstrated that permanent and enforceable emission reductions are responsible for the air quality improvement and the CO emissions in the base year are not artificially low due to a local economic downturn or unusual or extreme weather patterns. We believe the combination of certain existing EPA-approved SIP and Federal measures resulted in permanent and enforceable reductions in ambient CO levels that have allowed the area to attain the CO NAAQS.
Today's action by EPA proposes approval of the Anchorage CO maintenance plan. Section 175A sets forth the elements of a maintenance plan for areas seeking redesignation from nonattainment to attainment. To provide for the possibility of future NAAQS violations, the maintenance plan must contain contingency measures, with a schedule for adoption and implementation adequate to assure prompt correction of any air quality problems. Section 175(d) of the Act requires retention of all control measures contained in the SIP before redesignation as contingency measures in the CO maintenance plan. The oxygenated gasoline program, a control measure contained in the Anchorage SIP before redesignation, has been removed as a control measure and is now a primary contingency measure in the maintenance plan. The plan must demonstrate continued attainment of the applicable NAAQS for at least 10 years after the Administrator approves a redesignation to attainment. Eight years after the redesignation, the State must submit a revised maintenance plan which demonstrates attainment for the 10 years following the initial 10-year period. The Anchorage CO maintenance plan meets the requirements of 175A.
Yes. The MOA submitted comprehensive inventories of CO emissions from point, area and mobile sources using 2002 as the attainment year. Since air monitoring recorded attainment of CO in 2002, this is an acceptable year for the attainment year inventory. This data was then used in calculations to demonstrate the CO standard will be maintained in future years. The MOA calculated projected inventories for 2004, 2006, 2008, 2013 and 2023. Future emission estimates are based on forecast assumptions about growth in population, employment and transportation.
Mobile sources are the greatest source of CO. Although vehicle use is expected to increase in the future, more stringent Federal automobile standards and removal of older, less efficient cars over time will still result in an overall decline in CO emissions. The projections in the maintenance plan demonstrate that future emissions are not expected to exceed attainment year levels.
Total CO emissions were projected from the 2002 attainment year out to 2023. These projected inventories were prepared according to EPA guidance. Because compliance with the 8-hour CO standard is linked to average daily emissions, emission estimates reflecting a typical winter season day (tons of CO a day) were used for the maintenance demonstration. The MOA calculated these emissions without the implementation of the oxygenated gasoline program. The projections show that CO emissions calculated without the implementation of the oxygenated gasoline program are not expected to exceed 2002 attainment year levels. The following table summarizes the 2002 attainment year emissions, and projects maintenance year emissions. The Anchorage Transportation Model was run for analysis years 2003, 2013 and 2023. Emissions for intervening years were calculated by a straight line interpolation; however, mobile source emission factors for all years evaluated were estimated by running MOBILE6.
Detailed inventory data for this action is contained in the docket maintained by EPA.
The oxygenated gasoline program has been removed as a control measure. The MOA's maintenance demonstration shows the area is expected to continue to meet the CO NAAQS without the oxygenated gasoline program. The oxygenated gasoline program is a contingency measure in the maintenance plan.
Under 40 CFR part 58 and EPA's Redesignation Guidance, the MOA has committed to analyze air quality data annually to verify continued attainment of the CO NAAQS. The MOA will also conduct a comprehensive review of plan implementation and air quality status eight years after redesignation. The State will then submit a SIP revision that includes a full emissions inventory update and provides for the continued maintenance of the standard for 10 years beyond the initial 10-year period.
The oxygenated gasoline program, a control measure contained in the SIP before redesignation, is a primary contingency measure in the maintenance plan. This contingency measure will be reinstated in the event of a quality-assured violation of the NAAQS for CO at any permanent monitoring site in the nonattainment area. A violation will occur when any monitoring site records two eight-hour average CO concentrations that exceed the NAAQS in a single calendar year. If triggered, this contingency measure would require all gasoline blended for sale in Anchorage to meet requirements identical to those of the oxygenated gasoline program. Implementation will continue throughout the balance of the CO maintenance period, or until a reassessment of the ambient CO monitoring data establishes the contingency measure is no longer needed and EPA agrees to a revision.
Maintenance projections presented by the MOA suggest the highest emissions will occur in the first few years (2004-2006) of the maintenance plan period. The MOA is implementing several new programs during the next few years. Transit service was expanded in July 2003 and additional route enhancements are slated to begin in 2004 and continue through 2006. The engine block heater and public awareness program will continue with a renewed focus on residential areas through 2006. Implementing these contingency measures provides an added measure of assurance of continued compliance with the NAAQS.
Under section 175Ab) of the Act, the State has agreed to submit a revised maintenance plan eight years after the area is redesignated to attainment. That revised SIP must provide for maintenance of the standard for an additional 10 years. It will include a full emissions inventory update and projected emissions demonstrating continued attainment for 10 additional years.
Under section 176(c) of the Act, transportation plans, programs, and projects in nonattainment or maintenance areas that are funded or approved under 23 U.S.C. or the Federal Transit Act, must conform to the applicable SIPs. A transportation plan is deemed to conform to the applicable SIP if the emissions resulting from implementation of that transportation plan are less than or equal to the motor vehicle emission level established in the SIP for the maintenance year and other analysis years.
In this maintenance plan, procedures for estimating motor vehicle emissions are well documented. For transportation conformity and regional emissions analysis purposes, an emissions budget has been established for on-road motor vehicle emissions in the Anchorage maintenance area. The transportation
Emission budgets for years beyond 2023 are to be computed through linear extrapolation with the following equation: Mobile Source Emission Budget (tons per day) = 0.438 × Year − 2023 + 103.34.
EPA found these motor vehicle emissions budgets adequate for conformity purposes. See 69 FR 12651, March 17, 2004.
EPA is proposing approval of the Anchorage CO Maintenance Plan and redesignation of the Anchorage CO nonattainment area to attainment. This proposed redesignation is based on validated monitoring data and projections made in the maintenance demonstration. EPA believes the area will continue to meet the NAAQS for CO for at least 10 years beyond this redesignation, as required by the Act. Alaska has demonstrated compliance with the requirements of section 107(d)(3)(E) based on information provided by the MOA and contained in the Alaska SIP and Anchorage, Alaska CO maintenance plan. A Technical Support Document on file at the EPA Region 10 office contains a detailed analysis and rationale in support of the redesignation of the Anchorage CO nonattainment area to attainment.
Under Executive Order 12866 (58 FR 51735, October 4, 1993), this proposed action is not a “significant regulatory action” and therefore is not subject to review by the Office of Management and Budget. For this reason, this action is also not subject to Executive Order 13211, “Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use” (66 FR 28355, May 22, 2001). This proposed action merely proposes to approve State law as meeting Federal requirements and imposes no additional requirements beyond those imposed by State law. Accordingly, the Administrator certifies that this proposed 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 proposed rule also does not have tribal implications because it will not have a substantial direct effect on one or more Indian tribes, on the relationship between the Federal Government and Indian tribes, or on the distribution of power and responsibilities between the Federal Government and Indian tribes, as specified by Executive Order 13175 (65 FR 67249, November 9, 2000). This action also does not have Federalism implications because it does not have substantial direct effects on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government, as specified in Executive Order 13132 (64 FR 43255, August 10, 1999). This action merely proposes to approve a State rule implementing a Federal standard, and does not alter the relationship or the distribution of power and responsibilities established in the Clean Air Act. This proposed rule also is not subject to Executive Order 13045 “Protection of Children from Environmental Health Risks and Safety Risks” (62 FR 19885, April 23, 1997), because it is not economically significant.
In reviewing SIP submissions, EPA's role is to approve State choices, provided that they meet the criteria of the Clean Air Act. In this context, in the absence of a prior existing requirement for the State to use voluntary consensus standards (VCS), EPA has no authority to disapprove a SIP submission for failure to use VCS. It would thus be inconsistent with applicable law for EPA, when it reviews a SIP submission, to use VCS in place of a SIP submission that otherwise satisfies the provisions of the Clean Air Act. Thus, the requirements of section 12(d) of the National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272 note) do not apply. This proposed rule does not impose an information collection burden under the provisions of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501
Environmental protection, Air pollution control, Carbon monoxide, Intergovernmental relations, Reporting and recordkeeping requirements.
Environmental protection, Air pollution control, National parks, Wilderness areas.
Federal Communications Commission.
Proposed rule.
This document requests comments on a petition for rulemaking filed by Sytles Media Group, LLC and Styles Broadcasting of Dothan, Inc. requesting the substitution of Channel 26C3C for Channel 263A at Fort Rucker, AL, reallotment of Channel 263C3 from
Comments must be filed on or before June 7, 2004, and reply comments on or before June 22, 2004.
Federal Communications Commission, 445 Twelfth Street, SW., Washington, DC 20554. In addition to filing comments with the FCC, interested parties should serve the petitioner's counsel, as follows: Marissa G. Repp, Hogan & Hartson L.L.P., 555 Thirteenth Street, NW., Washington, DC 20004-1109.
Kathleen Scheuerle, Media Bureau, (202) 418-2180.
This is a synopsis of the Commission's Notice of Proposed Rule Making, MB Docket No. 04-146, adopted April 12, 2004, and released April 14, 2004. The full text of this Commission decision is available for inspection and copying during normal business hours in the FCC's Reference Information Center at Portals II, CY-A257, 445 Twelfth Street, SW., Washington, DC. This document may also be purchased from the Commission's duplicating contractors, Qualex International, Portals II, 445 12th Street, SW., Room CY-B402, Washington, DC 20554, telephone 202-863-2893, or via e-mail
Provisions of the Regulatory Flexibility Act of 1980 do not apply to this proceeding.
Members of the public should note that from the time a Notice of Proposed Rule Making is issued until the matter is no longer subject to Commission consideration or court review, all
For information regarding proper filing procedures for comments,
Radio, Radio broadcasting.
For the reasons discussed in the preamble, the Federal Communications Commission proposes to amend 47 CFR Part 73 as follows:
1. The authority citation for Part 73 continues to read as follows:
47 U.S.C. 154, 303, 334 and 336.
2. Section 73.202(b), the Table of FM Allotments under Alabama, is amended by removing Channel 263A and by adding Channel 280C3 at Fort Rucker, by removing Channel 280C3 at Ozark and by adding Slocomb, Channel 263C3.
Federal Communications Commission.
Proposed rule.
This document requests comments on a petition for rulemaking filed by Nassau Broadcasting II, L.L.C. requesting the reallotment of Channel 248B from Trenton, New Jersey, to Burlington, New Jersey, and modification of the license for Station WPST to reflect the changes. Channel 249B can be allotted to Burlington at coordinates 40-14-05 and 74-46-02. The proposal complies with the provisions of section 1.420(i) of the Commission's Rules, and therefore, the Commission will not accept competing expressions of interest in the use of Channel 248B at Burlington.
Comments must be filed on or before June 10, 2004, and reply comments on or before June 25, 2004.
Office of the Secretary, Federal Communications Commission, 445 Twelfth Street, SW., Room TW-A325, Washington, DC 20554. In addition to filing comments with the FCC, interested parties should serve the petitioner's counsel, as follows: Mark N. Lipp, Scott Woodworth, Vinson & Elkins, L.L.P., 1455 Pennsylvania Avenue, Suite 600, Washington, DC 20004-1008.
Kathleen Scheuerle, Media Bureau, (202) 418-2180.
This is a synopsis of the Commission's Notice of Proposed Rule Making, MB Docket No. 04-150, adopted April 14, 2004, and released April 19, 2004. The full text of this Commission decision is available for inspection and copying during normal business hours in the FCC's Reference Information Center at Portals II, CY-A257, 445 Twelfth Street, SW., Washington, DC. This document may also be purchased from the Commission's duplicating contractors, Qualex International, Portals II, 445 12th Street, SW., Room CY-B402, Washington, DC 20554, telephone 202-863-2893, or via e-mail
Provisions of the Regulatory Flexibility Act of 1980 do not apply to this proceeding.
Members of the public should note that from the time a Notice of Proposed Rule Making is issued until the matter is no longer subject to Commission consideration or court review, all
For information regarding proper filing procedures for comments, see 47 CFR 1.415 and 1.420.
Radio, Radio broadcasting.
For the reasons discussed in the preamble, the Federal Communications Commission proposes to amend 47 CFR part 73 as follows:
1. The authority citation for part 73 continues to read as follows:
47 U.S.C. 154, 303, 334 and 336.
2. Section 73.202(b), the Table of FM Allotments under New Jersey, is amended by adding Burlington, Channel 248B and by removing Channel 248B at Trenton.
Agricultural Marketing Service, USDA.
Notice of advisory committee meeting.
In accordance with the Federal Advisory Committee Act (5 U.S.C. App. II) announcement is made of a forthcoming meeting of the Flue-Cured Tobacco Advisory Committee.
The meeting will be held on June 10, 2004, at 1 p.m.
The meeting will be held at the United States Department of Agriculture (USDA), Agricultural Marketing Service (AMS), Tobacco Programs, Flue-Cured Tobacco Cooperative Stabilization Corporation Building, Room 223, 1306 Annapolis Drive, Raleigh, North Carolina 27608.
John P. Duncan III, Deputy Administrator, Tobacco Programs, AMS, USDA, telephone number (202) 205-0567 or fax (202) 205-0235.
The purpose of the meeting is to recommend opening dates and selling schedules, and discuss other related issues for the 2004 flue-cured tobacco marketing season.
The meeting is open to the public. Persons, other than members, who wish to address the Committee at the meeting should contact John P. Duncan III, Deputy Administrator, Tobacco Programs, AMS, USDA, STOP 0280, 1400 Independence Avenue, SW., Washington, DC 20250-0280, prior to the meeting. Written statements may be submitted to the Committee before, at or after the meeting. If you need any accommodations to participate in the meeting, please contact the Tobacco Programs at (202) 205-0567 by June 4, 2004, and inform us of your needs.
Forest Service, USDA.
Notice.
Deciding Officers in the Southern Region will publish notice of decisions subject to administrative appeal under 36 CFR parts 215 and 217 in the legal notice section of the newspapers listed in the
Use of these newspapers for purposes of publishing legal notice of decisions subject to appeal under 36 CFR parts 215 and 217, notices of proposed actions under 35 CFR part 215, and notices of the opportunity to object under 36 CFR part 218 shall begin on or after the date of this publication.
Cheryl Herbster, Regional Appeals Coordinator, Southern Region, Planning, 1720 Peachtree Road, NW., Atlanta, Georgia 30309, Phone: 404-347-5235.
Deciding Officers in the Southern Region will give legal notice of decisions subject to appeal under 36 CFR part 217, the Responsible Officials in the Southern Region will give notice of decisions subject to appeal under 36 CFR part 215 and opportunity to object to a proposed authorized hazardous fuel reduction project under 36 CFR part 218 in the following newspapers which are listed by Forest Service administrative unit. Responsible Officials in the Southern Region will also give notice of proposed actions under 36 CFR part 215 in the following newspapers of record which are listed by Forest Service administrative unit. The timeframe for comment on a proposed action shall be based on the date of publication of the notice of the proposed action in the newspaper of record. The timeframe for appeal shall be based on the date of publication of the legal notice of the decision in the newspaper of record for 36 CFR parts 215 and 217. The timeframe for an objection shall be based on the date of publication of the legal notice of the opportunity to object for projects subject to 36 CFR part 218.
Where more than one newspaper is listed for any unit, the first newspaper listed is the newspaper of record that will be utilized for publishing the legal notice of decisions and calculating timeframes. Secondary newspapers listed for a particular unit are those newspapers the Deciding Officer/Responsible Official expects to use for purposes of providing additional notice.
The following newspapers will be used to provide notice.
Forest Service, USDA Forest Service Action: Notice of Meeting.
An Opal Creek Scenic Recreation Area Advisory Council meeting will convene in Stayton, Oregon on Thursday, May 27, 2004. The meeting is scheduled to begin at 6 p.m., and will conclude at approximately 8:30 p.m. The meeting will be held in the South Room of the Stayton Community Center located on 400 West Virginia Street in Stayton, Oregon.
The Opal Creek Wilderness and Opal Creek Scenic Recreation Area Act of 1996 (Opal Creek Act) (P.L. 104-208) directed the Secretary of Agriculture to establish the Opal creek Scenic Recreation Area Advisory Council. The Advisory Council is comprised of thirteen members representing state, county and city governments, and representatives of various organizations, which include mining industry, environmental organizations, inholders in Opal Creek Scenic Recreation Area, economic development, Indian tribes, adjacent landowners and recreation interests. The council provides advice to the Secretary of Agriculture on preparation of a comprehensive Opal Creek Management Plan for the SRA, and consults on a periodic and regular basis on the management of the area. Tentative agenda items include information sharing on the following topics:
Introduction of New Members and Discuss Roles and Expectations;
Current Project Updates;
Management Plan Implementation Timeline;
Discuss Monitoring Plan;
A direct public comment period is tentatively scheduled to begin at 8 p.m. Time allotted for individual presentations will be limited to 3 minutes. Written comments are encouraged, particularly if the material cannot be presented within the time limits of the comment period. Written comments may be submitted prior to the May 27 meeting by sending them to Designated Federal Official Paul Matter at the address given below.
For more information regarding this meeting, contact Designated Federal Official Paul Matter; Willamette National Forest, Detroit Ranger District, HC 73 Box 320, Mill City, OR 97360; (503) 854-3366.
Forest Service, USDA.
Notice of meeting.
The North Mt. Baker-Snoqualmie Resource Advisory Committee (RAC) will meet on Thursday, May 27, 2004, at the Mt. Baker Ranger District office, 810 State Route 20, Sedro Woolley, WA, and on Thursday, June 3, 2004, at the Whatcom County Parks and Recreation Department Conference Room, 3373 Mt. Baker Highway, Bellingham, WA. Both meetings will begin at 9 a.m.
The purpose of the meeting will be to review and prioritize projects under consideration for FY 2005 Title II funding under the Secure Rural Schools and Community Self-Determination Act.
All North Mt. Baker-Snoqualmie Resource Advisory Committee meetings are open to the public. Interested citizens are encouraged to attend.
The North Mt. Baker-Snoqualmie Resource Advisory Committee advises Whatcom and Skagit Counties on projects, reviews project proposals, and makes recommendations to the appropriate USDA official for projects to be funded by Title II dollars. The North Mt. Baker-Snoqualmie Resource Advisory Committee was established to carry out the requirements of the Secure Rural Schools and Community Self-Determination Act.
Direct questions regarding this meeting to Jon Vanderheyden, Designated Federal Official, USDA Forest Service, Mt. Baker-Snoqualmie National Forest, 810 State Route 20, Sedro Woolley, Washington 98284 (360-856-5700, Extension 201).
U.S. Commission on Civil Rights.
Monday, May 17, 2004, 9:30 a.m.
U.S. Commission on Civil Rights, 624 9th Street, NW., Room 540, Washington, DC 20425.
Les Jin, Press and Communications, (202) 376-7700.
DOC 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 Diana Hynek, Departmental Paperwork Clearance Officer, (202) 482-0266, Department of Commerce, room 6625, 14th and Constitution Avenue, NW., Washington, DC 20230 (or via the Internet at
Written comments and recommendations for the proposed information collection should be sent within 30 days of publication of this notice to Susan Schechter, OMB Desk Officer either by fax (202-395-7245) or e-mail (
DOC 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).
Census Bureau interviewers will conduct personal visit interviews for a sample of housing units in the City, the vast majority of which are rental units in multi-unit rental structures (apartment buildings). Single-family rental or owner-occupied units (houses), however, are not excluded from the sample. We will interview residents (occupied units) or other knowledgeable people such as a building manager, superintendent, or rental or real estate agent (vacant units) to gather information on vacancy rates, housing costs, and the income of residents. About ten percent of the sample will be reinterviewed for quality control purposes. We will also determine primarily by observation whether a separate sample of units previously lost from the City's housing inventory have been reconverted for residential use.
The 2005 NYCHVS will be an up-to-date and comprehensive data source required by rent control laws as well as a source of data needed to evaluate the city's housing policies. Specifically, the city will look to the 2005 survey to provide accurate and reliable estimates of the rental and homeowner vacancy rates, to measure improvements in housing and neighborhood conditions, and to provide data on low-income, doubled-up, and crowded households at risk of becoming homeless. The city will use the results to develop programs and policies that aim to improve housing conditions.
Copies of the above information collection proposal can be obtained by calling or writing Diana Hynek, Departmental Paperwork Clearance Officer, (202) 482-0266, Department of Commerce, room 6625, 14th and Constitution Avenue, NW., Washington, DC 20230 (or via the Internet at
Written comments and recommendations for the proposed information collection should be sent within 30 days of publication of this notice to Susan Schechter, OMB Desk Officer either by fax (202-395-7245) or e-mail (
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 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 July 9, 2004.
Direct all written comments to Diana Hynek, Departmental Paperwork Clearance Officer, Department of Commerce, Room 6625, 14th and Constitution Avenue, NW.,
Requests for additional information or copies of the information collection instrument(s) and instructions should be directed to Dameka Reese, Census Bureau, FOB 3, Room 3340, Washington, DC 20233-8400, at (301) 763-3806.
The Census Bureau is requesting clearance for the collection of data concerning the Voting and Registration Supplement to be conducted in conjunction with the November 2004 CPS. The Census Bureau sponsors these questions, which have been collected biennially in the CPS since 1964.
This survey has provided statistical information for tracking historical trends of voter and nonvoter characteristics in each Presidential or Congressional election since 1964. The data collected from the November supplement relates demographic characteristics (age, sex, race, education, occupation, and income) to voting and nonvoting behavior. The November CPS supplement is the only source of data that provides a comprehensive set of voter and nonvoter characteristics distinct from independent surveys, media polls, or other outside agencies. Federal, state, and local election officials use these data to formulate policies relating to the voting and registration process. College institutions, political party committees, research groups, and other private organizations also use the voting and registration data.
The voting and registration information will be collected by both personal visit and telephone interviews in conjunction with the regular November CPS interviewing. All interviews are conducted using computer-assisted interviewing.
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 or included in the request for OMB approval of this information collection; they also will become a matter of public record.
Notice.
The Department of Commerce (DOC), as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to comment on the continuing and proposed information collection, 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 July 9, 2004.
Direct all written comments to Diana Hynek, Departmental Paperwork Clearance Officer, Department of Commerce, Room 6625, 14th and Constitution Avenue, NW., Washington, DC 20230 (or via the Internet at
Requests for additional information should be directed to the attention of Barbara C. Lippiatt, Economist, NIST, (301) 975-6133. In addition, written comments may be sent via e-mail to
Over the last ten years, the Building and Fire Research Laboratory of the National Institute of Standards and Technology (NIST) has developed and automated an approach for measuring the life-cycle environmental and economic performance of building products. Known as BEES (Building for Environmental and Economic Sustainability), the tool reduces complex, science-based technical content (
NIST will publish in BEES an aggregated version of the data collected from manufacturers that protects data confidentiality, subject to manufacturer's review and approval. BEES measures environmental performance using the environmental life-cycle assessment approach specified in the ISO 14040 series of standards. All stages in the life of a product are analyzed: Raw material acquisition, manufacture, transportation, installation, use, and recycling and waste management. Economic performance is measured using the ASTM standard life-cycle cost method, which covers the costs of initial investment, replacement, operation, maintenance and repair, and disposal.
Data on materials use, energy consumption, waste, and environmental releases will be collected using an electronic, MS Excel-based questionnaire. An electronic, MS Word-based User Manual accompanies the questionnaire to help in its completion.
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 will 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,
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Receipt of application.
Notice is hereby given that Dr. Jeanette Wyneken, Assistant Professor, Florida Atlantic University, Dept. of Biological Sciences, 777 Glades Rd., Boca Raton, FL 33431, has applied in due form for a permit to take loggerhead sea turtles (
Written, telefaxed, or e-mail comments must be received on or before June 9, 2004.
The application and related documents are available for review upon written request or by appointment in the following office(s):
Permits, Conservation and Education Division, Office of Protected Resources, NMFS, 1315 East-West Highway, Room 13705, Silver Spring, MD 20910; phone (301)713-2289; fax (301)713-0376; and
Assistant Regional Administrator for Protected Resources, Southeast Region, NMFS, 9721 Executive Center Drive North, St. Petersburg, FL 33702-2432; phone (813)570-5301; fax (813)570-5517.
Written comments or requests for a public hearing on this application should be mailed to the Chief, Permits, Conservation and Education Division, F/PR1, Office of Protected Resources, NMFS, 1315 East-West Highway, Room 13705, Silver Spring, MD 20910. Those individuals requesting a hearing should set forth the specific reasons why a hearing on this particular request would be appropriate.
Comments may also be submitted by facsimile at (301)713-0376, provided the facsimile is confirmed by hard copy submitted by mail and postmarked no later than the closing date of the comment period.
Comments may also be submitted by e-mail. The mailbox address for providing e-mail comments is
Ruth Johnson or Jennifer Jefferies, (301)713-2289.
The subject permit is requested under the authority of the Endangered Species Act of 1973, as amended (ESA; 16 U.S.C. 1531
The applicant proposes to take up to 30 loggerhead sea turtle hatchlings per site at 10 sites (Onslow Beach, Kiawah Island, Hilton Head Island, Wassaw Island, Melbourne Beach, Hutchinson Island, Juno Beach, Boca Raton, Sanibel/Captiva and vicinity including waters near Ft. Meyers, and Sarasota) for scientific research. Turtles will be captured on the beach under permits issued by the States of North Carolina, South Carolina, Georgia, and Florida, and attached with a “Witherington Float.” The floats used to track loggerheads are 2 inches (5 cm) long and ¾ inches (1.9 cm) deep and shaped like a racing sailboat hull. The hull is hollowed and fitted with a flattened piece of split-shot in the bottom and a small eye formed of wire sunk to the balsa wood to attach one end of a cotton thread. The “deck” is hollowed out and holds a very small cynalume (cold chemical glow stick) and the hull is painted black. The cynalume is only visible from the top. The float is tethered with a thin cotton sewing thread and the other end of the thread tether (approx. 10 ft or 3 m long) is attached to the turtle by slip knot around the shell behind the foreflippers. The thread will break away and fall off in about two hours in saltwater. Turtles will be released at water's edge and followed to determine survivability. Turtles that are not lost to predators will be recaptured, the tether removed and released. The objective of this study is to document spatial variability in hatchling survivorship and provide revised values for other life stages.
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice of receipt of foreign fishing application.
NMFS publishes, for public review and comment, information regarding a foreign fishing application submitted under provisions of the Magnuson-Stevens Fishery Conservation and Management Act (Magnuson-Stevens Act).
Comments must be received by May 24, 2004.
Send comments or requests for a copy of the application to NMFS, Office of Sustainable Fisheries, International Fisheries Division, 1315 East-West Highway, Silver Spring, MD 20910.
Comments on this notice may also be submitted by e-mail. The address for providing e-mail comments is
Robert A. Dickinson, Office of Sustainable Fisheries, (301) 713-2276.
Section 204(d) of the Magnuson-Stevens Act (16 U.S.C. 1824(d)) provides, among other things, that the Secretary of Commerce (Secretary) may issue a transshipment permit which authorizes a vessel other than a vessel of the United States to engage in fishing consisting solely of transporting fish or fish products at sea from a point within the U.S. Exclusive Economic Zone (EEZ) or, with the concurrence of a state, within the boundaries of that state to a point outside the United States.
Section 204(d)(3)(D) of the Magnuson-Stevens Act provides that an application may not be approved until the Secretary determines that “no owner or operator of a vessel of the United States which has adequate capacity to perform the transportation for which the application is submitted has indicated . . . an interest in performing the transportation at fair and reasonable rates.” NMFS is publishing this notice as part of its effort to make such a determination with respect to the application described below.
NMFS has received an application requesting authorization for two Mexican vessels to receive, within the Pacific waters of the U.S. EEZ south of 38°00′ N. lat., transfers of live tuna from U.S. purse seiners for the purpose of transporting the tuna alive to an aquaculture facility located in Baja California, Mexico.
Interested U.S. vessel owners and operators may obtain a copy of the complete application from NMFS (see
National Telecommunications and Information Administration (NTIA), Commerce.
Notice of Availability of Funds.
Pursuant to the Consolidated Appropriations Act, 2004, the National Telecommunications and Information Administration (NTIA), U.S. Department of Commerce, announces the solicitation of applications for a grant for the Pan-Pacific Education and Communications Experiments by Satellite (PEACESAT) Program. Projects funded pursuant to this Notice are intended to support the PEACESAT Program's acquisition of satellite communications to service Pacific Basin communities and to manage the operations of this network. Applications for the PEACESAT Program grant will compete for funds from the Public Broadcasting, Facilities, Planning and Construction Funds account.
Applications must be received on or before 5 p.m. Eastern Daylight Saving Time, June 9, 2004. Applications submitted by facsimile or electronic means are not acceptable. If an application is received after the Closing Date due to (1) carrier error, when the carrier accepted the package with a guarantee for delivery by the Closing Date and Time, (2) significant weather delays or natural disasters, or (3) delays due to national security issues, NTIA will, upon receipt of proper documentation, consider the application as having been received by the deadline. NTIA will not accept applications posted on the Closing Date or later and received after the deadline.
To obtain a printed application package, submit completed applications, or send any other correspondence, write to: NTIA/PTFP, Room H-4625, U.S. Department of Commerce, 1401 Constitution Avenue, NW., Washington, DC 20230. Application materials may be obtained electronically via the Internet (
William Cooperman, Director, Public Broadcasting Division, telephone: (202) 482-5802; fax: (202) 482-2156.
The full funding opportunity announcement for the PEACESAT Fiscal Year (FY) 2004 grant cycle is available on the NTIA Web site:
The Congress has appropriated $19.75 million for FY 2004 Public Telecommunications Facilities Program (PTFP) and PEACESAT awards. For FY 2003, NTIA issued one award for the PEACESAT project in the amount of $484,977.
Funding for the PEACESAT Program is provided pursuant to Public Law 108-199, “The Consolidated Appropriations Act, 2004” and Public Law 106-113, “The Consolidated Appropriations Act, Fiscal Year 2000.” Public Law 106-113 provides “That, hereafter, notwithstanding any other provision of law, the Pan-Pacific Education and Communications Experiments by Satellite (PEACESAT) Program is eligible to compete for Public Broadcasting Facilities, Planning and Construction funds.” The PEACESAT Program was authorized under P.L. 100-584 (102 Stat. 2970) and also P. L. 101-555 (104 Stat. 2758) to acquire satellite communications services to provide educational, medical, and cultural needs of Pacific Basin communities. The PEACESAT Program has been operational since 1971 and has received funding from NTIA for support of the project since 1988.
Public Law 108-199 appropriated $19.75 million for this account to be awarded for Public Telecommunications Facilities Program (PTFP) grants and for PEACESAT Program grants. A solicitation notice for the PTFP Program was published in the
Eligible applicants will include any for-profit or non-profit organization, public or private entity, other than an agency or division of the Federal government. Individuals are not eligible to apply for the PEACESAT Program funds.
Each eligible application is evaluated by a panel of outside reviewers who have demonstrated expertise in the programmatic and technological aspects of the application. The review panel members will evaluate applications according to the criteria in the preceding section and provide individual written ratings of each application.
State Single Point of Contact (SPOC) offices, per Executive Order 12372, may provide recommendations on applications under consideration.
PTFP places a summary of applications received on the Internet. Listing an application merely acknowledges receipt of an application to compete for funding with other applications. Listing does not preclude subsequent return of the application or disapproval of the application, nor does it assure that the application will be funded. The listing will also include a request for comments on the applications from any interested party. Applicants must make a copy of their application available for public inspection during normal business hours. Any opposing public comments must contain a certification that a copy of the comments has been delivered to the applicant. Public comment and replies from the applicant are considered during the evaluation of the application.
The PTFP program staff prepares summary recommendations for the Director of the Public Broadcasting Division. These recommendations incorporate the outside reviewers' ratings and incorporate analysis based on the degree to which a proposed project meets the PEACESAT Program purposes and cost eligibility as described in Sections IV and V of this announcement. Staff recommendations also consider (1) project impact, (2) the cost/benefit of a project, and (3) whether the reviewers consistently applied the evaluation criteria. The analysis by program staff is provided to the Director of the Public Broadcasting Division in writing.
The Director considers the summary recommendations prepared by program staff, recommends the funding order of the applications for the PTFP and PEACESAT Programs in three categories: “Recommended for Funding,” “Recommended for Funding If Funds Are Available,” and “Not Recommended for Funding.” The Director presents recommendations to the Associate Administrator, Office of Telecommunications and Information Applications (OTIA), for review and approval.
Upon review and approval by the Associate Administrator of the Office of Telecommunications and Information Applications (OTIA), the Director's recommendations are presented to the Selecting Official, the Assistant Secretary for Communications and Information, who is the NTIA Administrator. The NTIA Administrator selects the applications to be negotiated for possible grant award, taking into consideration the outside reviewers' ratings, the Director's recommendations, and the degree to which the slate of applications, taken as a whole, satisfies the PTFP and PEACESAT Programs' stated purposes.
The selected applications are negotiated between NTIA staff and the applicant. The negotiations are intended to resolve whatever differences might exist between the applicant's original request and what NTIA is considering funding. Negotiation does not ensure that an award will be made. When the negotiations are completed, the Director recommends final selections to the NTIA Administrator, applying the same selection factors described above. The Administrator then makes the final award selections from the negotiated applications taking into consideration the Director's recommendations and the degree to which the slate of applications, taken as a whole, satisfies the stated purposes for the PTFP Program in 15 CFR 2301.1(a) and (c) and for the PEACESAT Program.
Each eligible application that is timely received, is materially complete, and proposes an eligible project will be considered under the evaluation criteria described here. The first three criteria—1. Meeting the Purposes of the PEACESAT Program, 2. Extent of Need for the Project, and 3. Plan of Operation for the Project—are each worth 25 points. Criterion 4, Budget and Cost Effectiveness, is worth 20 points. Criterion 5, Quality of Key Personnel, is worth 5 points.
Criterion 1. Meeting the Purposes of the PEACESAT Program, including (i) how well the proposal meets the objectives of the PEACESAT Program and (ii) how the objectives of the proposal further the purposes of the PEACESAT Program.
Criterion 2. Extent of Need for the Project. The extent to which the project meets the needs of the PEACESAT Program, including consideration of: (i) The needs addressed by the project; (ii) how the applicant identifies those needs; (iii) how those needs will be met by the project; and (iv) the benefits to be gained by meeting those needs.
Criterion 3. Plan of Operation for the Project, including (i) the quality of the design of the project; (ii) the extent to which the plan of management is effective and ensures proper and efficient administration of the project; (iii) how well the objectives of the project relate to the purposes of the PEACESAT Program; (iv) the quality of the applicant's plan to use its resources and personnel to achieve each objective; and (v) how the applicant will ensure that project participants who are otherwise eligible to participate are selected without regard to race, color, national origin, gender, age, or handicapped condition.
Criterion 4. Budget and Cost Effectiveness. The extent to which (i) the budget is adequate to support the project; and (ii) costs are reasonable in relation to the objectives of the project.
Criterion 5. Quality of Key Personnel the applicant plans to use on the project, including (i) the qualifications of the project director if one is to be used; (ii) the qualifications of each of the other key personnel to be used in the project; (iii) the time that each person will commit to the project; and (iv) how the applicant, as part of its nondiscriminatory employment practices, will ensure that its personnel are selected for employment without regard to race, color, national origin, gender, age, or handicapped condition. In this section, “qualifications” refers to experience and training in fields related to the objectives of the project, and any other qualifications that pertain to the quality of the project.
The selection factors retained by the Director, OTIA Associate Administrator, and the Assistant Secretary for Communications and Information for the PTFP Program are described in 15 CFR 2301.18. These selection factors are also used, as applicable, for selection of applications for funding for the PEACESAT Program.
Grant recipients under this program will not be required to provide matching funds toward the total project cost.
The costs allowable under this Notice are not subject to the limitation on costs contained in the February 11, 2004 Notice regarding the PTFP Program.
PEACESAT applications are subject to Executive Order 12372, “Intergovernmental Review of Federal Programs,” if the state in which the applicant organization is located participates in the process. Usually submission to the State Single Point of Contact (SPOC) needs to be only the first two pages of the Application Form, but applicants should contact their own SPOC offices to find out about and comply with its requirements. The names and addresses of the SPOC offices are listed on the PTFP website and at the Office of Management and Budget's home page at
All applicants (nonprofit, state, local government, universities, and tribal organizations) will be required to provide a Dun and Bradstreet Data Universal Numbering System (DUNS) number during the application process. See the October 30, 2002 (67 FR 66177) and April 8, 2003 (68 FR 17000)
The Department of Commerce Pre-Award Notification of Requirements for Grants and Cooperative Agreements contained in the
In no event will the Department of Commerce be responsible for proposal preparation costs if this program fails to receive funding or is cancelled because of other agency priorities. Publication of this announcement does not oblige the agency to award any specific project or to obligate any available funds.
Notwithstanding any other provision of the law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of information subject to the requirements of the Paperwork Reduction Act (PRA), unless that collection displays a currently valid Office of Management and Budget (OMB) control number. The PTFP application form has been approved under OMB Control No. 0660-0003.
It has been determined that this notice is a “not significant” rule under Executive Order 12866.
It has been determined that this notice does not contain policies with Federalism implications as that term is defined in Executive Order 13132.
Prior notice and opportunity for public comment are not required by the Administrative Procedure Act or any other law for this notice concerning grants, benefits, and contracts (5 U.S.C. 553(a)). Because notice and opportunity for comment are not required pursuant to 5 U.S.C. 553 or any other law, the analytical requirements of the Regulatory Flexibility Act (5 U.S.C. 601
Proposed collection; comment request.
The United States Patent and Trademark Office (USPTO), 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 July 9, 2004.
Direct all written comments to Susan K. Brown, Records Officer, Office of the Chief Information Officer, Office of Data Architecture and Services, Data Administration Division, 703-308-7400, U.S. Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313, Attn: CPK 3 Suite 310; by e-mail at
Requests for additional information should be directed to the attention of Martin Rater, Statistician, Office of Corporate Planning, U.S. Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450; by telephone 703-305-4220; by facsimile at 703-305-8138; or by e-mail at
For over the past 10 years, the USPTO has used surveys to obtain customer feedback regarding the products, services, and related service standards of the USPTO. The USPTO uses the results from these surveys to measure how well the agency is meeting established customer service standards, to identify any disjoints between customer expectations and USPTO performance, and to develop customer satisfaction improvement strategies. Typically, these surveys ask customers to express their satisfaction with the USPTO's products and services based upon their interactions with the agency as a whole over a 12 month period.
To obtain further data concerning customer satisfaction with the USPTO's customer services, service standards, and the agency's performance, the USPTO has drafted the proposed Patent Customer Transactional Survey. This proposed survey allows the USPTO to further explore customer satisfaction with the legal positions of the examiners, the search functions of the various Automated Information Systems, and problem resolution at the USPTO. From past surveys, the USPTO has noted that these areas are key drivers of overall customer satisfaction. Additionally, the USPTO has found that approximately 70% of its customers prosecute more than 15 patent applications per year. With this volume of applications per customer, it is not practical for the USPTO to survey customers about anything beyond general satisfaction with a particular product or service. The Patent Customer Transactional Survey will allow the USPTO to gather more detailed information about these key drivers of customer satisfaction. This in turn enables the USPTO to develop efficient and cost-effective customer satisfaction improvement strategies.
The Patent Customer Transactional Survey is a mail survey, although respondents also have the option to complete the survey electronically. A survey packet, containing a one-page questionnaire (with a cover letter prepared by the Commissioner of Patents printed on the reverse side),and a postage-paid, pre-addressed return envelope will be mailed to respondents with the patent allowance. Instructions for completing the survey electronically will also be included. The survey packets will be mailed to randomly selected customers who were granted a patent from one of the eight technology centers during a six week period to commence with the start of the survey enumeration period.
The USPTO does not plan to pre-notify respondents about this survey or follow-up with those respondents who do not respond to this survey. This is a voluntary survey and all responses will remain confidential. The data that is collected will not be linked to the respondent and contact information that is used for sampling purposes will be maintained in a separate file from the quantitative data. Respondents are not required to provide any identifying information such as their name, address, or Social Security Number. In order to access and complete the online survey, respondents will need to use the username, password, and activation code provided by the USPTO.
These surveys do not have USPTO form numbers associated with them and once they are approved, they will carry the OMB Control Number and the expiration date.
By mail or electronically over the Internet when respondents elect the online option to complete the survey.
Estimated Time Per Response: The USPTO estimates that it will take approximately five minutes (0.08 hours) to complete both the paper and online versions of this survey.
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,
Comments submitted in response to this notice will be summarized or included in the request for OMB approval of this information collection; they will also become a matter of public record.
Energy Information Administration (EIA), Department of Energy (DOE).
Agency Information Collection Activities: Proposed Collection; Comment Request.
The EIA is soliciting comments on the proposed revision to Form EIA-910, “Monthly Natural Gas Marketer Survey”. EIA is requesting a revision to add seven States and the District of Columbia to the survey frame, which consists of natural gas marketers.
Comments must be filed by July 9, 2004. If you anticipate difficulty in submitting comments within that period, contact the person listed below as soon as possible.
Send comments to Elizabeth Campbell, Director of the Natural Gas Division. To ensure receipt of the comments by the due date, submission by FAX at (202) 586-4420 or e-mail at
Requests for additional information or copies of any forms and instructions should be directed to Ms. Campbell at the address listed above.
The Federal Energy Administration Act of 1974 (Pub. L. No. 93-275, 15 U.S.C. 761
The EIA, as part of its effort to comply with the Paperwork Reduction Act of 1995 (Pub. L. 104-13, 44 U.S.C. Chapter 35), provides the general public and other Federal agencies with opportunities to comment on collections of energy information conducted by or in conjunction with the EIA. Any comments received help the EIA to prepare data requests that maximize the utility of the information collected, and to assess the impact of collection requirements on the public. Also, the EIA will later seek approval by the Office of Management and Budget (OMB) under section 3507(a) of the Paperwork Reduction Act of 1995.
The EIA has been conducting the survey, Form EIA-910, “Monthly Natural Gas Marketer Survey,” since August 2001 in the States of Georgia, Maryland, New York, Ohio and Pennsylvania. The survey collects information from natural gas marketers on the number of customers, volume, and revenue of natural gas sold to residential and commercial end-use customers. The data collected on the EIA-910 is combined with data collected from gas utility companies on Form EIA-857, “Monthly Report of Natural Gas Purchases and Deliveries”. The combined data are published as residential and commercial sector prices in the
These States were identified by EIA as having some of the highest and most problematic levels of missing price data for the residential and commercial consumer sectors due to the active customer programs that allow customers to choose to purchase their gas from marketers instead of local distribution or utility companies. Based upon the data already collected on the EIA-910, EIA believes that customers purchase natural gas from marketers because the customers expect to pay lower prices for their gas than if the customers purchased the gas from the local distribution companies or pipelines that deliver the gas. Therefore, EIA's lack of coverage of sales by marketers may lead to price estimates that are higher than the actual prices paid. This bias in the data has serious implications for both public and private users of EIA's data. The implementation of the EIA-910 data to EIA's price estimates in the residential and commercial sectors in 2002 for the States of Georgia, Maryland, New York, Ohio and Pennsylvania has been successful in raising the percent coverage of natural gas prices at the national level from 92.2% in 2001 to 97.9% in 2002 in the residential sector and from 65.8% in 2001 to 78.4% in 2002 in the commercial sector.
Please refer to the proposed forms and instructions
EIA is requesting a revision to add seven States and the District of Columbia to the survey frame. Currently, EIA-910 respondents in Georgia, Maryland, New York, Ohio and Pennsylvania report the number of customers, volumes of natural gas sold, and revenues.
EIA is now proposing to expand the EIA-910 to include reporting in Florida, Illinois, Michigan, New Jersey, Massachusetts, Virginia, West Virginia and the District of Columbia. The selection of the additional States and the District of Columbia is based on the increasing percentage of natural gas sold by marketers and growth patterns in customer choice programs. This expansion of the EIA-910 survey will lead to improved quality of the natural gas price data in the residential and commercial sectors. For example, current published prices in the commercial sector for the proposed new States and the District of Columbia only represent 23 to 63 percent of commercial volumes consumed in those areas. The addition of the new States and the District of Columbia to the EIA-910 survey frame will bring the percent of volumes represented by published prices in the commercial sector to 100 percent in those areas.
Prospective respondents and other interested parties should comment on the actions discussed in item II. The following guidelines are provided to assist in the preparation of comments.
A. Is the proposed collection of information necessary for the proper performance of the functions of the agency and does the information have practical utility? Practical utility is defined as the actual usefulness of information to or for an agency, taking into account its accuracy, adequacy, reliability, timeliness, and the agency's ability to process the information it collects.
B. What enhancements can be made to the quality, utility, and clarity of the information to be collected?
A. What actions could be taken to help ensure and maximize the quality, objectivity, utility, and integrity of the information to be collected?
B. Are the instructions and definitions clear and sufficient? If not, which instructions need clarification?
C. Can the information be submitted by the due date?
D. Public reporting burden for this collection is currently estimated to average two hours per monthly response per state. Approximately 87 new responses are expected as a result of the addition of these States and the District of Columbia, resulting in an increase in total annual burden of 2,088 hours. The estimated burden includes the total time necessary to provide the requested information. In your opinion, how accurate is this estimate?
E. The agency estimates that the only cost to a respondent is for the time it will take to complete the collection. Will a respondent incur any start-up costs for reporting, or any recurring annual costs for operation, maintenance, and purchase of services associated with the information collection?
F. What additional actions could be taken to minimize the burden of this collection of information? Such actions may involve the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology.
G. Does any other Federal, State, or local agency collect similar information? If so, specify the agency, the data element(s), and the methods of collection.
A. What actions could be taken to help ensure and maximize the quality, objectivity, utility, and integrity of the information disseminated?
B. Is the information useful at the levels of detail to be collected?
C. For what purpose(s) would the information be used? Be specific.
D. Are there alternate sources for the information and are they useful? If so, what are their weaknesses and/or strengths?
Comments submitted in response to this notice will be summarized and/or included in the request for OMB approval of the form. They also will become a matter of public record.
Section 3507(h)(1) of the Paperwork Reduction Act of 1995 (Pub. L. No. 104-13, 44 U.S.C. Chapter 35).
Take notice that on April 27, 2004, Midwestern Gas Transmission Company (Midwestern) tendered for filing to become part of Midwestern's FERC Gas Tariff, Third Revised Volume No. 1, the following tariff sheets to become effective June 1, 2004:
Midwestern is requesting that the Commission accept certain potential non-conforming transportation agreements. Midwestern explains that such agreements contain language in the Term section that is different from the form of agreement currently contained in its Tariff. To rectify the inconsistency, Midwestern is proposing to amend Section 16 of the General Terms and Conditions of its Tariff to provide conformity between its Tariff and the agreements. In addition, Midwestern is notifying the Commission that one of the non-conforming agreements may contain a negotiated rate.
Any person desiring to be heard or to protest said filing should file a motion to intervene or 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 as 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 proceeding. Any person wishing to become a party must file a motion to intervene. This filing is available for review at the Commission in the Public Reference Room or may be viewed on the Commission's Web site at
Take notice that on April 27, 2004, Stingray Pipeline Company, L.L.C. (Stingray) filed a Petition for Temporary Exemption pursuant to section 7(c)(1)(B) of the Natural Gas Act. As more fully set forth in the petition, Stingray is seeking approval to deactivate, on a temporary basis, certain compressor units located at its offshore and onshore compressor stations.
Any person desiring to intervene or to protest this filing should file with the Federal Energy Regulatory Commission, 888 First Street, NE., 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). 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. All such motions or protests should be filed on or before the comment date and, to the extent applicable, must be served on the applicant and on any other person designated on the official service list. This filing is available for review at the Commission or may be viewed on the Commission's Web site at
Take notice that on April 27, 2003, Transcontinental Gas Pipe Line Corporation (Transco), tendered for filing with the Federal Energy Regulatory Commission, Second Revised Sheet No. 329 to its FERC Gas Tariff, Third Revised Volume No. 1, with a proposed effective date of May 27, 2004.
Transco states that the purpose of the instant filing is to modify Transco's Policy for Construction of Interconnect Facilities set forth in Section 20 of the General Terms and Conditions of Transco's Tariff.
Transco states that copies of the filing are being mailed to its affected customers and interested state commissions. In accordance with the provisions of Section 154.2(d) of the Commission's Regulations, copies of this filing are available for public inspection, during regular business hours in a convenient form and place at Transco's main offices at 2800 Post Oak Boulevard in Houston, Texas.
Any person desiring to be heard or to protest this filing should file a motion to intervene or protest with the Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426, in accordance with 385.214 and 385.211 of the Commission's rules and regulations. All such motions or protests must be filed as provided in 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 proceeding.
The following filings have been made with the Commission. The filings are listed in ascending order within each docket classification.
Take notice that on April 28, 2004, American Electric Power Service Corporation (AEPSC), acting on behalf of its electric utility affiliates, Southwestern Electric Power Company (SWEPCO) and AEP Texas Central Company, formerly known as Central Power and Light Company (TCC), submitted an application for disclaimer of jurisdiction or, in the alternative, approval of the transfer of certain local distribution facilities to retail customers, pursuant to section 203 of the Federal Power Act (Act), 16 U.S.C. 824b (2003), and Part 33 of the Regulations of the Commission, as revised pursuant to Order No. 642, FERC Stats. & Regs. ¶ 31,111 (2000). AEPSC state that such transfers are proposed to be made to comply with the Texas Public Utility Regulatory Act and the Texas Utilities Code 39.051(a).
AEPSC states that a copy of the filing has been served on the Public Utility Commission of Texas, the Arkansas Public Service Commission, the Louisiana Public Service Commission, and on each wholesale customer served by SWEPCO or TCC.
Take notice that on April 29, 2004, Llano Estacado Wind, LP (Llano Estacado), Northern Iowa Windpower LLC (NIW), Shell WindEnergy Inc. (Shell WindEnergy), EWO Wind, LLC (EWO Wind), and Entergy Asset Management, Inc. (EAM) (collectively, Applicants) filed with the Commission an application for authorization under section 203 of the Federal Power Act and notice of change in status with respect to the transfer of indirect, upstream interests in Llano Estacado and NIW. Applicants state that as a result of the proposed transaction, Shell WindEnergy, individually, and EAM and an affiliate, collectively, will each indirectly own 50 percent of Llano Estacado and 49.5 percent of NIW.
Take notice that on April 29, 2004, Portland General Electric Company (Portland General), an electric utility for which Enron Corp. (Enron) owns all of the outstanding voting securities, and PGE Trust, a to-be-formed entity (collectively, the Applicants), filed with the Commission pursuant to section 203 of the Federal Power Act an Application for authorization of a possible interim transfer in control over Portland General from Enron to PGE Trust. Applicants state that PGE Trust would hold Enron's ownership interest in Portland General or the proceeds of a sale of such interests for further distribution.
On April 29, 2004, Coleto Creek WLE, LP (Coleto Creek), filed with the Commission an application for determination of exempt wholesale generator status pursuant to Part 365 of the Commission's Regulations. Coleto Creek states that the facility will consist of one coal-fired steam generating unit with a maximum net capability of 632 MW located near Victoria, Texas within the Electric Reliability Council of Texas.
Coleto Creek states that it has served a copy of this Application on the Securities and Exchange Commission and affected State commissions.
On April 29, 2004, Nueces Bay WLE, LP (Nueces Bay), tendered for filing with the Commission an application for determination of exempt wholesale generator status pursuant to Part 365 of the Commission's Regulations. Nueces Bay states that its facility will consist of three natural gas-fired steam generating units with a maximum net capability of 559 MW located near Corpus Christi, Texas within the Electric Reliability Council of Texas.
Nueces Bay WLE, LP states that it has served a copy of this application on the Securities and Exchange Commission and all the affected State commissions.
On April 29, 2004, J.L. Bates, LP (Bates) filed with the Commission an application for determination of exempt wholesale generator status pursuant to Part 365 of the Commission's Regulations. Bates states that its facility will consist of two natural gas-fired steam generating units with a maximum net capability of 182 MW located near Mission, Texas within the Electric Reliability Council of Texas.
Bates states that it has served the documents upon the Securities and Exchange Commission and affected State commissions.
On April 29, 2004, E.S. Joslin, LP (Joslin) filed with the Commission an application for determination of exempt wholesale generator status pursuant to Part 365 of the Commission's Regulations. Joslin states that the facility will consist of one natural gas-fired steam generating unit with a maximum net capability of 254 MW located near Point Comfort, Texas within the Electric Reliability Council of Texas.
Joslin states that it has served a copy of this document upon the Securities and Exchange Commission and affected State commissions.
On April 29, 2004, La Palma WLE, LP (La Palma) filed with the Commission
La Palma states that a copy of this document has been served on the Securities and Exchange Commission and affected State commissions.
On April 29, 2004, Lon C. Hill, LP (Hill) filed with the Commission an application for determination of exempt wholesale generator status pursuant to Part 365 of the Commission's Regulations. Hill states that its facility will consist of four natural gas-fired steam generating units with a maximum net capability of 559 MW located near Corpus Christi, Texas within the Electric Reliability Council of Texas.
Hill states that a copy of this filing has been served on the Securities and Exchange Commission and the affected State commissions.
On April 29, 2004, Victoria WLE, LP (Victoria) filed with the Commission an application for determination of exempt wholesale generator status pursuant to Part 365 of the Commission's Regulations. Victoria states that its facility will consist of three natural gas-fired steam generating units with a maximum net capability of 491 MW located near Victoria, Texas within the Electric Reliability Council of Texas.
Victoria states that it has served a copy of this document on the Securities and Exchange Commission and affected State commissions.
On April 29, 2004, Barney M. Davis, LP (Davis) filed with the Commission an application for determination of exempt wholesale generator status pursuant to Part 365 of the Commission's Regulations. Davis states that its facility will consist of two natural gas-fired steam generating units with a maximum net capability of 697 MW located near Corpus Christi, Texas within the Electric Reliability Council of Texas.
Davis states that it has served a copy of this document on the Securities and Exchange Commission and the affected State commissions.
On April 29, 2004, Eagle Pass WLE, LP (Eagle Pass) filed with the Commission an application for determination of exempt wholesale generator status pursuant to Part 365 of the Commission's Regulations. Eagle Pass states that its facility will consist of three substantially identical hydroelectric units with a maximum net capability of 2 MW each located near Eagle Pass, Texas within the Electric Reliability Council of Texas.
Eagle Pass states that it has served a copy of this document on the Securities and Exchange Commission and affected State commissions.
On April 29, 2004, Laredo WLE, LP (Laredo), filed with the Commission an application for determination of exempt wholesale generator status pursuant to Part 365 of the Commission's Regulations. Laredo states that its facility will consist of three natural gas-fired steam generating units with a maximum net capability of 178 MW located near Laredo, Texas within the Electric Reliability Council of Texas.
Laredo states that it has served a copy of this document on the Securities and Exchange Commission and affected State commissions.
On April 29, 2004, ANP Hartwell Operations Company, LLC (Hartwell Operations), a Delaware limited liability corporation with its principal place of business in Marlborough, Massachusetts, 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. Hartwell Operations states that it operates a 300-MW power generation facility located in Hart County, Georgia (the Facility) and that the Facility is interconnected to the transmission system of the Georgia Integrated Transmission System. Hartwell Operations also states that it commenced operation of the Facility on April 8, 2004.
Hartwell Operations states that it has served a copy of the application on the Securities and Exchange Commission and the Georgia Public Service Commission.
The staff of the Federal Energy Regulatory Commission is convening a conference to discuss a settlement reached by some of the parties in the above-captioned proceedings. The conference will be held on Tuesday, May 18, 2004 at the Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426, beginning at 10 a.m. (e.s.t.)
The purpose of the conference is to inform all interested parties of the terms of a settlement agreement recently entered into between (1) Dynegy Inc., NRG Energy, Inc., and West Coast Power, LLC (collectively Dynegy); (2) Southern California Edison Company, Pacific Gas and Electric Company, San Diego Gas and Electric Company, the People of the State of California,
For additional information concerning the conference, parties or their counsel may contact Robert Pease at
Any person desiring to intervene or to protest this filing should file with the Federal Energy Regulatory Commission,
In accordance with the National Environmental Policy Act of 1969 and the Federal Energy Regulatory Commission's (Commission) regulations, 18 CFR part 380 (Order No. 486, 52 FR 47897), the Office of Energy Projects has reviewed the application for license for the Malad Hydroelectric Project, located on the Malad River near Hagerman, Idaho, and has prepared a Draft Environmental Assessment (DEA) for the project.
The DEA contains the staff's analysis of the potential environmental impacts of the project and concludes that licensing the project, with appropriate environmental protective measures, would not constitute a major Federal action that would significantly affect the quality of the human environment.
A copy of the DEA is available for review at the Commission in the Public Reference Room or may be viewed on the Commission's Web site at
You may also register online at
Any comments should be filed within 45 days from the date of this notice and should be addressed to Magalie R. Salas, Secretary, Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426. Please affix Project No. P-2726-012 to all comments. Comments may be filed electronically via the Internet in lieu of paper. The Commission strongly encourages electronic filings.
For further information, contact John Blair (202) 502-6092.
The staff of the Federal Energy Regulatory Commission (FERC or Commission) will prepare an environmental impact statement (EIS) on Entrega Gas Pipeline Inc.'s (Entrega) planned Entrega Gas Pipeline Project in northern Colorado and southern Wyoming. This notice announces the opening of the scoping process the Commission will use to gather input from the public and interested agencies on the planned project. Your input will help to determine which issues need to be evaluated in the EIS. The Commission will use the EIS in its decision-making process to determine whether or not to authorize the project. Please note that the scoping period will close on June 15, 2004.
Comments may be submitted in written form or verbally. Further details on how to submit written comments are provided in the
This notice is being sent to landowners; Federal, State, and local government agencies; elected officials; environmental and public interest groups; Native American tribes; other interested parties; and local libraries and newspapers. We
Entrega, an affiliate of EnCana Oil & Gas (USA) Inc., is planning to construct,
The project would include construction of five compressor stations and other appurtenant facilities, and would follow existing pipeline corridors for about 93 percent of the planned route.
A map depicting the planned pipeline route is provided in appendix 1.
Entrega proposes to place the project in service in two phases. The 36-inch portion (Meeker Hub to Wamsutter) is proposed to commence service by the Fall of 2005. The remaining portion (Wamsutter to Cheyenne Hub) would commence service one year later. To achieve the initial in-service date, Entrega intends to request approval to begin construction of the pipeline facilities in the Spring of 2005.
Construction of the pipeline would require about 5,159 acres of land. Where paralleling another pipeline, the new pipeline would typically be located about 40 feet from the existing pipeline. Entrega has proposed a pipeline construction right-of-way of 125 feet. The construction right-of-way may be expanded at special work areas (
The FERC will be the lead Federal agency for the EIS process which is being conducted to satisfy the requirements of the National Environmental Policy Act (NEPA). NEPA requires the Commission to take into account the environmental impacts that could result from an action whenever it considers the issuance of a Certificate of Public Convenience and Necessity (Certificate).
NEPA also requires us to discover and address issues and concerns the public may have about proposals and to ensure those issues and concerns are analyzed in the EIS. This process is referred to as “scoping.” The goal of the scoping process is to focus the analysis in the EIS on the important and potentially significant environmental issues related to the proposed action, and on reasonable alternatives. This notice formally announces the beginning of the scoping process and requests agency and public comments on the Entrega proposal. All scoping comments received will be considered during the preparation of the EIS. To ensure your comments are considered, please carefully follow the instructions in the
Our independent analysis of Entrega's proposal will be included in a draft EIS. The draft EIS will be mailed to Federal, state, and local government agencies; elected officials; environmental and public interest groups; Native American tribes; affected landowners; other interested parties; local libraries and newspapers; and the Commission's official service list. A 45-day comment period will be allotted for review of the EIS. We will consider all timely comments and revise the document, as necessary, before issuing a final EIS.
The Entrega Gas Pipeline Project is in the preliminary design stage. At this time, specific routes and other details are being finalized and no formal application has been filed with the FERC. Entrega expects to file a formal application with the FERC by September 2004. Although we have no formal Certificate application, we are initiating our review of Entrega's planned project under our NEPA Pre-Filing Process. The purpose of the FERC's NEPA Pre-filing Process is to:
• Establish a framework for constructive discussion between the project proponents, potentially affected landowners, agencies, and the Commission staff;
• Encourage the early involvement of interested stakeholders to identify issues and study needs; and
• Attempt to resolve issues early, before an application is filed with the FERC.
We have already held early discussions with the U.S. Department of the Interior's Bureau of Land Management (BLM), which has agreed to assist us in the preparation of the EIS as a cooperating agency to satisfy its NEPA responsibilities. By this notice, we are asking other Federal, state, and local agencies with jurisdiction and/or special expertise with respect to environmental issues to formally cooperate with us, too. Agencies that would like to request cooperating status should follow the instructions for filing comments provided below.
You can make a difference by providing us with your specific comments or concerns about the planned project. Please focus your comments on the potential environmental effects, reasonable alternatives (including alternative facility sites and pipeline routes), and measures to avoid or lessen environmental impact. The more specific your comments, the more useful they will be. To ensure that your comments are timely and properly recorded, please mail your comments so that they will be received in Washington, DC on or before June 15, 2004, and carefully follow these instructions:
• (Send an original and two copies of your letter to: Magalie R. Salas, Secretary, Federal Energy Regulatory Commission, 888 First Street, NE., Room 1A, Washington, DC 20426;
• (Label one copy of your comments for the attention of Gas Branch 1; and
• (Reference Docket No. PF04-7-000 on the original and both copies.
The public scoping meetings (
A docket number (PF04-7-000) has been established to place information filed by Entrega and related documents issued by the Commission, into the public record.
• Publish a Notice of Application in the
• Establish a new docket number; and
• Set a deadline for interested persons to intervene in the proceeding.
Because the Commission's NEPA Pre-Filing Process occurs before an application to begin a proceeding is officially filed, petitions to intervene during this process are premature and will not be accepted by the Commission.
The Commission encourages electronic filing of comments.
From June 7-11, we will also be conducting an inspection of the route and locations of aboveground facilities associated with Entrega's planned project. This inspection will include both aerial and ground components. Anyone interested in participating in the inspection activities may contact the FERC's Office of External Affairs (identified below) for more details and must provide their own transportation.
If you wish to remain on our mailing list to receive any additional environmental notices and copies of the draft and final EIS, it is important that you return the Return Mailer (appendix 2) attached to this notice. If you do not return the mailer, you will be removed from our mailing list.
Additional information about the planned project is available from the Commission's Office of External Affairs, at 1-866-208-FERC (3372) or on the FERC Internet Web site (
The Commission now offers a free service called eSubscription that allows you to keep track of all formal issuances and submittals in specific dockets. This can reduce the amount of time you spend researching proceedings by automatically providing you with notification of these filings, document summaries, and direct links to the documents. To register for this service, go to
In addition, a fact sheet prepared by the FERC entitled “An Interstate Natural Gas Facility On My Land? What Do I Need To Know?” is available for viewing on the FERC Internet Web site. This fact sheet addresses a number of typically asked questions, including the use of eminent domain and how to participate in the Commission's proceedings.
Entrega has initiated a Public Participation Plan to provide a means of communication for participating stakeholders. A toll-free number (1-866-305-3830) has been established for communicating with Entrega representatives regarding this project. Also, contacts and information requests can be made by e-mail to Entrega at
The staff of the Federal Energy Regulatory Commission (FERC or Commission) will prepare an environmental assessment (EA) that will discuss the environmental impacts of the Trunkline LNG Company, LLC's (Trunkline LNG) Modified Expansion Project in Lake Charles, Calcasieu Parish, Louisiana, and the Trunkline Gas Company, LLC's (Trunkline Gas) Gas LNG Loop and Metering Facilities Project involving construction and operation of facilities in Beauregard, Jefferson Davis, and Calcasieu Parishes, Louisiana.
If you are a landowner receiving this notice, you may be contacted by a pipeline company representative about the acquisition of an easement to construct, operate, and maintain the proposed facilities. The company would seek to negotiate a mutually acceptable agreement. However, if the project is approved by the Commission, that approval conveys with it the right of eminent domain. Therefore, if easement negotiations fail to produce an agreement, the pipeline company could initiate condemnation proceedings in accordance with State law.
A fact sheet prepared by the FERC entitled “An Interstate Natural Gas Facility On My Land? What Do I Need To Know?” was attached to the project notice Trunkline LNG and Trunkline Gas provided to landowners. This fact
Trunkline Gas wants to expand the capacity of its facilities in Louisiana to transport an additional 2.1 billion cubic feet per day for service to Trunkline Gas' customers.
In Docket No. CP02-60-004, Trunkline LNG proposes to:
• Convert an LNG vessel lay berth to a LNG ship unloading dock with three liquid unloading arms and one vapor return/delivery arm at the import terminal;
• Construct a desuperheater knockout drum;
• Construct three 200 million standard cubic feet per day (MMscf/d) second stage pumps;
• Construct four 150 MMscf/d submerged combustion vaporizers; and
• Construct an additional fuel gas heater.
In Docket No. CP04-64-000, Trunkline Gas seeks authority to:
• Construct 22.2 miles of 30-inch-diameter pipeline from the Trunkline LNG Import Terminal at milepost (MP) 0.0 to the Trunkline Gas Lakeside Pipeline Gate 203A (MP 22.2);
• Construct 0.6 mile of 30-inch-diameter pipeline inside the Trunkline LNG Import Terminal;
• Construct a new meter station facility at the existing Trunkline LNG Import Terminal for receipt of regassified LNG into the proposed loop;
• Construct four new meter facilities for interconnections with (1) Calcasieu Gas Gathering System (Calcasieu Gas) at MP 0.0 in Calcasieu Parish; (2) Sabine Gas Transmission Company (MP 8.1) in Calcasieu Parish; (3) Texas Gas Transmission Corporation (MP L-191.6)
• Modify two existing meter stations on Trunkline's Lakeside Pipeline System to increase capacity at the Texas Eastern Transmission, LP's delivery point interconnection (MP L-203.9) to 500,000 decatherms per day (Dth/day) and Transcontinental Gas Pipe Line Corporation's (Transco) Ragley delivery point interconnection (MP L-203.4) to 500,000 Dth/day in Beauregard Parish, Louisiana.
The location of the project facilities is shown in appendix 1.
Nonjurisdictional facilities that would be built as a result of the proposed project are limited to taps and connecting piping that may be installed by Calcasieu Gas to connect the meter station facilities to its pipeline.
The portion of the project in Docket No. CP02-60-004 would affect a total of 35.3 acres of the existing terminal site: 23.1 acres of grass cover, 9.5 acres covered in asphalt, concrete, or gravel, and 2.7 acres of water. Following construction, there would be 20.9 acres of grassed areas and 11.7 acres of asphalt, concrete, or gravel covered area. Of the 2.7 acres of water affected by construction, slightly less than 2.7 acres of water would remain after construction.
In Docket No. CP04-64-000, construction of the proposed pipeline and related facilities would disturb about 317.9 acres of land. Following construction, about 131.3 acres would be maintained as new pipeline right-of-way or aboveground facility sites. The remaining 186.6 acres of land would be restored and allowed to revert to its former use.
The National Environmental Policy Act (NEPA) requires the Commission to take into account the environmental impacts that could result from an action whenever it considers the issuance of a Certificate of Public Convenience and Necessity. NEPA also requires us
The EA will discuss impacts that could occur as a result of the construction and operation of the proposed project under these general headings:
• Geology and soils
• Land use
• Water resources, fisheries, and wetlands
• Cultural resources
• Vegetation and wildlife
• Air quality and noise
• Endangered and threatened species
• Hazardous waste
• Public safety
We will also evaluate possible alternatives to the proposed projects or portions of the projects, and make recommendations on how to lessen or avoid impacts on the various resource areas.
Our independent analysis of the issues will be in the EA. Depending on the comments received during the scoping process, the EA may be published and mailed to Federal, State, and local agencies, public interest groups, interested individuals, affected landowners, newspapers, libraries, and the Commission's official service list for this proceeding. A comment period will be allotted for review if the EA is published. We will consider all comments on the EA before we make our recommendations to the Commission.
To ensure your comments are considered, please carefully follow the instructions in the public participation section beginning on page 5.
We have already identified several issues that we think deserve attention based on a preliminary review of the proposed facilities and the environmental information provided for the project. This preliminary list of issues may be changed based on your comments and our analysis.
• Air and noise quality issues.
• Marine traffic issues.
• One federally listed endangered or threatened species may occur in the project area.
• Cultural resources may be affected in the project area.
• 42 waterbodies would be crossed.
• 3.3 acres of wetlands would be affected.
Also, we have made a preliminary decision to not address the impacts of the nonjurisdictional facilities. We will briefly describe their location and status in the EA.
You can make a difference by providing us with your specific comments or concerns about the projects. By becoming a commentor, your concerns will be addressed in the EA and considered by the Commission. You should focus on the potential environmental effects of the proposal, alternatives to the proposal (including alternative locations/routes), and measures to avoid or lessen environmental impact. The more specific your comments, the more useful they will be. Please carefully follow these instructions to ensure that your comments are received in time and properly recorded:
• Send an original and two copies of your letter to: Magalie R. Salas, Secretary, Federal Energy Regulatory Commission, 888 First St., NE., Room 1A, Washington, DC 20426.
• Label one copy of the comments for the attention of Gas Branch 2.
• Reference Docket Nos. CP02-60-004/CP04-64-000.
• Mail your comments so that they will be received in Washington, DC on or before June 1, 2004.
Please note that we are continuing to experience delays in mail deliveries from the U.S. Postal Service. As a result, we will include all comments that we receive within a reasonable time frame in our environmental analysis of this project. However, the Commission strongly encourages electronic filing of any comments or interventions or protests to this proceeding.
If you do not want to send comments at this time but still want to remain on our mailing list, please return the Information Request (Appendix 4). If you do not return the Information Request, you will be taken off the mailing list.
The Commission staff will conduct a field trip on portions of the pipeline facilities on May 19, 2004. Anyone interested in participating in the field trip may attend, but they must provide their own transportation. The Commission staff will start the field trip on Wednesday, May 19, 2004, at approximately 8:30 a.m. in the parking lot of the following hotel: Best Suites of America, 401 Lakeshore Drive, Lake Charles, LA 70601, Telephone: (337) 439-2444.
In addition, the Commission staff will hold a scoping meeting for the project on May 19, 2004, at 7 p.m. at the following address: Holiday Inn Express, 102 Mallard Street, Sulphur, Louisiana 70665 Telephone: (337) 625-2500.
In addition to involvement in the EA scoping process, you may want to become an official party to the proceeding known as an “intervenor.” Intervenors play a more formal role in the process. Among other things, intervenors have the right to receive copies of case-related Commission documents and filings by other intervenors. Likewise, each intervenor must provide 14 copies of its filings to the Secretary of the Commission and must send a copy of its filings to all other parties on the Commission's service list for this proceeding. If you want to become an intervenor you must file a motion to intervene according to Rule 214 of the Commission(s Rules of Practice and Procedure (18 CFR 385.214) (
Affected landowners and parties with environmental concerns may be granted intervenor status upon showing good cause by stating that they have a clear and direct interest in this proceeding which would not be adequately represented by any other parties. You do not need intervenor status to have your environmental comments considered.
This notice is being sent to individuals, organizations, and government entities interested in and/or potentially affected by the proposed project. It is also being sent to all identified potential right-of-way grantors. By this notice we are also asking governmental agencies, especially those in Appendix 3, to express their interest in becoming cooperating agencies for the preparation of the EA.
Additional information about the projects is available from the Commission's Office of External Affairs, at 1-866-208-FERC or on the FERC Internet Web site (
In addition, the Commission now offers a free service called eSubscription which allows you to keep track of all formal issuances and submittals in specific dockets. This can reduce the amount of time you spend researching proceedings by automatically providing you with notification of these filings, document summaries and direct links to the documents. Go to
Finally, public meetings or site visits will be posted on the Commission's calendar located at
Take notice that the following application has been filed with the Commission and is available for public inspection:
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
k.
l.
m. Individuals desiring to be included on the Commission's mailing list should so indicate by writing to the Secretary of the Commission.
n. Comments, Protests, or Motions to Intervene—Anyone may submit comments, a protest, or a motion to intervene in accordance with the requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211, .214. In determining the appropriate action to take, the Commission will consider all protests or other comments filed, but only those who file a motion to intervene in accordance with the Commission's Rules may become a party to the proceeding. Any comments, protests, or motions to intervene must be received on or before the specified comment date for the particular application.
o. Filing and Service of Responsive Documents—Any filings must bear in all capital letters the title “COMMENTS”, “RECOMMENDATIONS FOR TERMS AND CONDITIONS”, “PROTEST”, OR “MOTION TO INTERVENE”, as applicable, and the Project Number of the particular application to which the filing refers. All documents (original and eight copies) should be filed with: Magalie R. Salas, Secretary, Federal Energy Regulatory Commission, 888 First Street, NE., Washington DC 20426. A copy of any motion to intervene must also be served upon each representative of the Applicant specified in the particular application.
p. Agency Comments—Federal, State, and local agencies are invited to file comments on the described application. A copy of the application may be obtained by agencies directly from the Applicant. If an agency does not file comments within the time specified for filing comments, it will be presumed to have no comments. One copy of an agency's comments must also be sent to the Applicant's representatives.
q. Comments, protests and interventions may be filed electronically via the Internet in lieu of paper.
Take notice that the following application has been filed with the Commission and is available for public inspection:
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
k.
l. Locations of the Application: A copy of the application is available for inspection and reproduction at the Commission's Public Reference Room, located at 888 First Street, NE., Room 2A, Washington, DC 20426, or by calling (202) 502-8371. This filing may also be viewed on the Commission's Web site at
m. Individuals desiring to be included on the Commission's mailing list should so indicate by writing to the Secretary of the Commission.
n. Comments, Protests, or Motions to Intervene—Anyone may submit comments, a protest, or a motion to intervene in accordance with the requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211, .214. In determining the appropriate action to take, the Commission will consider all protests or other comments filed, but only those who file a motion to intervene in accordance with the Commission's Rules may become a party to the proceeding. Any comments, protests, or motions to intervene must be received on or before the specified comment date for the particular application.
o. Filing and Service of Responsive Documents—Any filings must bear in all capital letters the title “COMMENTS”,
p. Agency Comments—Federal, state, and local agencies are invited to file comments on the described application. A copy of the application may be obtained by agencies directly from the Applicant. If an agency does not file comments within the time specified for filing comments, it will be presumed to have no comments. One copy of an agency's comments must also be sent to the Applicant's representatives.
q. Comments, protests and interventions may be filed electronically via the Internet in lieu of paper.
On May 11, 2004, the staff of the Office of Energy Projects and representatives of Columbia Gas Transmission Corporation (Columbia) will conduct a site visit of the proposed Line 1278 Replacement Project in Pike, Northampton, and Monroe Counties, Pennsylvania.
All interested parties may attend. Those planning to attend must provide their own transportation. Interested parties can meet staff at 8 a.m. on May 11, 2004, in the parking lot of the Hampton Inn, 114 South 8th St., Stroudsburg, Pennsylvania.
For further information, please contact the Office of External Affairs toll free at 1-866-208-3372.
On Monday, May 17, 2004, FERC Electric Quarterly Reports (EQR) staff will hold an EQR Outreach Session for western filers in conjunction with a May 18, 2004, EQR Working Group meeting hosted by the California Independent System Operator Corporation (CAISO). The FERC EQR Outreach Session will be held at the Lake Natoma Inn, 702 Gold Lake Drive, Folsom, California, and will run from 1 p.m. to 5 p.m. Barbara Bourque (EQR Program Manager), Steven Reich, and Mark Blazejowski will discuss ISO data mapping issues and address any other EQR questions or problems that filers have. Interested individuals should bring someone from their company who is familiar with the CAISO operations and settlement statements.
Those who would like to participate in the Monday EQR Outreach Session are asked to register online at FERC by 11 a.m. Pacific Time on Thursday, May 13, 2004, at
Interested parties wishing to file comments may do so under the above-captioned Docket Number. Those filings will be available for review at the Commission or may be viewed on the Commission's Web site at
For additional information, please contact Mark Blazejowski of FERC's Office of Market Oversight and Investigations at (202) 502-6055 or by e-mail,
The notificants listed below have applied under the Change in Bank Control Act (12 U.S.C. 1817(j)) and § 225.41 of the Board’s Regulation Y (12 CFR 225.41) to acquire a bank or bank holding company. The factors that are considered in acting on the notices are set forth in paragraph 7 of the Act (12 U.S.C. 1817(j)(7)).
The notices are available for immediate inspection at the Federal Reserve Bank indicated. The notices also will be available for inspection at the office of the Board of Governors. Interested persons may express their views in writing to the Reserve Bank indicated for that notice or to the offices of the Board of Governors. Comments must be received not later than May 24, 2004.
Board of Governors of the Federal Reserve System, May 4, 2004.
The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C. 1841
The applications listed below, as well as other related filings required by the Board, are available for immediate inspection at the Federal Reserve Bank indicated. The application also will be available for inspection at the offices of the Board of Governors. Interested persons may express their views in writing on the standards enumerated in the BHC Act (12 U.S.C. 1842(c)). If the proposal also involves the acquisition of a nonbanking company, the review also includes whether the acquisition of the nonbanking company complies with the standards in section 4 of the BHC Act (12 U.S.C. 1843). Unless otherwise noted, nonbanking activities will be conducted throughout the United States. Additional information on all bank holding companies may be obtained from the National Information Center website at
Unless otherwise noted, comments regarding each of these applications must be received at the Reserve Bank indicated or the offices of the Board of Governors not later than June 3, 2004.
Board of Governors of the Federal Reserve System, May 4, 2004.
9 a.m. (PDT), May 17, 2004.
Barclays Global Investors, 34th Floor Main Board Room, 45 Fremont Street, San Francisco, CA 94105.
Parts will be open to the public and parts closed to the public.
1. Approval of the minutes of the April 19, 2004, Board member meeting.
2. Thrift Savings Plan activity report by the Executive Director.
3. Personnel matters.
4. Procurement issues.
Thomas J. Trabucco, Director, Office of External Affairs, (202) 942-1640.
The Centers for Disease Control and Prevention (CDC) announces the intent to fund fiscal year (FY) 2004 funds for a cooperative agreement program to strengthen the capacity in Bangladesh to detect and evaluate emerging infectious diseases and to evaluate new vaccines and other interventions that may offer approaches toward their prevention. The Catalog of Federal Domestic Assistance number for this program is 93.283.
Assistance will be provided only to the International Centre for Diarrhoeal Disease Research, Bangladesh (ICDDR,B). Eligibility is limited to ICDDR,B because:
• Activities to be supported under this program include both new projects and follow-on of projects previously conducted at ICDDR,B that are dependent upon established ICDDR,B surveillance systems in special populations in Bangladesh, including in an urban slum area (Kamalapur), rural sites (Abhoynagar and Mirsarai), and a network of hospitals and health centers. No other organization has access to these surveillance systems and so only ICDDR,B can conduct the activities.
• ICDDR,B is the only known institution in Bangladesh which possesses the scientific and management capability to meet program requirements without jeopardizing or compromising the quality of the research and other activities. ICDDR,B was established in 1978 and includes a mix of national and international staff, including public health scientists, laboratory scientists, clinicians, epidemiologists, information technology professionals, and experts in emerging infectious diseases and vaccine sciences, etc. ICDDR,B collaborates with the Bangladesh Ministry of Health, universities, community groups, private industry, U.S. governmental institutions (e.g., USAID), governments of other countries, and others to study and address infectious disease health problems in Bangladesh and the surrounding region, leading to solutions that can be applied in developing countries worldwide.
• ICDDR,B offers special opportunities for furthering research, surveillance, and prevention and control programs in Bangladesh through the use of unusual talent resources and access to established unique study populations in areas with appropriate environmental conditions for studying the diseases of interest in this program. ICDDR,B has established multiple field sites and surveillance systems in Bangladesh that are critical for carrying out research and other activities addressing emerging infectious diseases.
• ICDDR,B is conveniently located in Dhaka and has adequate space, including office space, laboratories, meeting space, and capacity to expand to accommodate additional staff.
• ICDDR,B has a multiple project assurance, has mechanisms in place for local ethical review of research proposals (for multi-site studies), and has a recognized Institutional Review Board. This further defines their knowledge and capabilities in research.
Approximately $250,000 is available in FY 2004 to fund this award. It is expected that the award will begin on or before August 1, 2004 and will be made for a 12-month budget period within a project period of up to five years. Funding estimates may change.
This program is authorized under section 317(k)(2) of the Public Health Service Act, (42 U.S.C. 247b(k)(2).
1. Provide an opportunity for national organizations to expand their leadership role in addressing the prevention of child maltreatment by disseminating the key concepts of prevention, evaluation, and the ecological model, models for community assessment and action, and evidence-based prevention strategies within their own organizations. An emphasis will be placed on preventing child maltreatment before it occurs.
2. Foster effective collaborations within the organizations and their affiliates to respond to emerging policy and program issues related to the prevention of child maltreatment.
3. Conduct organizational assessments of infrastructure capabilities, staff and structural capacities, organizational definitions, understandings, and applications of prevention principles and key concepts. The assessments should also determine organizational readiness for dissemination of child maltreatment prevention concepts and strategies, and organizational barriers and facilitators, with an emphasis on preventing child maltreatment before it ever occurs.
4. Develop a prevention plan based upon information obtained from the organizational assessments, as well as an inventory of initiatives and a review of organizational data related to the prevention of child maltreatment. The plan for future activities should have an emphasis on preventing child maltreatment before it occurs.
This program addresses the “Healthy People 2010” focus area of Injury and Violence Prevention.
Measurable outcomes of the program will be in alignment with the following performance goal for the National Center for Injury Prevention and Control (NCIPC): Increase the capacity of injury prevention and control programs to address the prevention of injuries and violence.
For the purposes of this program announcement the following definitions apply:
1. Develop, expand, and/or maintain a child maltreatment prevention Work Group comprised of persons with expertise and experience in the areas of child maltreatment, child health, and child well-being, including public health. This group will:
a. Provide consultation to the awardee and assist in guiding planning efforts.
b. Assist in identifying organizational prevention programs and data sources.
c. Assist in the development of a prevention plan (as defined by this announcement). This plan should guide the organization's efforts to address the prevention of child maltreatment or one or more specific components of child maltreatment, such as physical abuse, emotional abuse, neglect, and/or sexual abuse.
d. Seek support and resources to implement the strategies and recommendations detailed in the prevention plan.
2. Review existing data and conduct an inventory of initiatives within the organization and its affiliates related to the prevention of child maltreatment. This should be done in conjunction with CDC:
a. Develop and conduct an organizational inventory of child maltreatment prevention programs; at minimum, the inventory should include the number of programs, intended audience, content, and resources devoted to the programs.
b. Compile a report on organizational policies and research activities focused on the prevention of child maltreatment.
c. Review existing organizational data related to the prevention of child maltreatment.
d. Prepare a report summarizing the findings from 2a, 2b, and 2c. Include plans for using these data to inform the prevention-planning document described below in number four.
3. Conduct assessments, using available guidance and direction from CDC, to determine the level of organizational commitment, interest and readiness to fully engage in efforts to prevent child maltreatment.
a. Assess the status of the organization and its affiliates with regard to carrying out activities that support the purposes of this program and their needs for training, technical assistance, materials, and other resources.
b. Conduct an organization-wide assessment of readiness for dissemination of child maltreatment prevention concepts and strategies.
4. Develop a prevention plan that will guide the organization's efforts to prevent child maltreatment, or one or more components of child maltreatment, such as physical abuse, emotional abuse, neglect, and/or sexual abuse. The plan should address global risk and protective factors, and identify strategies to address the complex ecological factors that influence violence. Specifically, the plan must provide strategies that address individual, relationship, community, and societal factors. In addition, the prevention plan should include a logic model and time-phased implementation strategies.
5. Identify strategies that will provide support for sustaining and enhancing future prevention activities by addressing the following: (1) Ongoing collaboration and community involvement; (2) Ongoing commitment; (3) Ongoing communication; (4) Evaluation; and (5) Other issues associated with the selected topic area.
6. Launch the national organization's child maltreatment prevention plan.
7. Collaborate with CDC and other awardees on an ongoing basis to ensure consensus and uniformity related to core measures, tools, and processes, through conference calls and traveling to required awardee meetings, including training sessions, evaluation meetings, and project updates.
8. Submit required reports to CDC as scheduled.
In a cooperative agreement, CDC staff is substantially involved in the program activities, above and beyond routine grant monitoring.
CDC Activities for this program are as follows:
1. Provide updated information related to the purposes and activities of this program announcement.
2. Provide technical assistance and consultation in the development, implementation, and evaluation of assessment instruments and the organization's plan to prevent child maltreatment, including program objectives and performance measures.
3. Coordinate information sharing among relevant CDC awardees and partners to ensure consensus and uniformity related to core measures, tools, and processes.
4. Provide assistance with program planning to assure consistency with program goals for capacity building, including the use of logic models and other public health tools and resources.
5. Collaborate with awardees to plan and implement partner meetings, conferences, and trainings to provide forums through which awardees can increase their knowledge and skills, learn from each other, share resources, and work collaboratively to address issues related to child maltreatment prevention.
6. Participate in the Work Group's strategic planning meetings.
Throughout the project period, CDC's commitment to continuation of awards will be conditioned on the availability of funds, evidence of satisfactory progress by the recipient (as documented in required reports), and the determination that continued funding is in the best interest of the Federal Government.
Eligible applicants are national organizations that are non-profit and non-governmental, including national faith-based organizations, that work in the area of child maltreatment (
Matching funds are not required for this program.
If your application is incomplete or non-responsive to the requirements listed below, it will not be entered into the review process. You will be notified that your application did not meet the submission requirements.
• Effective and well-defined working relationships between the national organization and its affiliates, as well as entities outside the national organization, which will ensure implementation of proposed activities.
• The requested funding amount should not be greater than the ceiling amount of $200,000.
Title 2 of the United States Code section 1611 states that an organization described in section 501(c)(4) of the Internal Revenue Code that engages in lobbying activities is not eligible to receive Federal funds constituting an award, grant, or loan.
To apply for this funding opportunity use application form PHS 5161. Forms are available on the CDC web site, at the following Internet address:
Your LOI must be written in the following format:
• Maximum number of pages: two
• Font size: 12-point unreduced
• Paper size: 8.5 by 11 inches
• Single spaced
• Page margin size: One inch
• Printed only on one side of page
• Written in plain language, avoid jargon
Your LOI must contain the following information:
• Number and title of this Program Announcement
• Brief description of your organization including the component(s) of child maltreatment that your organization addresses
• Number of affiliates
• Organizational structure
• Requirements for affiliation
You must include a project narrative with your application forms. Your narrative must be submitted in the following format:
• Maximum number of pages: 25. If your narrative exceeds the page limit, only the first 25 pages of the application which are within the page limit will be reviewed.
• Font size: 12 point unreduced
• Double spaced
• Paper size: 8.5 by 11 inches
• Page margin size: One inch
• Printed only on one side of page
• Held together only by rubber bands or metal clips; not bound in any other way (
Your narrative should address activities to be conducted over the entire project period, and must include the following items in the order listed:
• Abstract (one-page summary of the application, does not count towards page limit)
• Relevant Experience
• Work Plan
• Collaboration
• Capacity and Staffing
• Evaluation
• Measures of Effectiveness
• Proposed Budget and Justification (does not count towards page limit)
Additional information may be included in the application appendices. The appendices will not be counted toward the narrative page limit. This additional information includes:
• Curriculum Vitaes
• Job Descriptions
• Resumes
• Organizational Charts
• Letters of Support, etc.
You are required to have a Dun and Bradstreet Data Universal Numbering System (DUNS) number to apply for a grant or cooperative agreement from the Federal government. The DUNS number is a nine-digit identification number, which uniquely identifies business entities. Obtaining a DUNS number is easy and there is no charge. To obtain a DUNS number, access
For more information,
If your application form does not have a DUNS number field, please write your DUNS number at the top of the first page of your application, and/or include your DUNS number in your application cover letter.
Additional requirements that may require you to submit additional documentation with your application are listed in section “VI.2. Administrative and National Policy Requirements.”
CDC requests that you send a LOI if you intend to apply for this program. Although the LOI is not required, not binding, and does not enter into the review of your subsequent application, the LOI will be gauge the level of interest in this program, and to allow CDC to plan the application review.
This program announcement is the definitive guide on application format, content, and deadlines. It supersedes information provided in the application instructions. If your application does not meet the deadline above, it will not be eligible for review, and will be discarded. You will be notified that you did not meet the submission requirements.
CDC will notify you upon receipt of your application. If you have a question about the receipt of your application, first contact your courier. If you still have a question, contact the PGO-TIM staff at: 770-488-2700. Before calling, please wait two to three days after the application deadline. This will allow time for applications to be processed and logged.
Executive Order 12372 does not apply to this program.
Restrictions, which must be taken into account while writing your budget, are as follows: Cooperative agreement funds for this project cannot be used for construction, renovation, the lease of passenger vehicles, the development of major software applications, or supplanting current applicant expenditures.
If you are requesting indirect costs in your budget, you must include a copy of your indirect cost rate agreement. If
Guidance for completing your budget can be found on the CDC Web site, at the following Internet address:
Applications may not be submitted electronically at this time.
You are required to provide measures of effectiveness that will demonstrate the accomplishment of the various identified objectives of the cooperative agreement. Measures of effectiveness must relate to the performance goals stated in the “Purpose” section of this announcement. Measures must be objective and quantitative, and must measure the intended outcome. These measures of effectiveness must be submitted with the application and will be an element of evaluation.
Your application will be evaluated against the following criteria:
a. Does the applicant demonstrate experience coordinating, collaborating and providing leadership with regard to child maltreatment or a specific component of child maltreatment, such as physical abuse, emotional abuse, neglect, or sexual abuse?
b. Does the applicant demonstrate experience managing a work group?
c. Does the applicant demonstrate experience in collecting and using organizational assessment data? Does the applicant have experience using data to determine organizational priorities?
d. Does the applicant demonstrate experience identifying and prioritizing violence-related strategies, especially in the field of child maltreatment or in a specific component of child maltreatment?
e. Does the applicant demonstrate experience developing strategic plans?
a. Does the applicant include a detailed work plan, including a time-line for the first year?
b. Does the applicant provide clearly stated goals and corresponding objectives that are specific, measurable, attainable, realistic and time-phased?
c. Does the applicant provide details about how the inventory of initiatives and review of data related to the prevention of child maltreatment within the organization and its affiliates will be achieved? Does the applicant describe how the assessments of the needs of the organization and its affiliates will be conducted relative to training, technical assistance, materials, and other resources? Does the applicant describe how it will assess the readiness of the organization and its affiliates to disseminate child maltreatment prevention concepts and strategies?
d. Does the applicant describe how the inventory and assessments will be integrated into the organization's prevention plan for child maltreatment?
e. Does the applicant describe how the prevention plan will be developed? Does the applicant provide details about what strategies will be used to obtain support for the prevention plan within the organization and its affiliates?
f. Does the applicant indicate a willingness to embrace prevention concepts, that is preventing initial perpetration? Does the applicant incorporate strategies that are aimed at addressing individual, relationship, community and societal factors, which are elements of the ecological model?
a. Does the applicant describe the composition, role and involvement of the Work Group, and identify or propose participants representing a broad range of disciplines that work in the areas of child maltreatment, child health, and child well being, including public health?
b. Does the applicant demonstrate a willingness to collaborate with CDC in the assessment and prevention planning activities? Does the applicant demonstrate a willingness to collaborate with relevant CDC awardees and partners? Does the applicant demonstrate a willingness to work with CDC and the other awardees to reach consensus and uniformity in selecting core measures, tools, and processes?
c. Does the applicant demonstrate a successful history of collaborating effectively with other organizations? Does the applicant include letters of support and/or memoranda of agreement from organizations, research and/or academic experts/institutions, and other agencies and organizations, including public health agencies and organizations that work with children?
d. Does the applicant demonstrate a clear plan for involving state, local, regional, and/or tribal affiliates in the assessment and planning processes?
a. Does the applicant demonstrate existing capacity, infrastructure, and evidence of leadership to carry out the required activities? Does the applicant demonstrate an ability to effectively manage and implement the required activities?
b. Does the applicant describe the responsibilities of individual staff members, including their level of effort and allocation of time?
c. Does the applicant describe project staff and their relevant skills and expertise for their assigned tasks relative to this announcement?
d. Does the applicant include an organizational chart?
a. Does the applicant provide a detailed description of the methods to be used to evaluate the project?
b. Does the applicant demonstrate a willingness to collaborate with CDC and other awardees in the development of a logic model?
Does the applicant provide objective/quantifiable measures regarding the intended outcomes that will demonstrate the accomplishment of the various identified objectives of the cooperative agreement?
Does the applicant provide a detailed budget with complete line-item justification of all proposed costs consistent with the stated activities in the program announcement? Details must include a breakdown in the categories of personnel (with time allocations for each), staff travel, communications and postage, equipment, supplies, and any other costs? Does the budget projection include a narrative justification for all requested costs? Any sources of additional funding beyond the amount stipulated in this cooperative agreement should be indicated, including donated time or services. For each expense category, the budget should indicate CDC share, the applicant share and any
Applications will be reviewed for completeness by the Procurement and Grants Office (PGO) staff, and for responsiveness by NCIPC. Incomplete applications and applications that are non-responsive to the eligibility criteria will not advance through the review process. Applicants will be notified that their application did not meet submission requirements.
A Special Emphasis Panel will evaluate your application according to the criteria listed in the “V.1. Criteria” section above.
August 15, 2004
Successful applicants will receive a Notice of Grant Award (NGA) from the CDC Procurement and Grants Office. The NGA shall be the only binding, authorizing document between the recipient and CDC. The NGA will be signed by an authorized Grants Management Officer, and mailed to the recipient fiscal officer identified in the application.
Unsuccessful applicants will receive notification of the results of the application review by mail.
For more information on the Code of Federal Regulations, see the National Archives and Records Administration at the following Internet address:
The following additional requirements apply to this project:
Additional information on these requirements can be found on the CDC web site at the following Internet address:
Projects that involve the collection of information from ten or more individuals and funded by cooperative agreement will be subject to review by the Office of Management and Budget (OMB) under the Paperwork Reduction Act.
You must provide CDC with an original, plus two copies of the following reports:
1. Interim progress report, no less than 90 days before the end of the budget period. The progress report will serve as your non-competing continuation application, and must contain the following elements:
a. Current Budget Period Activities Objectives.
b. Current Budget Period Financial Progress.
c. New Budget Period Program Proposed Activity Objectives.
d. Detailed Line-Item Budget and Justification.
e. Additional Requested Information.
f. Measures of Effectiveness.
2. Financial status report, no more than 90 days after the end of the budget period.
3. Final financial and performance reports, no more than 90 days after the end of the project period.
These reports must be mailed to the Grants Management or Contract Specialist listed in the “Agency Contacts” section of this announcement.
For general questions about this announcement, contact: Technical Information Management Section, CDC Procurement and Grants Office, 2920 Brandywine Road, Atlanta, GA 30341, Telephone: 770-488-2700.
For program technical assistance, contact: Margaret Brome, Project Officer, 4770 Buford Hwy., NE, MS-K60, Atlanta, GA 30341-3724, Telephone: 770-488-1721, E-mail:
For financial, grants management, or budget assistance, contact: Angie Tuttle, Grants Management Specialist, CDC Procurement and Grants Office, 2920 Brandywine Road, Suite 3000, Atlanta, GA 30341, Telephone: 770-488-2719, E-mail:
The Centers for Disease Control and Prevention (CDC) announces the intent to fund fiscal year (FY) 2004 funds for a cooperative agreement program for convening a meeting of leaders in medicine and public health to exchange critical information and discuss successful programs for ensuring public health readiness for terrorism events or other emergencies. The Catalog of Federal Domestic Assistance number for this program is 93.283.
Assistance will be provided only to University of Georgia Center for Leadership in Education and Applied Research in Mass Destruction Defense (CLEARMADD). The University of Georgia (UGA) CLEARMADD is currently working with the Centers for Disease Control and Prevention (CDC), the Medical College of Georgia (MCG), the American Medical Association (AMA), and other academic centers who are developing curricula for health professionals regarding weapons of mass destruction (WMD). This multi-organizational collaboration was developed to ensure coordinated training for medical and public health professionals. The original cooperative agreement number with UGA is U90/CCU421862. The cooperative agreement was legislatively earmarked, in FY2002, and the House of Representatives Conference Report accompanying the Department of Labor, Health and Human Services, Education, and related agencies Appropriations Bill ending September 30, 2002 recognized UGA's unique qualifications in conducting the activities associated with this cooperative agreement. Consistent with the activities of the congressionally earmarked cooperative agreement, the UGA, is uniquely qualified for the proposed activity in convening a forum of medical and public health professionals. The UGA has an internationally recognized research program at Chernobyl and more than 50 years of continuous research experience at Georgia's Savannah River site which has established UGA as a national academic leader in environmental
Approximately $1,000,000 is available in FY 2004 to fund this award. It is expected that the award will begin on or before March 15, 2004, and will be made for a 12-month budget period within a project period of up to one year. Funding estimates may change.
For general comments or questions about this announcement, contact: Technical Information Management, CDC Procurement and Grants Office, 2920 Brandywine Road, Atlanta, GA 30341-4146, Telephone: 770-488-2700.
For technical questions about this program, contact: Lynn Steele, Senior Advisor, Education and Training, CDC, Office of the Director, Office of Terrorism, Preparedness and Emergency Response, 1600 Clifton Road, Mailstop D-44, Atlanta, GA 30333, Telephone: 404-639-7142.
This program is authorized under the Public Health Service Act, section 317(k)(2) [42 U.S.C. 247b(k)(2)].
The purpose of the OTIP Program is to support organ transplant centers participating in existing surveillance or research networks to develop a consortium of centers of excellence in surveillance, infection prevention, and applied public health research involving solid organ and stem-cell transplant recipients. The OTIP should be designed to develop, implement, and evaluate effectiveness of epidemiologic-based strategies to reduce infectious outcomes among organ-transplant recipients. Examples of existing networks include The Centers for Disease Control and Prevention (CDC) Program of Surveillance for Invasive Fungal Infections in Transplant Recipients (TransNet), CDC's Prevention Epicenter Program, and National Marrow Donor Program's Infection Pilot Project.
The goals of the OTIP program are: (1) Support activities at participating transplant centers for enhanced surveillance for fungal infections during the post-transplant period, using similar methods and intensity of case-ascertainment, with development of valid, useful, simple surveillance methods for exportation to non-program transplant centers; (2) support activities at participating transplant centers related to epidemiologic assessments and improved descriptions of established infectious syndromes through a repository of clinical samples (
This program addresses the “Healthy People 2010” focus area(s) of Immunization and Infectious Diseases. For the conference copy of “Healthy People 2010”, visit the Internet site:
Measurable outcomes of the program will be in alignment with the performance goal for the National Center for Infectious Diseases (NCID): To protect Americans from infectious diseases by planning, directing, and coordinating a national program to improve the identification, investigation, diagnosis, prevention, and control of infectious diseases in the United States and throughout the world.
Roughly 18,000 bone marrow/stem cell transplants (SCCs) and over 23,000 solid organ transplants (SOTs) are performed annually within the U.S. Approximately 10-15 percent of recipients will develop an invasive fungal infection post-transplant. In this population, the mortality of invasive aspergillosis can exceed 90 percent; the mortality of invasive candidiasis is approximately 40 percent. The OTIP Program will provide the foundation for applied research designed to fulfill current gaps in scientific knowledge regarding surveillance and prevention of invasive fungal infections in the post-transplant period. Such knowledge
Awardee activities for this program are as follows:
1. Establish a consortium of at least two solid-organ and/or stem-cell transplant centers consistent with the purpose of the OTIP Program.
2. Collaborate with other OTIP Program sites and CDC to operate as the OTIP Program, and facilitate and oversee implementation of core activities (
a. Perform “gold standard” surveillance for invasive fungal infections incorporating the following elements:
i. Active-surveillance using standardized diagnostic evaluations and follow-up of patients among participating sites (
ii. Design and maintain an aggregate database (
iii. Optionally, include time-phased plans to incorporate other infectious outcomes.
iv. Optionally, include time-phased plans to explore utility of electronic capture of data elements and/or utilization of other existing data systems related to transplant recipients.
b. Epidemiologic assessments to identify modifiable risk factors, focusing on those extrinsic to the patient, for invasive fungal disease in the post-transplant period.
c. Development of a repository of clinical samples and relevant clinical data for assessment of novel diagnostics or pathogen discovery, and outline plans to facilitate making isolates available to a wider public health research community.
d. Develop plans and implement OTIP Network study to assess novel prevention strategies based on (a)-(c) above.
3. Participate in management, analysis, and interpretation data, publish and disseminate important medical and public health information stemming from OTIP Program activities in collaboration with all OTIP Program sites.
4. Monitor and evaluate scientific and operational accomplishments and progress in achieving the purpose of this program.
In a cooperative agreement, CDC staff is substantially involved in the program activities, above and beyond routine grant monitoring.
CDC Activities for this program are as follows:
1. The CDC Staff will have substantial scientific-programmatic involvement during the conduct of these activities, through technical assistance, advice and coordination above and beyond normal program stewardship for grants, including participation in data collection, analysis, interpretation of data, and presentation of research findings.
2. The CDC Staff will facilitate operations of the program through maintenance of a Steering Committee, and coordinate the dissemination of information to Principal Investigators and others.
3. As requested, will serve as a reference laboratory and receive, process, store, and perform evaluation of clinical (
4. As requested, serve as a resource for and support data management, bio-statistical and epidemiologic analysis.
5. Assist in the development of surveillance and research protocols for IRB review by all cooperating institutions participating in the research project, as well as CDC approval.
Collaborative Activities for the Program are as follows:
1. Timing, protocol development, and implementation strategy of core activities of the OTIP Program will be decided by Steering Committee consisting of Principal Investigators of each OTIP Program cooperative agreement, CDC, and other select representatives (
CDC involvement in this program is listed in the Activities Section above.
Throughout the project period, CDC's commitment to continuation of awards will be conditioned on the availability of funds, evidence of satisfactory progress by the recipient (as documented in required reports), and the determination that continued funding is in the best interest of the Federal Government.
Applications may be submitted by public and private nonprofit organizations, such as:
• Public nonprofit organizations
• Private nonprofit organizations
• Universities
• Research institutions
• Hospitals
Matching funds are not required for this program.
If you request a funding amount greater than the ceiling of the award range, your application will be considered non-responsive, and will not be entered into the review process. You will be notified that your application did not meet the submission requirements.
If your application is incomplete or non-responsive to the requirements listed in this section, it will not be entered into the review process. You will be notified that your application did not meet submission requirements.
Other eligibility requirements include: (1) Identification of consortium of transplant centers which in aggregate perform on average 1000 transplants per year and may include a combination of solid-organ and stem-cell transplants; (2) appropriate diagnostic evaluations are performed on patients post-transplant to ascertain etiology of the illness post-transplantation; (3) participating centers have capacity to perform intensive surveillance, epidemiologic assessments, and facilities to ensure efficient processing of patient specimens. Documentation of eligibility can be accomplished by including the following: (1) Infection control or other surveillance data (
The limitation on eligibility is justified by the essential need to have sufficient numbers of transplanted individuals and sufficient disease incidence to adequately perform studies to achieve objectives of the OTIP Program. In addition, centers must currently practice a standard of care that will maximize identification of infecting pathogens in this population. Finally, demonstration of past performance in conducting epidemiologic investigation and prevention research will ensure applicants ability to perform objectives.
Title 2 of the United States Code section 1611 states that an organization described in section 501(c)(4) of the Internal Revenue Code that engages in lobbying activities is not eligible to receive Federal funds constituting an award, grant, or loan.
To apply for this funding opportunity, use application form PHS 398 (OMB number 0925-0001 rev. 5/2001). Forms and instructions are available in an interactive format on the CDC Web site, at the following Internet address:
Forms and instructions are also available in an interactive format on the National Institutes of Health (NIH) Web site at the following Internet address:
If you do not have access to the Internet, or if you have difficulty accessing the forms on-line, you may contact the CDC Procurement and Grants Office Technical Information Management Section (PGO-TIM) staff at: 770-488-2700. Application forms can be mailed to you.
Your LOI must contain the following information:
Your research plan should address activities to be conducted over the entire project period.
You are required to have a Dun and Bradstreet Data Universal Numbering System (DUNS) number to apply for a grant or cooperative agreement from the Federal government. Your DUNS number must be entered on line 11 of the face page of the PHS 398 application form. The DUNS number is a nine-digit identification number, which uniquely identifies business entities. Obtaining a DUNS number is easy and there is no charge. To obtain a DUNS number, access
This PA uses just-in-time concepts. It also uses the modular budgeting as well as non-modular budgeting formats. See:
Additional requirements that may require you to submit additional documentation with your application are listed in section “VI.2. Administrative and National Policy Requirements.”
CDC requests that you send a LOI if you intend to apply for this program. Although the LOI is not required, not binding, and does not enter into the review of your subsequent application, the LOI will be used to gauge the level of interest in this program, and to allow CDC to plan the application review.
This announcement is the definitive guide on application submission address and deadline. It supersedes information provided in the application instructions. If your application does not meet the deadline above, it will not be eligible for review, and will be discarded. You will be notified that your application did not meet the submission requirements.
CDC will not notify you upon receipt of your application. If you have a question about the receipt of your application, first contact your courier. If you still have a question, contact the PGO-TIM staff at: 770-488-2700. Before calling, please wait two to three days after the application deadline. This will allow time for applications to be processed and logged.
Your application is subject to Intergovernmental Review of Federal Programs, as governed by Executive Order (EO) 12372. This order sets up a system for state and local governmental review of proposed federal assistance applications. You should contact your state single point of contact (SPOC) as early as possible to alert the SPOC to prospective applications, and to receive instructions on your state's process. Click on the following link to get the current SPOC list:
Restrictions, which must be taken into account while writing your budget, are as follows: a separate budget should be included for each proposed collaborating center. Within each budget, include line items, if appropriate, for specific funds addressing each respective recipient activity. Funds requested related to activities that are time-specific (
If you are requesting indirect costs in your budget, you must include a copy of your indirect cost rate agreement. If your indirect cost rate is a provisional rate, the agreement should be less than 12 months of age.
Awards will not allow reimbursement of pre-award costs.
Applications may not be submitted electronically at this time.
You are required to provide measures of effectiveness that will demonstrate the accomplishment of the various identified objectives of the cooperative agreement. Measures of effectiveness must relate to the performance goals stated in the “Purpose” section of this announcement. Measures must be objective and quantitative, and must measure the intended outcome. These measures of effectiveness must be submitted with the application and will be an element of evaluation.
The goals of CDC-supported research are to advance the understanding of biological systems, improve the control and prevention of disease and injury, and enhance health. In the written comments, reviewers will be asked to evaluate the application in order to judge the likelihood that the proposed research will have a substantial impact on the pursuit of these goals.
The scientific review group will address and consider each of the following criteria in assigning the application's overall score, weighting them as appropriate for each application. The application does not need to be strong in all categories to be judged likely to have major scientific impact and thus deserve a high priority score. For example, an investigator may propose to carry out important work that by its nature is not innovative, but is essential to move a field forward.
1. Program priorities include activities focused on invasive fungal infections. Bacterial and Viral pathogens should be phased in over time if funding becomes available.
2. Proposed transplant centers participating in consortium should maximize use of scarce resources (
3. Degree of commitment expressed in letters of support from all essential personnel or departments from proposed transplant centers to be in consortium (
Applications will be reviewed for completeness by the Procurement and Grants Office (PGO) and for responsiveness by NCID. Incomplete applications and applications that are non-responsive to the eligibility criteria will not advance through the review process. Applicants will be notified that their application did not meet submission requirements.
Applications that are complete and responsive to the PA will be evaluated for scientific and technical merit by an appropriate peer review group or charter study section convened by NCID in accordance with the review criteria listed above. As part of the initial merit review, all applications may:
• Undergo a process in which only those applications deemed to have the highest scientific merit, generally the top half of the applications under review, will be discussed and assigned a priority score.
• Receive a written critique.
• Receive a second level review by the Mycotic Diseases Branch.
Award Criteria: Criteria that will be used to make award decisions include:
• Scientific merit (as determined by peer review).
• Availability of funds.
• Programmatic priorities.
Successful applicants will receive a Notice of Grant Award (NGA) from the CDC Procurement and Grants Office. The NGA shall be the only binding, authorizing document between the recipient and CDC. The NGA will be signed by an authorized Grants Management Officer, and mailed to the recipient fiscal officer identified in the application.
Unsuccessful applicants will receive notification of the results of the application review by mail.
For more information on the Code of Federal Regulations, see the National Archives and Records Administration at the following Internet address:
The following additional requirements apply to this project:
Additional information on these requirements can be found on the CDC Web site at the following Internet address:
You must provide CDC with an original, plus two hard copies of the following reports:
1. Interim progress report, (use form PHS 2590, OMB Number 0925-0001, rev. 5/2001 as posted on the CDC Web site) no less than 90 days before the end of the budget period. The progress report will serve as your non-competing continuation application, and must contain the following elements:
a. Current Budget Period Activities Objectives.
b. Current Budget Period Financial Progress.
c. New Budget Period Program Proposed Activity Objectives.
d. Budget.
e. Additional Requested Information.
f. Measures of Effectiveness.
2. Financial status report and annual progress report, no more than 90 days after the end of the budget period.
3. Final financial and performance reports, no more than 90 days after the end of the project period.
These reports must be mailed to the Grants Management Specialist listed in the “Agency Contacts” section of this announcement.
For general questions about this announcement, contact: Technical Information Management Section, CDC Procurement and Grants Office, 2920 Brandywine Road, Atlanta, GA 30341, Telephone: 770-488-2700.
For scientific/research issues, contact: Dr. Mary Lerchen, Extramural Program Official, CDC, National Center for Infectious Diseases, 1600 Clifton Road, NE., Mailstop: C-19, Atlanta, GA 30333, Telephone: 404-639-0043, E-mail:
For questions about peer review, contact: Barbara Stewart, CDC, National Center for Infectious Diseases, 1600 Clifton Road, NE., Mailstop: C-19, Atlanta, GA 30333, Telephone: 404-639-0044, E-mail:
For financial, grants management, or budget assistance, contact:
Sharon Robertson, Grants Management Specialist, CDC Procurement and Grants Office, 2920 Brandywine Road, Atlanta, GA 30341, Telephone:770-488-2748, E-mail:
None.
The Centers for Disease Control and Prevention (CDC) announces the intent to fund fiscal year (FY) 2004 funds for a grant program to study the prevalence of thyroid disorders and cancers in adults, who, as children, were exposed to radioactive fallout from the nuclear device testing at the Nevada Test Site, 1944-1957. The study is designed to provide a third (Phase III) diagnostic examination of the thyroid gland (approximately 55 years post exposure). The Catalog of Federal Domestic Assistance number for this program is 93.283.
Assistance will be provided only to The University of Utah, Salt Lake City, Utah. The University of Utah, under a previous five-year cooperative agreement and a one-year continuation, initiated data collection activities. They are prepared to initiate activities for Phase III of the Utah Thyroid Disease Study. To date the University of Utah has completed:
1. Developing training materials for the field team.
2. Hired the first of three field teams to perform medical exams.
3. Identified physicians need to perform biopsies of the thyroid gland.
4. Updated the exposure (dose) model algorithm.
5. Revised exposures estimated during Phase II.
6. Completed the identification of subjects needed for the mortality study.
7. Begun to locate and identify the study cohort.
It is in the best interest of the CDC to continue funding the University of Utah to completion of the Utah Thyroid Disease Study.
Approximately $500,000 is available in FY 2004 to fund this award. It is expected that the award will begin on or before September 1, 2004, and will be made for a 12-month budget period and 12-month project period. Funding estimates may change.
For general comments or questions about this announcement, contact: Technical Information Management, CDC Procurement and Grants Office, 2920 Brandywine Road, Atlanta, GA 30341-4146, Telephone: 770-488-2700.
For technical questions about this program, contact: Robert C. Whitcomb, Jr., Ph.D., Extramural Project Officer, 1600 Clifton Road NE, Mail Stop E-39, Atlanta, GA 30333, Telephone: 404-498-1800, E-mail:
The Centers for Disease Control and Prevention (CDC) announces the intent to fund fiscal year (FY) 2004 funds for a cooperative agreement program to support the infrastructure in Namibia to increase their capacity to prevent HIV transmission from mother-to-child and to improve access to comprehensive HIV/AIDS care and support programs in the public sector. The Catalog of Federal Domestic Assistance number for this program is 93.941.
Assistance will be provided only to the Ministry of Health and Social Services (MoHSS) of Namibia for support of the PMTCT and HIV/AIDS care services. No other applications are solicited. In Namibia this program will be implemented under the name “Prevention of mother to child transmission of HIV and improving access to comprehensive HIV/AIDS care for mothers, family members, and other patients in the Republic of Namibia”. The MoHSS is the only appropriate and qualified organization to fulfill the requirements set forth in this announcement because:
The MoHSS is uniquely positioned, in terms of support from the Government of Republic of Namibia (GRN). The MoHSS has the ability to financially and technically oversee the project, and to provide implementation of a large-scale interpersonal communication project as well as a mandate from the GRN.
The GRN has mandated the MoHSS to implement nationwide coverage of PMTCT and HIV/AIDS care programs. The vast majority of such patients are under the care of the MoHSS. For example, 84% of the deliveries to HIV-positive women take place in government hospitals compared with 16% in mission hospitals. The MoHSS has the ability to collect information, train staff and advocate for the programs implemented in the National AIDS Strategic Plan and disseminate personalized communication to support
The GRN assisted by the CDC Global AIDS Program conducted a mid-term evaluation of the performance of the national HIV/AIDS program activities in 2003. The results led the GRN to fund the MoHSS to expand efforts to address HIV/AIDS, including PMTCT and ART programs. However, funding for these vital services remains limited. Therefore, MoHSS is the only available organization approved by the GRN to implement PMTCT and comprehensive HIV/AIDS care in the public sector health facilities.
The specific services which the CDC-GAP/MOHSS project will deliver are directly associated with the CDC prevention and care strategies implemented under the Global AIDS Program in the Republic of Namibia and integrated into the MoHSS project. [INSERT JUSTIFICATION STATEMENT FOR SINGLE ELIGIBILITY. IF THE AWARD IS LEGISLATIVELY MANDATED, PLEASE CITE LEGISLATION.]
Approximately $5,000,000 is available in FY 2004 to fund this award. It is expected that the award will begin on or before May 1, 2004, and will be made for a 12-month budget period within a project period of up to 3 years. Funding estimates may change.
For general comments or questions about this announcement, contact: Technical Information Management, CDC Procurement and Grants Office, 2920 Brandywine Road, Atlanta, GA 30341-4146, Telephone: 770-488-2700.
For technical questions about this program, contact: Dr. Tom Kenyon, Global AIDS Program, c/o U.S. Embassy Windhoek, 2540 Windhoek Place, Washington, DC 20521, Telephone: 264 61 203 2271, Fax number: 264 61 226 959, E-mail:
For budget assistance, contact: Shirley Wynn, Grants Management Specialist, CDC Procurement and Grants Office, 2920 Brandywine Road, Atlanta, GA 30341, Telephone: 770-488-1515, E-mail:
Food and Drug Administration, HHS.
Notice.
The Food and Drug Administration (FDA) is canceling the meeting of the Anti-Infective Drugs Advisory Committee scheduled for May 10, 2004. This meeting was announced in the
Tara P. Turner, Center for Drug Evaluation and Research (HFD-21), Food and Drug Administration, 5600 Fishers Lane (for express delivery, 5630 Fishers Lane, rm. 1093), Rockville, MD 20857, 301-827-7001, fax: 301-827-6776, or e-mail:
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.
The second portion of the meeting will be the Food Advisory Committee and its Contaminants and Natural Toxicants Subcommittee and will be held on June 8, 2004, from 2 p.m. until 6 p.m.
The purpose of the portion of the meeting of the Food Advisory Committee and its Contaminants and Natural Toxicants Subcommittee is to discuss data needs pertaining to the evaluation of furan, a chemical formed during thermal treatments of food. Elsewhere in this issue of the
For the portion of the meeting of the Food Advisory Committee and its Dietary Supplements Subcommittee, oral presentations from the public will be scheduled between approximately 3:30 p.m. and 5 p.m. on June 7, 2004.
For the portion of the meeting of the Food Advisory Committee and its Contaminants and Natural Toxicants subcommittee, oral presentations from the public will be scheduled between approximately 4 p.m. and 5 p.m. on June 8, 2004.
Time allotted for each presentation may be limited. Those desiring to make formal oral presentations should notify the contact person before May 24, 2004, and submit a brief statement of the general nature of the evidence or arguments they wish to present, the names and addresses of proposed participants, the specific portion of the meeting at which they wish to present, and an indication of the approximate time requested to make their presentation.
Persons attending FDA's advisory committee meetings are advised that the agency is not responsible for providing access to electrical outlets.
FDA welcomes the attendance of the public at its advisory committee meetings and will make every effort to accommodate persons with physical disabilities or special needs. If you require special accommodations due to a disability, please contact Linda Reed at least 7 days in advance of the meeting.
Notice of this meeting is given under the Federal Advisory Committee Act (5 U.S.C. app. 2).
Food and Drug Administration, HHS.
Notice; request for data and information.
The Food and Drug Administration (FDA) is requesting the submission of data and information on furan, a heat treatment related byproduct that has been detected in certain thermally treated foods. FDA is seeking data on the occurrence of furan in food, on sources of exposure to furan other than food, on mechanisms of formation of furan in food, and on the toxicology of furan, including mechanisms of toxicity. FDA will evaluate the available data and will develop an action plan that will outline FDA's goals and planned activities on the issue of furan in food. Elsewhere in this issue of the
Submit data, information, and general comments by July 9, 2004. Data and information received by June 1, 2004, may be shared with the FAC before or at that meeting.
Submit written comments, data, and information to the Division of Dockets Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852. Submit electronic comments, data, and information to
Lauren Posnick, Center for Food Safety and Applied Nutrition (HFS-306), Food and Drug Administration, 5100 Paint Branch Pkwy., College Park, MD 20741, 301-436-1639.
During investigations relating to review of a petition for certain uses of irradiation in food, FDA scientists identified the substance furan in a number of foods that undergo heat treatment, such as canned and jarred foods. Furan is a colorless, volatile liquid used in some segments of the manufacturing industry. The presence of furan is a potential concern because, based on animal tests, furan is listed in the Department of Health and Human Services Report on Carcinogens (Ref. 20) and is considered possibly carcinogenic to humans by the International Agency for Research on Cancer (IARC).
FDA has developed a gas chromatography/mass spectrometry (GC/MS) method that is capable of detecting and quantitating low levels of furan in food (Ref. 1). Although furan had previously been reported in foods, FDA has recently applied this method to a wider variety of food samples than previously reported in the literature. FDA has analyzed approximately 120 food samples for furan (including replicates of the same brand/product) and found furan levels ranging from nondetectable (within the limits of detection of the method) to approximately 100 parts per billion (ppb). Jarred baby foods and canned infant formulas are among the foods in which FDA has found measurable furan. FDA has recently posted these furan data on the agency's Web site at
FDA is requesting data on the occurrence of furan in food, on sources of exposure to furan other than food, on mechanisms of formation of furan in food, and on the toxicology of furan, including mechanisms of toxicity. This notice summarizes information currently available to FDA about the occurrence of furan in food, consumer exposure to furan, the mechanisms of furan formation in food, and the toxicology of furan, including the mechanism of toxicity. This notice also identifies the areas in which additional data would be helpful to FDA in learning more about furan and evaluating the risk, if any, posed by the presence of furan in food. These areas are outlined in more detail in section II of this document.
Finally, FDA will evaluate the available data and will develop an action plan that will outline FDA's goals and planned activities on the issue of furan in food. Possible elements of the action plan include an expanded survey of furan levels in food; studies to address mechanisms of furan formation in food; possible strategies to reduce furan levels (if a risk assessment indicates this is necessary); and toxicology studies to address such issues as mechanisms of furan toxicity and dose-response. Elsewhere in this issue of the
Furan is the parent compound of a class of derivative compounds collectively known as “furans.” These compounds are found in a wide assortment of foods and may contribute to food's sensory characteristics (Ref. 2). The nonderivatized furan (i.e., furan) has been identified previously in a small number of heat-treated foods, including coffee, canned meat, baked bread, cooked chicken, sodium caseinate, filberts (hazelnuts), soy
Maga reviewed the formation of furan and furan derivatives (furans) in food (Ref. 2). The primary source of furans in food is thermal degradation and rearrangement of organic compounds, particularly carbohydrates (Ref. 2). A variety of experimental systems, including heating of sugars (eg., glucose, lactose, fructose, xylose, rhamnose), heating sugars in the presence of amino acids or protein (e.g., alanine, cysteine, casein), and thermal degradation of vitamins (ascorbic acid, dehydroascorbic acid, thiamin), have been used to produce, isolate, and identify furans in food. In the studies reviewed by Maga, the nonderivatized furan was found in the following systems: Thermal degradation of glucose; thermal degradation of glyceraldehydes, D-Erythrose, pentosans, hexoses, and polysaccharide; and a lactose-casein browning system (Ref. 2). FDA has not identified any specific mechanism or mechanisms that produce furan in the samples the agency has tested to date.
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FDA has identified a number of areas in which additional data and information would be helpful to the agency in evaluating the risk, if any, posed by the presence of furan in food. These areas are outlined in more detail below. Accordingly, FDA invites all interested persons to submit data and information on the topics identified.
Interested persons should submit comments on the information in this notice and responsive data and information to the Division of Dockets Management (see
FDA requests data and other information that responds to the following questions:
A.
1. Data and information on the particular foods in which furan occurs.
2. Data on levels of furan in these foods.
3. Data on the formation and occurrence of furan in home-prepared foods, as opposed to manufactured foods.
4. Data on environmental sources of furan to which a typical consumer is likely to be exposed.
B.
1. Data and information on possible mechanisms of furan formation.
2. Data and information on variables that enhance or mitigate furan formation in foods.
3. Data on the stability or dissipation of furan in foods.
4. Data about the effect of post-production practices, such as consumer heating of canned foods, on furan levels in foods.
C.
1. Data and information on mechanism(s) of furan toxicity, mutagenicity, and carcinogenesis.
2. Data and information on the reproductive and developmental toxicology of furan.
3. Data and information on the metabolism of furan in vivo, including characterization of any reactive furan metabolites in addition to
4. Data and information on the diversity of furan pharmacokinetics in humans or the alteration of furan metabolism as a result of dietary, medical, or environmental interactions.
5. Data and information on whether sub-cytotoxic furan doses produce any adverse effect, such as a change in enzyme activities or ATP levels.
6. In the NTP furan study, Cytotoxic and carcinogenic effects were seen at all doses, and a no adverse effect level (NOAEL) was not identified. A preliminary report by Goldsworthy et al. showed an NOAEL dose of 2.0 mg/kg bw in female mice, but data from this study are not yet available (Ref. 12). FDA would like to acquire data on the effects of furan doses lower than those used in the NTP study in order to accomplish the following objectives: (a) Establish a dose-response curve for the various toxicological endpoints, (b) Determine whether furan toxicity, including carcinogenesis, is a threshold-dependent event; and (c) determine whether the carcinogenic activity of furan is secondary to its hepatotoxic effects.
7. Additional data on the mutagenicity of furan in the TA100 strain in the Ames test, given the two existing contradictory reports.
8. Additional data and information on the behavior of furan in other in vivo assays for mutagenicity or toxicity.
The following references are on display in the Division of Dockets Management (see
1. FDA, “Determination of Furan in Foods,” 2004,
2. Maga, J. A.,
3. NRC (National Research Council),
4. Persson, T. and E. von Sydow, “Aroma of canned beef: Gas chromatographic and mass spectrometric analysis of the volatiles,”
5. Stoffelsma, J., G. Sipma, D. K. Kettenes, and J. Pypker, “Volatile components of roasted coffee,”
6. IARC,
7. NTP, “Toxicology and carcinogenesis studies of furan (CAS No. 110-00-9) in F344/N rats and B6C3F
8. Goldsworthy, T. L., R. Goodwin, R. M. Burnett, P. King, H. El-Sourady, G. Moser, J. Foley, and R. R. Maronpot, “Dose Response Relationships Between Furan Induced Cytotoxicity and Liver Cancer,” Society of Toxicologic Pathology Annual Conference, Orlando, FL, 2001.
9. Fransson-Steen, R., T. L. Goldsworthy, G. L. Kedderis, and R. R. Maronpot, “Furan-induced liver cell proliferation and apoptosis in female B6C3F1 mice,”
10. Mugford, C. A., M. A. Carfagna, and G. L. Kedderis, “Furan-mediated uncoupling of hepatic oxidative phosphorylation in Fischer-344 rats—an early event in cell death,”
11. Burka, L. T., K. D. Washburn, and R. D. Irwin, “Disposition of [
12. Chen L.-J., S. S. Hecht , and L. A. Peterson, “Identification of
13. Byrns, M. C., D. P. Predecki, and L. A. Peterson, “Characterization of nucleoside adducts of
14. Parmar, D. and L. T. Burka. “Studies on the interaction of furan with hepatic cytochrome P-450,”
15. Lee, H., S. S. Bian, and Y. L. Chen, “Genotoxicity of 1,3-dithiane and 1,4-dithiane in the CHO/SCE assay and the
16. Peterson, L. A., K. C. Naruko, and D. P. Predercki, “A reactive metabolite of furan,
17. Foureman, P., J. M. Mason, R. Valencia, and S. Zimmering, “Chemical mutagenesis testing in Drosophila, IX. Results of 50 coded compounds tested for the National Toxicology Program,”
18. Mugford, C.A. and G. L. Kedderis, “Furan-mediated DNA double strand breaks in isolated rat hepatocytes,”
19. Wilson, D. M., T. L. Goldsworthy, J. A. Popp, and B. E. Butterworth, “Evaluation of genotoxicity, pathological lesions, and cell proliferation in livers of rats and mice treated with furan,”
20. National Toxicology Program (NTP), Report on Carcinogens, 10th ed., U.S. Department of Health and Human Services, Public Health Service, 2002.
21. Kedderis G. L. and S. A. Ploch, “The Biochemical Toxicology of Furan,” CIIT Activities 19(12), 1999.
National Institutes of Health, Public Health Service, DHHS.
Notice.
The inventions listed below are owned by an agency of the U.S. Government and are available for licensing in the U.S. in accordance with 35 U.S.C. 207 to achieve expeditious commercialization of results of federally-funded research and development. Foreign patent applications are filed on selected inventions to extend market coverage for companies and may also be available for licensing.
Licensing information and copies of the U.S. patent applications listed below may be obtained by writing to the indicated licensing contact at the Office of Technology Transfer, National Institutes of Health, 6011 Executive Boulevard, Suite 325, Rockville, Maryland 20852-3804; telephone: 301/
This invention describes a novel method for mapping retroviral integration sites within genomic DNA. The invention provides for rapid integration profiling with reduced labor and time required and reduces the inherent biases resulting from other techniques.
The technology uses pre-selected frequent cutting restriction enzymes and proprietary linkers to produce smaller amplicons that, in practice, reduce the bias effects of other more commonly used mapping techniques that often include linear amplification as a first step. Further, the technology does not require the use of measurable phenotypic characteristics to analysis or distinguish integration events. Thus, knowledge of potential cellular changes is not required. This invention can be used to provide rapid, cost-effective screening of cells treated with retroviruses for gene therapy. The ability to identify potentially harmful integrations and eliminating them from therapeutic use is essential for safer gene therapy applications.
Additional information may be found in X. Wu
Available for licensing is a technique for improving magnetic resonance imaging (MRI) that employs steady state free precession (SSFP). One such technique, fast imaging with steady-state free precession (FISP), is a well established and is a fast MR imaging method commonly used to evaluate cardiovascular anatomy and function. FISP provides high signal to noise ratio (SNR) images with excellent contrast between blood and the myocardium. However, these images are often contaminated with high signal from fatty tissue resulting in image artifacts. Conventional methods of fat signal suppression in FISP are often inefficient and result in a loss of temporal resolution. The present pulse sequence provides intrinsic chemical selectivity and significant attenuation of fat-based signals (by a factor of four compared to conventional FISP imaging) while maintaining the preferred high SNR for water-based tissues provided by standard FISP. In addition, the pulse sequence design is such that the high temporal resolution of FISP is not compromised. Thus, this technology offers a valuable improvement to standard cardiac MRI methods.
This invention claims immunogenic conjugates of a poly-γ-glutamic acid (γPGA) of
This vaccine is further described in Schneerson R.
Available for licensing is an MRI image improving system wherein at least one contrast agent is administered to a subject in amounts effective to perform chemical exchange dependent saturation transfer (CEDST) MRI analysis.
Examples of contrast agents suitable for administration as exogenous contrast agents include at least one functional group bearing a proton capable of chemical exchange. Examples of these functional groups include, without limitation, amides, amines, and carboxyl, hydroxyl, and sulfhydryl groups.
The contrast agent can be administered as a solid, as a dispersion or solution, such as an aqueous composition, as a mixture of two or more agents, etc. The contrast agent may also be in the form of a polymer.
One feature of the present invention involved identifying contrast agents, which contain the functional groups having the appropriate proton exchange and chemical shift properties at physiological pH and temperature to function effectively for performing CEDST MRI analyses in vivo. A number of different contrast agents can be used to practice the present method for performing CEDST MRI analyses in vivo can be selected from the group consisting of: Sugars, including oligosaccharides and polysaccharides, such as dextran; amino acids, such as 5-hydroxy-tryptophan (which also includes an indole -NH) and including oligomers of amino acids and proteins; nitrogen-containing heterocycles generally; indoles, purines and pyrimidines; nucleosides; imidazole and derivatives thereof, such as 2-imidazolidone and 2-imidazoldinethione; imino acids, including azetidines, such as azetidine-2-carboxylic acid, pyrolidines, such as 4-trans-hydroxy-proline, and piperidines, such as pipecolinic acid; barbituric acid and analogs thereof, such as 2-thio-barbituric acid and 5,5-diethylbarbituric acid; miscellaneous materials, such as guanidine, hydantoin, parabanic acid, and biologically active salts thereof; and mixtures of these contrast agents.
Working embodiments of the invention used the all of above materials at a variety of concentration levels for in-vitro experiments and, using a 500 mM solution of barbituric acid, in an in-vivo rabbit model.
The method of the present invention is useful for enhancing the contrast of MRI images, including images produced in vivo, using CEDST.
A second feature of the present invention involved identifying contrast agents which contained the functional groups which could be used, either alone or in combination, to function effectively at performing pH measurement using CEDST in vivo.
Working embodiments of this feature of the invention used either dihydrouracil or a combination solution of 5-Hydroxytryptophan and 2-Imidazolidinethione as the contrast agent, which was provided as an aqueous composition having about 62.5 mM of each chemical in the solution. Other chemicals with more than one chemical exchange site or mixtures of other contrast agents may also be used to practice the second feature of the present invention. A standard pH curve is prepared by performing in vitro CEDST MRI analyses of the contrast agent, which is then used to evaluate the in vivo pH measurement results.
A third feature of the present invention involved identifying contrast agents which contained the functional groups which could be used to function effectively at performing temperature measurement using CEDST in vivo.
Working embodiments of this feature of the invention used barbituric acid as the contrast agent, which was provided as an aqueous composition having about 62.5 mM of chemical in the solution. Other chemicals may be used to practice the third feature of the present invention. A standardized temperature curve is prepared performing in vitro CEDST MRI analyses of the contrast agent, which is then used to evaluate the in vivo temperature results.
A fourth feature of the present invention involved identifying contrast agents which contained the function groups which could be used to function effectively at measuring a metabolite of interest using CEDST in vivo.
Working embodiments of this feature of the invention used dihydrouracil as the contrast agent, which was provided as an aqueous composition having about 62.5 mM with phosphate as the metabolite of interest. Other chemicals may be used to practice the third feature of the present invention. A standardized metabolite curve is prepared performing in vitro CEDST MRI analyses of the contrast agent, which is then used to evaluate the in vivo metabolite results.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The contract proposals and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the contract proposals, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of a meeting of the National Advisory Dental and Craniofacial Research Council.
The meeting will be open to the public as indicated below, with attendance limited to space available. Individuals who plan to attend and need special assistance, such as sign language interpretation or other reasonable accommodations, should notify the Contact Person listed below in advance of the meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and/or contract proposals and the discussions could disclose confidential trade secrets or commercial property such as patenable material, and personal information concerning individuals associated with the grant applications and/or contract proposals, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
Any interested person may file written comments with the committee by forwarding the statement to the Contact Person listed on this notice. The statement should include the name, address, telephone number and when applicable, the business or professional affiliation of the interested person.
Information is also available on the Institute's/Center's home page:
Department of the Interior.
Notice of extension/renewal of information collection survey.
To comply with the requirements of the Paper Reduction Act (PRA) of 1995, we are inviting comments on the extension/renewal of an information collection, titled, “DOI Programmatic Clearance for Customer Satisfaction Surveys,” OMB Control #1040-0001, that we will submit to the Office of Management and Budget (OMB) for review and approval.
Please submit written comments by July 9, 2004.
Mail or hand carry comments to the Department of the Interior; Office of Policy, Management and Budget; Office of Planning and Performance Management; Attention: Sheri Harris; Mail Stop 5258; 1849 C Street, NW., Washington, DC 20240. If you wish to email comments, the e-mail address is
Sheri L. Harris, Office of Planning and Performance Management, telephone (202) 208-7342. You may also contact Sheri Harris to obtain a copy at no cost of the collection of information statement that will be submitted to the Office of Management and Budget.
Renewal of the Programmatic Clearance for Customer Satisfaction Information is also critical to the Department's ability to collect data essential for assessing progress toward achieving the goals established in our GPRA Strategic Plan. That plan contains a number of performance measures that directly correspond to customer, partner, and stakeholder satisfaction with specific services of Interior and its bureaus and offices. To accurately report whether or not we met targets set for these performance measures, it is imperative for Interior's bureaus and offices to collect data from those we serve.
Interior's Department-wide Customer and Citizen-Centered Service Policy admonishes its bureaus and offices to consult and communicate with customers to integrate their feedback into our programs and business processes in order to improve our service to them. It specifically asks Interior bureaus and offices to obtain customer satisfaction data on an annual basis and to use these data to implement programmatic improvements. The renewal of our Programmatic Clearance will assist these organizations in complying with the Departmental policy.
Executive order (E.O.) 12862 (September 11, 1993) aimed at “ensuring the Federal Government provides the highest quality service possible to the American people” fortifies our mandate by the Secretary of the Interior and the Administration to provide “citizen-centered government.” The E.O. discusses surveys as a means for determining the kinds and qualities of service desired by the Federal Government's customers and for determining satisfaction levels for existing service. These voluntary customer surveys will be used to ascertain customer satisfaction with DOI's bureaus and offices in terms of services and products. Previous customer surveys have provided useful information to DOI's bureaus and offices for assessing how well we deliver our services and products, making improvements, and reporting on GPRA performance goals. The results are used internally, and summaries are provided to the OMB on an annual basis and are used to satisfy the requirements and spirit of E.O. 12862.
We protect information submitted by respondents that is considered confidential or proprietary under the Freedom of Information Act and in accordance with Privacy Act regulations on protecting these data. Respondents are informed of this assurance on the survey forms or during the course of the survey interview.
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• Timeliness
• Consistency
• Ease of Use and Usefulness
• Ease of Information Access
• Helpfulness and Effectiveness
• Quality
• Value for fee paid for information/product/service
• Level of engagement in communications process (
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This effort does not duplicate any other survey being done by DOI or other Federal agencies. Other Federal agencies are conducting user surveys but are not soliciting comments on the delivery of DOI or DOI bureau/office products and services. As part of this effort, DOI consulted with other agencies, including the Department of Agriculture and the U.S. Environmental Protection Agency, who conduct surveys of similar customers.
All submissions under the program of expedited approval must include a description of the survey methodology. This description must be specific and describe each of the following: (a) Respondent universe, (b) the sampling plan and all sampling procedures, including how individual respondents will be selected, (c) how the information collection instrument will be administered, (d) expected response rate and confidence, and (e) levels strategies for dealing with potential non-response bias. A description of any pre-testing and peer review of the methods and/or instrument is also highly encouraged.
Improved information technology will be used, when possible, to reduce the burden on the public and to comply with requirements of the Government Paperwork Elimination Act (GPEA). Electronic mail may be used to introduce and distribute information collection instruments to a sample of customers. In some cases, the instruments may be web-enabled so that respondents can complete them online, enabling the response analysis to be automated. In all cases, appropriate non-response bias strategies will be used to ensure that responses are representative of the contact universe.
Agencies must estimate both the “hour” burden and “non-hour cost” burden to respondents or record keepers resulting from the collection of information. We have not identified any non-hour cost burdens for the information collection aspects of the programmatic customer satisfaction survey. Therefore, if you have costs to generate, maintain, and disclose this information, you should comment and provide your total capital and startup cost components or annual operation, maintenance, and purchase of service components. You should describe the methods you use to estimate major cost factors, including system and technology acquisition, expected useful life of capital equipment, discount rate(s), and the period of which you incur costs. Capital and startup costs include, among other items, computers and software you purchase to prepare for collecting information, monitoring, and record storage facilities. Generally, your estimates should not include equipment or services purchased: (1) Before October 1, 1995; (2) to comply with requirements not associated with the information collection; (3) for reasons other than to provide information or keep records for the Government; or (4) as part of customary and usual business or private practices.
Our practice is to make comments, including names and home addresses of respondents, available for public review during regular business hours. Individual respondents may request that we withhold their home address from the record, which we will honor to the extent allowable by law. There may be circumstances in which we would withhold from the record a respondent's identity, as allowable by law. If you wish us to withhold your name and/or address, you must state this prominently at the beginning of your comment.
However, we will not consider anonymous comments. We will make all submissions from organizations or business, and from individuals identifying themselves as representatives of organizations or businesses, available for public inspection in their entirety.
Bureau of Indian Affairs, Interior.
Notice.
This notice publishes the Coyote Valley Reservation of California Liquor Ordinance. The ordinance regulates and controls the possession and sale of liquor on the Coyote Valley Reservation of California.
This Ordinance is effective on May 10, 2004.
Duane T. Bird Bear, Office of Tribal Services, Bureau of Indian Affairs, 1951 Constitution Avenue, NW., MS-320-SIB, Washington, DC 20240; Telephone: (202) 513-7641.
Pursuant to the Act of August 15, 1953, Public Law 83-277, 67 Stat. 586, 18 U.S.C. 1161, as interpreted by the Supreme Court in
This notice is published in accordance with the authority delegated by the Secretary of the Interior to the Assistant Secretary—Indian Affairs by 209 DM 8.
I certify that the Liquor Control Ordinance of the Coyote Band of Pomo Indians was duly adopted by the Coyote Valley Tribal Council by enactment of Council Resolution No. 03-06-03 on March 6, 2003.
The Liquor Control Ordinance of the Coyote Valley Band of Pomo Indians reads as follows:
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201. As used in this Liquor Ordinance, the following words shall have the following meanings unless the context clearly requires otherwise.
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(a) To publish and enforce the rules and regulations governing the sale, manufacture, and distribution of alcoholic beverages on the Reservation;
(b) To employ managers, accountants, security personnel, inspectors, and such other persons as shall be reasonably necessary to allow the Tribal Council to perform its functions; all such employees shall be Tribal employees;
(c) To issue licenses permitting the sale or manufacture or distribution of liquor on the Reservation;
(d) To hold hearings on violations of this Liquor Ordinance or for the issuance or revocation of licenses hereunder pursuant to sections 501 through 506;
(e) To bring suit in the appropriate court to enforce this Liquor Ordinance as necessary;
(f) To determine and seek damages for the violation of this Liquor Ordinance; and
(g) To collect taxes and fees levied or set by the Tribal Council, and to keep accurate records, books and accounts.
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(a) Satisfactory proof that the applicant is or will be duly licensed by the State of California to sell alcoholic beverages;
(b) Satisfactory proof that the applicant is of good character and reputation and that the applicant is financially responsible;
(c) The description of the premises in which the alcoholic beverages are to be sold and proof that the applicant is the owner of such premises or the lessee of such premises for at least the term of the license;
(d) Agreement by the applicant to accept and abide by all conditions of the Tribal license;
(e) Payment of a fee established from time to time by the Tribal Council. Said fee is established initially at two hundred and fifty dollars ($250.00) but can be changed by Tribal Council resolution at any time;
(f) Satisfactory proof that neither the applicant, nor the applicant's spouse, nor any principal owner, officer, shareholder, or director of the applicant, if an entity, has ever been convicted of a felony or a crime of moral turpitude as defined by the laws of the State of California; and
(g) Satisfactory proof that the notice of application has been posted in a prominent, noticeable place on the premises where alcoholic beverages are to be sold for at least 30 days prior to consideration by the Tribal Council and has been published at least twice in such local newspaper serving the community that may be affected by the license as the Tribal Council may authorize. The notice shall state the date, time, and place when the application shall be considered by the Tribal Council pursuant to section 502 of this ordinance.
502.
503.
504.
(a) The license shall be for a term not to exceed one (1) year.
(b) The licensee shall at all times maintain an orderly, clean and neat establishment, both inside and outside the licensed premises.
(c) The licensed premises shall be subject to patrol by Tribal law enforcement personnel and other such law enforcement officials as may be authorized under federal, California or Tribal law.
(d) The licensed premises shall be open to inspection by duly authorized Tribal officials at all times during the regular business hours.
(e) Subject to the provisions of subsection “g” of this section, no liquor or alcoholic beverages shall be sold, served, disposed of, delivered, or given to any person, or consumed on the licensed premises except in conformity with the hours and days prescribed by the laws of the State of California, and in accordance with the hours fixed by the Tribal Council, provided that the licensed premises shall not operate or open earlier, or operate or close later, than is permitted by the laws of the State of California.
(f) No liquor shall be sold within 200 feet of a polling place on Tribal election days, or when a referendum or initiative is held of the voting members of the Tribe, and including special days of observation as designated by the Tribal Council.
(g) All acts and transactions under the authority of the Tribal liquor license shall be in conformity with the laws of the State of California, with this Liquor Ordinance, and with any Tribal liquor license issued pursuant to this Liquor Ordinance.
(h) No person under the age permitted under the laws of the State of California shall be sold, served, delivered, given, or allowed to consume alcoholic beverages in the licensed establishment or area.
(i) There shall be no discrimination in the operations under the tribal license by reason of race, color, or creed.
505.
506.
601.
602.
603.
604.
605.
606.
607.
608.
609.
(1) A driver's license of any state or identification card issued by any state department of motor vehicles;
(2) United States active military duty; or
(3) A passport.
610.
611.
612.
901.
902.
903.
904.
905.
1001.
1101. Nothing contained in this Liquor Ordinance is intended to nor does it in any way limit, alter, restrict, or waive the Tribe's sovereign immunity from unconsented suit or action.
The foregoing, Liquor Ordinance of the Coyote Valley Band of Pomo Indians, was introduced and adopted by the Coyote Valley Tribal Council on the 6th day of March 2003 at a regular meeting, at which a quorum was present, by the following vote: AYES—6; NOES—0; ABSTAIN—0.
Attested:
60-Day Notice of Information Collection Under Review: Implementation of Public Law 103-322, The Violent Crime Control and Law Enforcement Act of 1994.
The Department of Justice (DOJ), Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), has submitted the following information collection request to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Act of 1995. The proposed information collection is published to obtain comments from the public and affected agencies. Comments are encouraged and will be accepted for “sixty days” until July 9, 2004. This process is conducted in accordance with 5 CFR 1320.10.
If you have comments especially on the estimated public burden or associated response time, suggestions, or need a copy of the proposed information collection instrument with instructions or additional information, please contact Scott Thomasson, Chief, Firearms Enforcement Branch, Room 7400, 650 Massachusetts Avenue, NW., Washington, DC 20226.
Written comments and suggestions from the public and affected agencies concerning the proposed collection of information are encouraged. Your comments should address one or more of the following four points:
(1)
(2)
(3)
(4)
(5)
(6)
Notice is hereby given that, on April 6, 2004, pursuant to section 6(a) of the National Cooperative Research and Production Act of 1993, 15 U.S.C. 4301
The purpose and nature of the venture is to achieve NO
Membership in this research group remains open, and the participants intend to file additional written notification disclosing all changes in membership or planned activities.
Pursuant to section 221 of the Trade Act of 1974, as amended, an investigation was initiated on April 9, 2004 in response to a petition filed by a company official on behalf of workers at DePuy Casting, North Brunswick, New Jersey.
The petitioner has requested that the petition be withdrawn. Consequently, further investigation would serve no purpose and the investigation has been terminated.
Office of the Secretary, Labor.
Notice and request for information regarding forced child labor in the cocoa industry in Côte d'Ivoire.
This notice sets forth and requests information regarding the status of a March 2001 submission, pursuant to Executive Order 13126 (“Prohibition of Acquisition of Products Produced by Forced or Indentured Child Labor”) and alleging the use of forced child labor in the cocoa industry in Côte d'Ivoire. The Department of Labor, in consultation and cooperation with the Departments of Homeland Security, Treasury and State, has decided to continue monitoring the production of cocoa in Côte d'Ivoire to determine whether there is use of forced or indentured child labor in the industry and, accordingly, whether this country/product should be added to the list of products prohibited from acquisition under Executive Order 13126. This notice also requests additional information to assist the Departments of Labor, State and Treasury in making a determination on forced child labor in the cocoa industry in Côte d'Ivoire. The review of this country/product is being conducted pursuant to Executive Order 13126 and the Department's “Procedural Guidelines for Maintenance of the List of Products Requiring Federal Contractor Certification as to Forced or Indentured Child Labor.”
Submitters of information are requested to provide two (2) copies of their written submission to the International Child Labor Program by June 9, 2004.
Written submissions should be addressed to Christine Camillo at the
Christine Camillo, International Child Labor Program, Bureau of International Labor Affairs, U.S. Department of Labor, at (202) 693-4843; fax (202) 693-4830.
Executive Order No. 13126, which was published in the
Pursuant to section 3 of the Executive Order, the Federal Acquisition Regulatory Councils published a final rule in the
On March 20, 2001, DOL accepted for review a videotape submission, provided by Kevin Bales of Anti-Slavery International, under Executive Order 13126, describing conditions of forced child labor in the cocoa industry in Côte d'Ivoire. In accordance with the Procedural Guidelines, DOL initiated a review into whether forced or indentured child labor is used in the production of this good in Côte d'Ivoire and has consulted with the Departments of Homeland Security (DHS), Treasury and State regarding this issue. DOL has included DHS in its interagency consultations for Executive Order submissions, since this agency now has responsibility for enforcing the forced labor provisions of the Tariff Act (previously enforced by the U.S. Treasury Department).
In conducting its review of this submission, DOL has sought and reviewed information on Côte d'Ivoire cocoa from a variety of sources, including the Department of Labor's 2002 Findings on the Worst Forms of Child Labor, the State Department's annual Country Reports on Human Rights Practices—2003: Côte d'Ivoire and Trafficking in Persons Report, 2003, the International Institute for Tropical Agriculture's 2002 Child Labor Surveys in the Cocoa Sector of West Africa synthesis report, as well as numerous other governmental and nongovernmental organization reports, articles and stories describing conditions of forced child labor in the Côte d'Ivoire cocoa industry.
In reviewing this information, the Departments of Labor, State, Treasury and Homeland Security have considered several factors: The nature of the information describing the use of forced or indentured child labor; the source of the information; the date of the information; the extent of corroboration of the information by appropriate sources; and whether the information involved more than an isolated incident. In addition, DOL has sought evidence of recent, credible efforts being made to address forced or indentured child labor in Côte d'Ivoire by the Ivorian government.
DOL has received reports that thousands of children work on cocoa farms in Côte d'Ivoire, most alongside their families. These children are allegedly engaged in tasks/activities such as clearing fields; weeding; maintaining cocoa trees; fermenting; transporting; and drying as well as particularly hazardous tasks, such as spraying pesticides on cocoa without protection, using machetes to clear undergrowth and carrying heavy loads.
In addition to children working alongside their families in cocoa production, some children have allegedly been trafficked within Côte d'Ivoire and into the country from Benin, Burkina Faso, Ghana, Mali, Mauritania, Nigeria, and Togo to work on commercial cocoa farms. Children working as forced labor on these farms describe being deceived, coerced, and threatened by adult intermediaries and employers; working between 10-20 hours per day with few or no breaks under hazardous conditions; and being confined to locked rooms at night and unable to leave their place of work. They also describe being: denied pay or provided with inadequate compensation; required to work without food or drink; subject to physical abuse and mental abuse; and prohibited from attending school.
Côte d'Ivoire's Labor Code sets the minimum age for employment at 14 years, even for apprenticeships, and prohibits children under 18 years from working more than 12 consecutive hours a day. The Labor Code also prohibits forced or compulsory labor, and Decree No. 67-265 sets the minimum age for hazardous work at 18 years. There is no law specifically prohibiting trafficking in persons, although one is pending in the National Assembly.
Child labor laws in Côte d'Ivoire apply to all sectors and industries in the country, but minimum age laws are enforced by the Ministry of Employment and Civil Service only in the civil service and in large multinational companies. In 2003, the government continued to combat trafficking, but there were no reports that the government prosecuted traffickers using
The Government of Côte d'Ivoire has acknowledged the problem of child labor in the cocoa industry and made some recent, credible efforts to address this issue. In September 2000, the Governments of Côte d'Ivoire and Mali signed a bilateral agreement to curb the trafficking of Malian children into Côte d'Ivoire and have worked together since then to prevent cross-border trafficking and repatriate child victims. In 2001, the government began participating in a $4.3 DOL-funded regional project funded through the International Labor Organization's International Program on the Elimination of Child Labor (ILO-IPEC) to combat the trafficking of children for exploitive labor in West and Central Africa. In 2002, the government agreed to participate in a second $5 million DOL-funded ILO-IPEC project to combat the use of children in hazardous work in the cocoa sector. That same year, in collaboration with INTERPOL, the Government of Côte d'Ivoire organized a meeting with neighboring countries in West and Central Africa, and several United Nations agencies and nongovernmental organizations, to discuss child trafficking in the region. In the resulting Yamoussoukro Declaration, the meeting participants pledged to conduct coordinated information campaigns on child trafficking. The government has implemented a National Development Plan for Education that calls for universal primary education by 2010 and in 2002, distributed free textbooks to 1.2 million students. In April 2004, the government conducted a workshop on child labor in the cocoa industry and considered anti-trafficking legislation.
Although the Government of Côte d'Ivoire has made some recent, credible efforts to address forced child labor in the cocoa sector, the Departments of Labor, State, Treasury and Homeland Security remain concerned about this problem and about the lack of an adequate legal framework to address forced child labor in the non-industrial farm sector. For this reason, the Departments have decided to continue to keep this Executive Order submission under review in order to monitor the government's efforts to address the forced child labor problem in the cocoa industry during the next six months. At the end of this period, the Departments will determine whether the Government of Côte d'Ivoire has taken significant, credible steps to consider the adoption of new anti-trafficking legislation and has made efforts to enforce its laws prohibiting child labor, including forced child labor where it is occurring in the cocoa sector.
DOL is requesting current information about the nature and extent of forced child labor in the cocoa industry in Côte d'Ivoire as well as efforts made by the Government of Côte d'Ivoire to address this problem.
This notice is a general solicitation of comments from the public. All submitted comments will be made a part of the record of the review referred to above and will be available for public inspection.
Pursuant to 29 CFR 90.18(C) an application for administrative reconsideration was filed with the Director of the Division of Trade Adjustment Assistance for workers at Allegheny Ludlum Corporation, Brackenridge Works, Brackenridge, Pennsylvania and Allegheny Ludlum Corporation, Leechburg Works, Leechburg, Pennsylvania. The application contained no new substantial information which would bear importantly on the Department's determination. Therefore, dismissal of the application was issued.
In accordance with section 223 of the Trade Act of 1974 (19 U.S.C. 2273) the Department of Labor issued a Certification of Eligibility to Apply for Worker Adjustment Assistance on August 22, 2003, applicable to workers of Capital Mercury Apparel, Ltd, Mar-Bax Shirt Company Division, Gassville, Arkansas. The notice was published in the
At the request of the State agency, the Department reviewed the certification for workers of the subject firm. The workers are engaged in the production of men's woven dress and sports shirts.
New information shows that some workers separated from employment at the subject firm had their wages reported under a separate unemployment insurance (UI) tax account for Ark Management Consultants.
Accordingly, the Department is amending the certification to properly reflect this matter.
The intent of the Department's certification is to include all workers of Capital Mercury Apparel, Ltd, Mar-Bax Shirt Company Division, Ark Management Consultants, Gassville, Arkansas, who were adversely affected by a shift in production to Mexico.
In accordance with section 223 of the Trade Act of 1974 (19 U.S.C. 2273) the Department Labor issued a Certification of Eligibility to Apply for Worker Adjustment Assistance and Alternative Trade Adjustment Assistance on January 14, 2004, applicable to workers of Coperion Corporation, Ramsey, New Jersey. The notice was published in the
At the request of the State agency, the Department reviewed the certification for workers of the subject firm. The workers are engaged in the production of extrusion equipment.
New findings show that worker separations occurred at the Carol Stream, Illinois facility of the subject firm. Workers at the Carol Stream, Illinois facility provide sales function services supporting the production of extrusion equipment at the Ramsey, New Jersey location of the subject firm
Accordingly, the Department is amending the certification to cover workers at Coperion Corporation, Carol Stream, Illinois.
The intent of the Department's certification is to include all workers of Coperion Corporation who were adversely affected by increased imports.
The amended notice applicable to TA-W-53,988 is hereby issued as follows:
All workers of Coperion Corporation, Ramsey, New Jersey (TA-W-53,988) and Coperion Corporation, Carol Stream, Illinois (TA-W-53,988A), who became totally or partially separated from employment on or after January 5, 2003, through January 14, 2006, are eligible to apply for adjustment assistance under section 223 of the Trade Act of 1974, and are also eligible to apply for alternative trade adjustment assistance under section 246 of the Trade Act of 1974.
Pursuant to section 221 of the Trade Act of 1974, as amended, an investigation was initiated on March 18, 2004 in response to a petition filed by on behalf of workers at Eli Group, Providence, Rhode Island.
The petition was not submitted by a company official, union official, State agency representative, or worker group, and is therefore invalid. Consequently, the investigation has been terminated.
By letter of March 22, 2004, the company requested administrative reconsideration of the Department of Labor's Notice of Negative Determination Regarding Eligibility to Apply for Worker Adjustment Assistance, applicable to workers of the subject firm. The Department's determination notice was signed on March 8, 2004. The notice was published in the
After careful review of the application, I conclude that the claim is of sufficient weight to justify reconsideration of the Department of Labor's prior decision. The application is, therefore, granted.
Petitions have been filed with the Secretary of Labor under section 221(a) of the Trade Act of 1974 (“the Act”) and are identified in the Appendix to this notice. Upon receipt of these petitions, the Director of the Division of Trade Adjustment Assistance, Employment and Training Administration, has instituted investigations pursuant to section 221(a) of the Act.
The purpose of each of the investigations is to determine whether the workers are eligible to apply for adjustment assistance under title II, chapter 2, of the Act. The investigations will further relate, as appropriate, to the determination of the date on which total or partial separations began or threatened to begin and the subdivision of the firm involved.
The petitioners or any other persons showing a substantial interest in the subject matter of the investigations may request a public hearing, provided such request is filed in writing with the Director, Division of Trade Adjustment Assistance, at the address shown below, not later than May 20, 2004.
Interested persons are invited to submit written comments regarding the subject matter of the investigations to the Director, Division of Trade Adjustment Assistance, at the address shown below, not later than May 20, 2004.
The petitions filed in this case are available for inspection at the Office of the Director, Division of Trade Adjustment Assistance, Employment and Training Administration, U.S. Department of Labor, Room C-5311, 200
By application of January 9, 2004, a company official requested administrative reconsideration of the Department's negative determination regarding eligibility for workers and former workers of the subject firm to apply for Trade Adjustment Assistance (TAA). The denial notice was signed on November 19, 2003 and published in the
Pursuant to 29 CFR 90.18(c) reconsideration may be granted under the following circumstances:
(1) If it appears on the basis of facts not previously considered that the determination complained of was erroneous;
(2) If it appears that the determination complained of was based on a mistake in the determination of facts not previously considered; or
(3) If in the opinion of the Certifying Officer, a mis-interpretation of facts or of the law justified reconsideration of the decision.
The TAA petition, filed on behalf of workers at Intermet, Radford Foundry, Radford, Virginia engaged in the production of camshafts, reaction shafts and transmission components were denied because the “contributed importantly” group eligibility requirement of Section 222 of the Trade Act of 1974 was not met. The “contributed importantly” test is generally demonstrated through a survey of the workers' firm's customers. The Department conducted a survey of the subject firm's major customers
The petitioner alleges that the layoffs at the subject firm are attributable to a shift in production to foreign countries.
A review of the initial investigation and a further contact with a company official confirmed that Intermet, Radford Foundry, Radford, Virginia did plan a shift of production from Radford, Virginia facility to Mexico in the second quarter of 2004, after the relevant time period. The company official further indicated that no production has been moved from Radford Foundry to Mexico as of February 19, 2004, and no time line was given to when this will happen.
Should the shift to Mexico occur, the petitioners are encouraged to file a new petition on behalf of workers at the Intermet, Radford Foundry, Radford, Virginia, thereby creating a relevant period of investigation that would include changing conditions.
After review of the application and investigative findings, I conclude that there has been no error or misinterpretation of the law or of the facts which would justify reconsideration of the Department of Labor's prior decision. Accordingly, the application is denied.
Pursuant to 29 CFR 90.18(C) an application for administrative reconsideration was filed with the Director of the Division of Trade Adjustment Assistance for workers at Loftin Black Furniture Company, Thomasville, North Carolina. The application contained no new substantial information which would bear importantly on the Department's determination. Therefore, dismissal of the application was issued.
In accordance with section 223 of the Trade Act of 1974 (19 U.S.C. 2273) the Department of Labor issued a Certification of Eligibility to Apply for Worker Adjustment Assistance on March 25, 2004, applicable to workers of MCS Industries, Somerset, New Jersey. The notice will be published soon in the
At the request of the State agency, the Department reviewed the certification for workers of the subject firm. The workers are engaged in the production of photo albums and photo boxes.
Information shows that the New Jersey Department of Labor requested Alternative Trade Adjustment Assistance (ATAA) on behalf of the workers of the subject firm but that request was not addressed in the decision document.
Information obtained from the company states that a significant number of workers of the subject firm are age 50 or over, workers have skills that are not easily transferable, and conditions in the industry are adverse. Review of this information shows that all eligibility criteria under section 246 of the Trade Act of 1974 (26 U.S.C. 2813), as amended have been met. Accordingly, the Department is amending the certification to reflect its finding.
The amended notice applicable to TA-W-54,415 is hereby issued as follows:
Pursuant to section 221 of the Trade Act of 1974, as amended, an investigation was initiated on April 2, 2004, in response to a petition filed by a company official on behalf of workers at Medtronic Vascular, Danvers Massachusetts.
The petitioner has requested that the petition be withdrawn. Consequently, the investigation has been terminated.
Pursuant to section 221 of the Trade Act of 1974, as amended, an investigation was initiated on March 12, 2004, in response to a petition filed on behalf of workers at Milliken & Company, Spartanburg, South Carolina.
The petition has been deemed invalid. The petition was filed by workers that were employed in separately identifiable business divisions of the firm. Consequently, further investigation would serve no purpose and the investigation has been terminated.
Pursuant to section 221 of the Trade Act of 1974, an investigation was initiated on April 8, 2004 in response to a petition filed by a company official on behalf of workers at OWT Industries, Inc., Power Tool Operations, Pickens, South Carolina.
The petitioner has requested that the petition be withdrawn. Consequently, the investigation has been terminated.
In accordance with section 223 of the Trade Act of 1974 (19 U.S.C. 2273) the Department of Labor issued a Certification of Eligibility to Apply for Worker Adjustment Assistance and Alternative Trade Adjustment Assistance on April 6, 2004, applicable to workers of Plains Cotton Cooperative Association, New Braunfels, Texas. The notice was published in the
At the request of the State agency, the Department reviewed the certification for workers of the subject firm. The workers are engaged in the production of denim fabric.
New findings show that there was a previous certification, TA-W-39,539, issued on January 15, 2002, for workers of Mission Valley Fabrics, New Braunfels, Texas who were engaged in employment related to the production of denim fabric. That certification expired on January 15, 2004. To avoid an overlap in worker group coverage, the certification is being amended to change the impact date from February 25, 2003, to January 16, 2004, for workers of the subject firm.
The certification was amended on February 4, 2002, to show that workers wages were reported under a separate unemployment insurance (UI) tax account for Plains Cotton Cooperative Association.
The amended notice applicable to TA-W-54,404 is hereby issued as follows:
Petitions have been filed with the Secretary of Labor under section 221(a) of the Trade Act of 1974 (“the Act”) and are identified in the Appendix to this notice. Upon receipt of these petitions, the Director of the Division of Trade Adjustment Assistance, Employment and Training Administration, has instituted investigations pursuant to section 221(a) of the Act.
The purpose of each of the investigations is to determine whether the workers are eligible to apply for adjustment assistance under title II, chapter 2, of the Act. The investigations will further relate, as appropriate, to the determination of the date on which total or partial separations began or threatened to begin and the subdivision of the firm involved.
The petitioners or any other persons showing a substantial interest in the subject matter of the investigations may request a public hearing, provided such request is filed in writing with the Director, Division of Trade Adjustment Assistant, at the address shown below, not later than May 20, 2004.
Interested persons are invited to submit written comments regarding the subject matter of the investigations to the Director, Division of Trade Adjustment Assistance, at the address shown below, not later than May 20, 2004.
The petitions filed in this case are available for inspection at the Office of the Director, Division of Trade Adjustment Assistance, Employment and Training Administration, U.S. Department of Labor, Room C-5311, 200 Constitution Avenue, NW., Washington, DC 20210.
Pursuant to section 221 of the Trade Act of 1974, as amended, an investigation was initiated on April 2, 2004, in response to a petition filed by a company official on behalf of workers at Tanya Creations, Inc., East Providence, Rhode Island.
The petitioner has requested that the petition be withdrawn. Consequently, the investigation has been terminated.
Pursuant to 29 CFR 90.18(C) an application for administrative reconsideration was filed with the Director of the Division of Trade Adjustment Assistance for workers at Tateishi of America, Inc., Pineville, North Carolina. The application contained no new substantial information which would bear importantly on the Department's determination. Therefore, dismissal of the application was issued.
Pursuant to section 221 of the Trade Act of 1974, as amended, an investigation was initiated on April 20, 2004 in response to a worker petition filed on behalf of workers of Trilux Technologies, Inc., Winston-Salem, North Carolina.
The petition has been deemed invalid because it was not signed by three workers. Consequently, the investigation has been terminated.
Pursuant to 29 CFR 90.18(C) an application for administrative reconsideration was filed with the Director of the Division of Trade Adjustment Assistance for workers at Warner Electric, Inc., a subsidiary of Colfax Corporation, Roscoe, Illinois. The application contained no new substantial information which would bear importantly on the Department's determination. Therefore, dismissal of the application was issued.
U.S. Institute for Environmental Conflict Resolution, Morris K. Udall Foundation.
Notice of meeting.
5 U.S.C. Appendix; 20 U.S.C. 5601-5609.
The U.S. Institute for Environmental Conflict Resolution will convene a public meeting on Saturday, May 22, 2004, at the Doubletree Hotel at Reid Park, 445 S. Alvernon Way, Tucson, Arizona 85711. The meeting will occur from 1 p.m. to approximately 5 p.m.
Members of the public are invited to attend however, seating is limited and available on a first-come, first-served basis. During this meeting, working groups comprised of Federal, State and local agency and stakeholder representatives will discuss the following: (1) Issues relating to locations for recreational shooting; (2) Safety and
In 2003, the Tucson Field Office of the Bureau of Land Management (BLM), in the process of developing a management plan for the Ironwood Forest National Monument, requested that the U.S. Institute for Environmental Conflict Resolution conduct a situation assessment on issues related to recreational shooting. Safety concerns and resource damage were identified as significant concerns in the Monument, and the assessment was viewed as an important means to gain an understanding of public attitudes and perceived opportunities for addressing these issues.
At the outset, BLM staff underscored their mandate to manage the Monument for multiple uses, with recreational shooting being one among many appropriate public uses within the Monument.
The BLM perceived a need to bring agencies and stakeholders together to consider developing appropriate management guidelines. Believing that issues around recreational shooting could not be adequately addressed without taking a basin-wide approach, BLM staff sought to identify opportunities to work with a wide array of stakeholders to define a common vision for resolving these resource management and public safety issues. The BLM provided the initial funding for the situation assessment. However, in the early stages of development of the project, the USDA Forest Service's Coronado National Forest and the Arizona Game and Fish Department joined as co-sponsors, confirming the importance of looking at the situation in the Tucson basin as a whole.
All three agencies are now supporting a series of public workshops to explore the issues identified in the situation assessment. Workshop #1 is the first in that series. Dates have not yet been established for subsequent workshops.
In the initial planning for the situation assessment, the sponsors determined that the project would specifically address “recreational shooting,” defined as the discharge of any firearm for any lawful, recreational purpose other than the lawful taking of a game animal. They separated this activity from hunting, which the project was not intended to address.
Any member of the public who desires further information concerning the meeting or wishes to submit oral or written comments should contact Olivia Montes, Administrative Assistant, U.S. Institute for Environmental Conflict Resolution, 130 S. Scott Avenue, Tucson, AZ 85701; phone (520) 670-5299, fax (520) 670-5530, or e-mail at
A copy of the situation assessment “Recreational Shooting in the Tucson Basin: The Potential for Collaborative Dialogue and Action” can be obtained at
National Aeronautics and Space Administration (NASA).
In the
Ms. Nancy Kaplan, NASA Reports Officer, (202) 358-1372.
Nuclear Regulatory Commission (NRC).
Notice of pending NRC action to submit an information collection request to OMB and solicitation of public comment.
The NRC is preparing a submittal to OMB for review of continued approval of information collections under the provisions of the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35).
Information pertaining to the requirement to be submitted:
1.
2.
3.
4.
5.
6.
7.
Submit, by July 9, 2004, comments that address the following questions:
1. Is the proposed collection of information necessary for the NRC to properly perform its functions? Does the information have practical utility?
2. Is the burden estimate accurate?
3. Is there a way to enhance the quality, utility, and clarity of the information to be collected?
4. How can the burden of the information collection be minimized, including the use of automated collection techniques or other forms of information technology?
A copy of the draft supporting statement may be viewed free of charge at the NRC Public Document Room, One White Flint North, 11555 Rockville Pike, Room O-1 F21, Rockville, MD 20852. OMB clearance requests are available at the NRC worldwide Web site:
Comments and questions about the information collection requirements may be directed to the NRC Clearance Officer, Brenda Jo. Shelton (T-5 F52), U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, by telephone at 301-415-7233, or by Internet electronic mail to
For the Nuclear Regulatory Commission.
Nuclear Regulatory Commission.
Notice of availability of Environmental Assessment and Finding of No Significant Impact.
William Snell, Division of Nuclear Materials Safety, U.S. Nuclear Regulatory Commission, Region III, 2443 Warrenville Road, Lisle, Illinois 60532; telephone (630) 829-9871; or by e-mail at
The U.S. Nuclear Regulatory Commission (NRC) is considering the issuance of an amendment to Material License No. 21-00265-06 issued to Dow Chemical Company (the licensee), to remove the 703 Incinerator from its license at its Midland, Michigan facilities, and release the incinerator for unrestricted use.
The NRC staff has prepared this environmental assessment (EA) to support this licensing action in accordance with the requirements of 10 CFR Part 51. Based on the EA, the NRC has concluded that a Finding of No Significant Impact (FONSI) is appropriate. The amendment will be issued following the publication of this Notice.
The purpose of the proposed action is to remove the 703 Incinerator from Byproduct Material License No. 21-00265-06, issued to the Dow Chemical Company in Midland, Michigan, and release the licensee's 703 Incinerator for unrestricted use. The 703 Incinerator had been used since 1959 to incinerate hazardous wastes and had been used since 1966 to incinerate materials containing small quantities of hydrogen-3 (H-3) and carbon-14 (C-14). On January 9, 2004, Dow Chemical Company submitted a request to remove the 703 Incinerator from its license at its Midland, Michigan facilities, and release the incinerator for unrestricted use. Dow Chemical Company provided survey results which demonstrated that the 703 Incinerator was in compliance with Title 10, Code of Federal Regulations, 10 CFR 20.1402, “Radiological Criteria for Unrestricted Use.” No radiological remediation activities are required to complete the proposed action. The NRC staff has reviewed the information provided and surveys performed by Dow Chemical Company to demonstrate compliance with the license termination criteria in Subpart E of 10 CFR 20.1402, “Radiological Criteria for Unrestricted Use,” to ensure the NRC's decision is protective of public health and safety and the environment.
The staff has prepared the EA (summarized above) in support of Dow Chemical Company's proposed license amendment to terminate its license and release the 703 Incinerator for unrestricted use. Based on its review, the staff has determined that the affected environment and the environmental impacts associated with the decommissioning of Dow Chemical Company's facilities are bounded by the impacts evaluated by the “Generic Environmental Impact Statement in Support of Rulemaking on Radiological Criteria for License Termination of NRC-Licensed Nuclear Facilities” (NUREG-1496). Additionally, no non-radiological impacts were identified. The staff also finds that the proposed release for unrestricted use of the Dow Chemical Company's facilities is in compliance with 10 CFR 20.1402, and finds no other activities in the area that could result in cumulative impacts. On the basis of the EA, the staff has concluded that the environmental impacts from the proposed action would not be significant. Accordingly, the staff has determined that a FONSI is appropriate, and has determined that the preparation of an Environmental Impact Statement is not warranted.
In accordance with 10 CFR 2.390 of the NRC's “Rules of Practice,” Dow Chemical Company's request, the EA summarized above, and the documents related to this proposed action are available electronically for public inspection and copying from the Publicly Available Records (PARS) component of NRC's document system (ADAMS). ADAMS is accessible from the NRC Web site at
Nuclear Regulatory Commission.
Notice of availability of Environmental Assessment and Finding of No Significant Impact.
William Snell, Division of Nuclear Materials Safety, U.S. Nuclear Regulatory Commission, Region III, 2443 Warrenville Road, Lisle, Illinois 60532; telephone (630) 829-9871; or by e-mail at
The U.S. Nuclear Regulatory Commission (NRC) is considering the issuance of an amendment to Material License No. 13-13530-01 issued to Fort Wayne State Developmental Center (the licensee), to terminate its license and release the licensee's Fort Wayne, Indiana facilities for unrestricted use.
The NRC staff has prepared this environmental assessment (EA) to support this licensing action in accordance with the requirements of 10 CFR Part 51. Based on the EA, the NRC has concluded that a finding of No Significant Impact (FONSI) is appropriate. The amendment will be issued following the publication of this Notice.
The purpose of the proposed action is to terminate the Fort Wayne State Developmental Center's license and release the licensee's facilities in Fort Wayne, Indiana, for unrestricted use. The NRC licensed Fort Wayne State Developmental Center for in-vitro studies and tracer experiments in laboratory animals using hydrogen-3 (H-3), carbon-14 (C-14), phosphorus (P-32), and any byproduct material listed in Section 31.11(a) of 10 CFR Part 31. On October 9, 2003, Fort Wayne State Developmental Center submitted a request to terminate its license at its Fort Wayne, Indiana facilities, and release the facilities for unrestricted use. Fort Wayne State Developmental Center provided survey results which demonstrated that the facilities were in compliance with Title 10, Code of Federal Regulations, 10 CFR 20.1402, “Radiological Criteria for Unrestricted Use.” No radiological remediation activities are required to complete the proposed action. The NRC staff has reviewed the information provided and surveys performed by Fort Wayne State Developmental Center to demonstrate compliance with the license termination criteria in Subpart E of 10 CFR 20.1402, “Radiological Criteria for Unrestricted Use,” to ensure the NRC's decision is protective of public health and safety and the environment.
The staff has prepared the EA (summarized above) in support of Fort Wayne State Developmental Center's proposed license amendment to terminate its license and release the Fort Wayne, Indiana facilities for unrestricted use. Based on its review, the staff has determined that the affected environment and the environmental impacts associated with the decommissioning of Fort Wayne State Developmental Center's facilities are bounded by the impacts evaluated by the “Generic Environmental Impact Statement in Support of Rulemaking on Radiological Criteria for License Termination of NRC-Licensed Nuclear Facilities” (NUREG-1496). Additionally, no non-radiological impacts were identified. The staff also finds that the proposed release for unrestricted use of the Fort Wayne State Developmental Center's facilities is in compliance with 10 CFR 20.1402, and finds no other activities in the area that could result in cumulative impacts. On the basis of the EA, the staff has concluded that the environmental impacts from the proposed action would not be significant. Accordingly, the staff has determined that a FONSI is appropriate, and has determined that the preparation of an Environmental Impact Statement is not warranted.
In accordance with 10 CFR 2.390 of the NRC's “Rules of Practice,” Fort Wayne State Developmental Center's request, the EA summarized above, and the documents related to this proposed action are available electronically for public inspection and copying from the Publicly Available Records (PARS) component of NRC's document system (ADAMS). ADAMS is accessible from the NRC Web site at
Nuclear Regulatory Commission.
Notice of availability of Environmental Assessment and Finding of No Significant Impact.
William Snell, Division of Nuclear Materials Safety, U.S. Nuclear Regulatory Commission, Region III, 2443 Warrenville Road, Lisle, Illinois 60532; telephone (630) 829-9871; or by e-mail at
The U.S. Nuclear Regulatory Commission (NRC) is considering the release of the Department of Veterans Affairs (DVA) Medical Center in Bath, New York, for unrestricted use.
The NRC staff has prepared this environmental assessment (EA) to support this licensing action in accordance with the requirements of 10 CFR Part 51. Based on the EA, the NRC has concluded that a Finding of No Significant Impact (FONSI) is appropriate. The amendment will be issued following the publication of this Notice.
The purpose of the proposed action is to release the DVA Medical Center in Bath, New York, for unrestricted use. Although the Bath, New York facility is not a permittee under the DVA NRC Master Material License (MML) Number 03-23853-01VA, the DVA requested the NRC review and approve the facility for unrestricted release because radioactive byproduct material was identified at the facility. The approval is consistent with a March 17, 2003, Letter of Understanding (LOU) between the NRC and DVA for DVA permittees. The LOU requires the DVA to submit for NRC review, permittee requests for the release of buildings for unrestricted use where radioactive materials with a half-life greater than 120 days were used. During a special inspection at the Medical Center in Bath, the DVA discovered radioactive materials in the form of five old stock vials of carbon-14, four carbon-14 standards, and four hydrogen-3 standards, which have half-lives greater than 120 days. On November 20, 2003, the DVA submitted a request to the NRC, consistent with the LOU, to release the Medical Center in Bath, New York, for unrestricted use. The DVA Medical Center provided survey results which demonstrated that the facilities were in compliance with Title 10, Code of Federal Regulations (CFR) 20.1402, “Radiological Criteria for Unrestricted Use.” No radiological remediation activities are required to complete the proposed action. The NRC staff has reviewed the information provided and surveys performed by the DVA to demonstrate compliance with the license termination criteria in Subpart E of 10 CFR 20.1402, “Radiological Criteria for Unrestricted Use,” to ensure the NRC's decision is protective of public health and safety and the environment.
The staff has prepared the EA (summarized above) in support of the DVA's request to release the DVA Medical Center in Bath, New York, for unrestricted use. Based on its review, the staff has determined that the affected environment and the environmental impacts associated with the decommissioning of the DVA's facilities are bounded by the impacts evaluated by the “Generic Environmental Impact Statement in Support of Rulemaking on Radiological Criteria for License Termination of NRC-Licensed Nuclear Facilities” (NUREG-1496). Additionally, no non-radiological impacts were identified. The staff also finds that the proposed release for unrestricted use of the DVA's facilities is in compliance with 10 CFR 20.1402, and finds no other activities in the area that could result in cumulative impacts. On the basis of the EA, the staff has concluded that the environmental impacts from the proposed action would not be significant. Accordingly, the staff has determined that a FONSI is appropriate, and has determined that the preparation of an environmental impact statement is not warranted.
In accordance with 10 CFR 2.390 of the NRC's “Rules of Practice,” the DVA's request, the EA summarized above, and the documents related to this proposed action are available electronically for public inspection and copying from the Publicly Available Records (PARS) component of NRC's document system (ADAMS). ADAMS is accessible from the NRC Web site at
Nuclear Regulatory Commission.
Weeks of May 10, 17, 24, 31, June 7, 14, 2004.
Commissioners' Conference Room, 11555 Rockville Pike, Rockville, Maryland.
Public and Closed.
This meeting will be webcast live at the Web address—
This meeting will be webcast live at the Web address—
There are no meetings scheduled for the Week of May 17, 2004.
1:30 p.m.—All Employees Meeting (Public Meeting).
This meeting will be webcast live at the Web address—
This meeting will be webcast live at the Web address—
There are no meetings scheduled for the Week of June 7, 2004.
There are no meetings scheduled for the Week of June 14, 2004.
*The schedule for Commission meetings is subject to change on short notice. To verify the status of meetings call (recording)—(301) 415-1292. Contact person for more information: Dave Gamberoni, (301) 415-1651.
By a vote of 3-0 on May 3, the Commission determined pursuant to U.S.C. 552b(e) and § 9.107(a) of the Commission's rules that “Affirmation of Dominion Nuclear Connecticut (Millstone Nuclear Power Station, Units 2 and 3) (Rejection by the Secretary of Petition to Intervene in License Renewal Proceeding as Premature)” be held on May 4, and on less than one week's notice to the public.
The NRC Commission Meeting Schedule can be found on the Internet at:
This notice is distributed by mail to several hundred subscribers; if you no longer wish to receive it, or would like to be added to the distribution, please contact the Office of the Secretary, Washington, DC 20555 (301-415-1969). In addition, distribution of this meeting notice over the Internet system is available. If you are interested in receiving this Commission meeting schedule electronically, please send an electronic message to
Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501
Form S-3 (OMB Control No. 3235-0073; File No. SEC 270-61) is used by issuers to register securities pursuant to the Securities Act of 1933. Form S-3 gives investors the necessary information to make investment decisions regarding securities offered to the public. The likely respondents will be companies that file Form S-3 with the Commission on occasion. Form S-3 is a public document and all information provided is mandatory. Approximately 2,010 issuers file Form S-3 at an estimated 398 hours per response for a total annual burden of 799,980 hours. It is estimated that 50% of the total burden hours (399,990 reporting burden hours) is prepared by the issuer.
Form S-8 (OMB Control No. 3235-0066; SEC File No. 270-66) is the primary registration statement used by qualified registrants to register securities issuers in connection with employee benefit plans. Form S-8 provides verification of compliance with securities law requirements and assures the public availability and dissemination of such information. The likely respondents will be companies. The information must be filed with the Commission on occasion. Form S-8 is a public document. All information provided is mandatory. Approximately 4,050 issuers file Form S-8 at an estimated 24 hours per response for a total annual burden of 97,200 hours. It is estimated that 50% of the total burden hours (48,600 reporting burden hours) is prepared by the issuer.
An agency may conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid control number.
Written comments regarding the above information should be directed to the following persons: (i) Desk Officer for the Securities and Exchange Commission, Office of Information and Regulatory Affairs, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503 or send an e-mail to
Securities and Exchange Commission (“Commission”).
Notice of an application for an order under sections 6(c) and 6(e) of the Investment Company Act of 1940 (the “Act”) granting relief from all provisions of the Act, except sections 37 through 53 of the Act and the rules and regulations under those sections other than rule 38a-1.
Boston Capital Tax Credit Fund V L.P. (the “Partnership”) and Boston Capital Associates V L.L.C. (the “General Partner”).
Applicants request an order to permit the Partnership to invest in limited partnerships that engage in the ownership and operation of apartment complexes for low and moderate income persons.
The application was filed on October 30, 2003, and amended on April 20, 2004.
An order granting the application will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission's Secretary and serving applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 p.m. on May 27, 2004, and should be accompanied by proof of service on applicants in the form of an affidavit or, for lawyers, a certificate of service. Hearing requests should state
Secretary, Commission, 450 5th Street NW., Washington, DC 20549-0609. Applicants, One Boston Place, Suite 2100, Boston, MA 02108-4406.
Bruce R. MacNeil, Senior Counsel, (202) 942-0634, or Mary Kay Frech, Branch Chief, (202) 942-0564 (Division of Investment Management, Office of Investment Company Regulation).
The following is a summary of the application. The complete application may be obtained for a fee from the Commission's Public Reference Branch, 450 Fifth Street, NW., Washington, DC 20549-0102 (telephone (202) 942-8090).
1. The Partnership was organized on October 15, 2003, under the Delaware Revised Uniform Limited Partnership Act. The Partnership is intended to serve as a vehicle for equity investment in apartment complexes expected to be qualified for the low-income housing tax credit under the Internal Revenue Code of 1986, as amended.
2. The Partnership will operate as a “two-tier” partnership,
3. The Partnership's investment objectives are to realize (a) Certain tax benefits including low-income housing tax credits, (b) potential capital appreciation through increases in value and, to the extent applicable, amortization of the mortgage indebtedness of the apartment complexes, (c) cash distributions from liquidation, sale or refinancing of the apartment complexes (except with respect to certain non-profit Operating Partnerships), and (d) to the extent available, limited cash flow from operations.
4. On October 22, 2003, the Partnership filed a registration statement under the Securities Act of 1933 for the sale of approximately 7,000,000 units of beneficial interest (“Units”) at $10.00 per Unit. The Partnership plans to offer a total of 15,000,000 Units for a period of approximately twenty-four months from the effective date of the Partnership's registration statement. The minimum investment will be of $5,000.
5. When placing an order for Units, an investor must represent in writing that he meets applicable suitability standards. The Partnership's prospectus (“Prospectus”) provides that each investor will meet the following suitability standards: (a) Net worth (exclusive of home, home furnishings and automobiles) in excess of $150,000; or (b) annual gross income of $45,000 and a net worth (exclusive of home, home furnishings and automobiles) of $45,000. In no event will the Partnership employ suitability standards which are less restrictive than these standards. The Partnership also will impose certain restrictions on the transfer and assignment of the Units, including that each proposed assignee must produce evidence of his suitability.
6. The Partnership will be controlled by the General Partner pursuant to a partnership agreement (“Partnership Agreement”). The limited partners, consistent with their limited liability status, will not be entitled to participate in the control of the Partnership's business. However, the majority in interest of the limited partners will have the right (subject to certain limitations) to amend the Partnership Agreement, dissolve the Partnership, and remove the General Partner and elect a replacement. In addition, under the Partnership Agreement, each limited partner is entitled to review all books and records of the Partnership at any and all reasonable times.
7. The Partnership Agreement provides that certain significant actions cannot be taken by the General Partner without the express consent of a majority in interest of the limited partners. Such actions include: (a) Sale at any one time of all or substantially all of the assets of the Partnership; (b) dissolution of the Partnership; (c) sale of a substantial portion of the apartment complexes by the Operating Partnerships; and (d) the admission of a successor or additional general partner.
8. The Partnership will normally attempt to acquire between 90% and 99% interest in the operating profits, losses and tax credits of each Operating Partnership, with the balance remaining with the general partner of the Operating Partnership (“Operating General Partner”). The Partnership will normally attempt to acquire a substantial (50% to 99%) interest in the cash distributions of each Operating Partnership, with the balance remaining with the Operating General Partner. Regardless of the percentage interest the Partnership has in an Operating Partnership, the Operating Partnership's partnership agreement will include the right to: (a) Approve or disapprove the sale or refinancing of the applicable apartment complex; (b) replace the Operating General Partner; (c) approve or disapprove the dissolution of the Operating Partnership; (d) approve or disapprove amendments to the Operating Partnership's partnership agreement; and (e) direct the Operating General Partner to convene meetings and submit matters to a vote. The Partnership is expected to have access to the books and records of the Operating Partnership and to receive annual and quarterly reports. In addition, the Partnership will require that all Operating Partnerships provide to the limited partners substantially all of the rights required by section VII of the guidelines adopted by the North American Securities Administrators Association, Inc. (“NASAA”).
9. Applicants state that the Partnership Agreement and Prospectus will contain provisions designed to ensure fair dealing by the General Partner with the investors. All compensation to be paid to the General Partner and its affiliated persons (“affiliates”) is specified in the Partnership Agreement and the Prospectus. The fees and other forms of compensation that will be paid to the General Partner and its affiliates will not have been negotiated through arms-length negotiations. Terms of all such compensation, however, are believed to be fair and not less favorable to the Partnership than would be the case if such terms had not been negotiated with independent third parties. Applicants state that the Partnership believes that such compensation meets all applicable guidelines necessary to permit the Units to be offered and sold in the various states which prescribe such guidelines. These guidelines include, without limitation, the statements of policy adopted by NASAA applicable to real estate programs in the form of limited partnerships.
10. During the acquisition phase, Boston Capital Services, Inc. (“BCS”) will receive commissions up to 7% of the aggregate gross proceeds on the sale of Units. BCS also will receive an expense allowance of up to 0.5% of the gross proceeds to defray accountable due diligence activities, up to a 2% dealer-manager fee and up to 1% for sales expenses. Boston Capital Holdings, LP will receive an asset acquisition fee of up to 8.5%.
11. During the operating phase, the General Partner will receive 1% of profits, credits, losses and net cash flow based on the Partnership's share of these items from the Operating Partnerships. The General Partner (or its affiliates) will also receive an annual Partnership management fee of 0.5%. Affiliates of the General Partner will receive a property management fee for the apartment complexes of up to 5% of the gross receipts from the complexes. In addition, the General Partner and its affiliates may be reimbursed for the actual costs of goods and materials used for or by the Partnership during the operational phase. During the liquidation phase, the General Partner will receive 5% of any liquidation, sale or refinancing proceeds after certain priority allocations and distributions.
12. All proceeds of the public offering of Units will initially be placed in an escrow account with the Wainwright Bank & Trust Company. The Partnership intends to apply such proceeds to the acquisition of Operating Partnership interests as soon as possible. Such proceeds may be temporarily invested in bank time deposits, certificates of deposit, bank money market accounts, and government securities. The Partnership will not trade or speculate in temporary investments. If subscriptions for at least 250,000 Units have not been received by one year from the date upon which the Partnership's registration statement is declared effective, no Units will be sold and funds paid by subscribers will be returned promptly, together with a pro rata share of any interest earned thereon.
1. Section 6(c) authorizes the Commission to grant an exemption from the Act to the extent necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of the Act. Section 6(e) permits the Commission to require companies exempted from the registration requirements of the Act to comply with certain specified provisions of the Act as though the company were a registered investment company. Applicants seek an order under sections 6(c) and 6(e) exempting the Partnership from all provisions of the Act, except sections 37 through 53 and the rules and regulations under those sections, other than rule 38a-1.
2. Applicants assert that the requested relief is consistent with the protection of investors and the purposes and policies underlying the Act. Applicants assert, among other things, that investment in low and moderate income housing in accordance with the national policy expressed in Title IX of the Housing and Urban Development Act of 1968 is not economically suitable for private investors without the tax and organizational advantages of the limited partnership form.
3. Applicants believe that the two-tier structure is consistent with the purposes and criteria set forth in the Release. The Release states that investment companies that are two-tier real estate partnerships that invest in limited partnerships engaged in the development and operation of housing for low and moderate income persons may qualify for an exemption from the Act pursuant to section 6(c).
4. The Release lists two conditions, designed for the protection of investors, which must be satisfied by two-tier partnerships to qualify for the exemption under section 6(c). First, interests in the issuer should be sold only to persons for whom investments in limited profit, essentially tax-shelter, investments would not be unsuitable. Second, requirements for fair dealing by the general partner of the issuer with the limited partners of the issuer should be included in the basic organizational documents of the company.
5. Applicants assert, among other things, that the suitability standards set forth in the application, the requirements for fair dealing provided by the Partnership Agreement, and pertinent governmental regulations imposed on each Operating Partnership by various Federal, state, and local agencies provide protection to investors in Units.
For the Commission, by the Division of Investment Management, pursuant to delegated authority.
Securities and Exchange Commission (“Commission”).
Notice of application for an order under section 6(c) of the Investment Company Act of 1940 (the “Act”) for an exemption from section 15(a) of the Act and rule 18f-2 under the Act.
Applicants request an order that would permit them to enter into and materially amend sub-advisory agreements without shareholder approval.
RSI Retirement Trust (the “Trust”) and Retirement System Investors Inc. (the “Adviser”).
The application was filed on October 28, 2003 and amended on April 20, 2004.
An order granting the application will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission's Secretary and serving applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 p.m. on June 1, 2004, and should be accompanied by proof of service on applicants, in the form of an affidavit or, for lawyers, a certificate of service. Hearing requests should state the nature of the writer's interest, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission's Secretary.
Secretary, Commission, 450 Fifth Street, NW., Washington, DC 20549-0609. Applicants, c/o Ryan M. Louvar, Esq., BISYS, 100 Summer Street, Suite 1500, Boston, MA 02110.
Shannon Conaty, Attorney-Adviser, at (202) 942-0527, or Annette M. Capretta, Branch Chief, at (202) 942-0564 (Division of Investment Management, Office of Investment Company Regulation).
The following is a summary of the application. The complete application may be obtained for a fee at the Commission's Public Reference Branch, 450 Fifth Street, NW, Washington, DC 20549-0102 (telephone (202) 942-8090).
1. The Trust, a New York common law trust, is registered under the Act as an open-end management investment company. The Trust is organized as a series investment company and has seven series (each series, a “Fund” and collectively, the “Funds”), each with its own investment objectives, policies and restrictions. The Adviser, a Delaware corporation and wholly-owned subsidiary of Retirement System Group
2. The Adviser serves as investment adviser to the Funds pursuant to an investment advisory agreement between the Trust, on behalf of each Fund, and the Adviser (“Management Agreement”) that was approved by the Trust's board of trustees (“Board”), including a majority of the trustees who are not “interested persons,” as defined in section 2(a)(19) of the Act (“Independent Trustees”), and each Fund's shareholder(s). The Management Agreement permits the Adviser to enter into separate investment advisory agreements (“Sub-Advisory Agreements”) with one or more sub-advisers (“Sub-Advisers”). Each Sub-Adviser has discretionary authority to invest that portion of the Fund's assets assigned to it by the Adviser. Each Sub-Adviser is or will be registered or exempt from registration under the Advisers Act. The Adviser monitors and evaluates the Sub-Advisers and recommends to the Board their hiring, termination, and replacement. The Adviser recommends Sub-Advisers based on a number of factors discussed in the application used to evaluate their skills in managing assets pursuant to particular investment objectives. The Adviser compensates the Sub-Advisers out of the fee paid to the Adviser by a Fund.
3. Applicants request an order to permit the Adviser, subject to Board approval, to enter into and materially amend Sub-Advisory Agreements without shareholder approval. The requested relief will not extend to any Sub-Adviser that is an affiliated person, as defined in section 2(a)(3) of the Act, of a Fund or the Adviser, other than by reason of serving as a Sub-Adviser to one or more of the Funds (an “Affiliated Sub-Adviser”). None of the current Sub-Advisers is an Affiliated Sub-Adviser.
1. Section 15(a) of the Act provides, in relevant part, that it is unlawful for any person to act as an investment adviser to a registered investment company except pursuant to a written contract that has been approved by the vote of a majority of the company's outstanding voting securities. Rule 18f-2 under the Act provides that each series or class of stock in a series company affected by a matter must approve the matter if the Act requires shareholder approval.
2. Section 6(c) of the Act provides that the Commission may exempt any person, security, or transaction or any class or classes of persons, securities, or transactions from any provision of the Act, or from any rule thereunder, if and to the extent that such exemption is necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of the Act. Applicants believe that the requested relief meets this standard for the reasons discussed below.
3. Applicants state that the Funds' shareholders rely on the Adviser to select the Sub-Advisers best suited to achieve a Fund's investment objectives. Applicants assert that, from the perspective of the investor, the role of the Sub-Advisers is comparable to that of individual portfolio managers employed by other investment advisory firms. Applicants contend that requiring shareholder approval of each Sub-Advisory Agreement would impose costs and unnecessary delays on the Funds, and may preclude the Adviser from acting promptly in a manner considered advisable by the Board. Applicants also note that the Management Agreements will remain subject to section 15(a) of the Act and rule 18f-2 under the Act.
Applicants agree that any order granting the requested relief will be subject to the following conditions:
1. Before a Fund may rely on the requested order, the operation of the Fund in the manner described in the application will be approved by a majority of the Fund's outstanding voting securities, as defined in the Act, or, in the case of a Fund whose public shareholders purchase shares on the basis of a prospectus containing the disclosure contemplated by condition 2 below, by the initial shareholder(s) before shares of such Fund are offered to the public.
2. Each Fund relying on the requested order will disclose in its prospectus the existence, substance and effect of any order granted pursuant to this application. In addition, each Fund relying on the requested order will hold itself out to the public as employing the “manager of managers” structure described in this application. Such Fund's prospectus will prominently disclose that the Adviser has ultimate responsibility (subject to oversight by the Board) to oversee the Sub-Advisers and recommend their hiring, termination and replacement.
3. The Adviser will provide general management and administrative services to each of the Funds, including overall supervisory responsibility for the general management and investment of each Fund's assets, and, subject to review and approval by the Board, will (i) set each Fund's overall investment strategies; (ii) evaluate, select and recommend Sub-Advisers to manage all or part of a Fund's assets; (iii) when appropriate, allocate and reallocate a Fund's assets among multiple Sub-Advisers; (iv) monitor and evaluate the performance of Sub-Advisers; and (v) implement procedures reasonably designed to ensure that the Sub-Advisers comply with the relevant Fund's investment objectives, policies and restrictions.
4. At all times, a majority of the Board will be Independent Trustees, and the nomination of new or additional Independent Trustees will be placed within the discretion of the then-existing Independent Trustees.
5. The Adviser will not enter into a Sub-Advisory Agreement with any Affiliated Sub-Adviser without such agreement, including the compensation to be paid thereunder, being approved by the shareholders of the applicable Fund.
6. When a Sub-Adviser change is proposed for a Fund with an Affiliated Sub-Adviser, the Board, including a majority of the Independent Trustees, will make a separate finding, reflected in the Board minutes, that such change is in the best interests of the Fund and its shareholders and does not involve a conflict of interest from which the Adviser or an Affiliated Sub-Adviser derives an inappropriate advantage.
7. No trustee or officer of the Trust or director or officer of the Adviser will own directly or indirectly (other than through a pooled investment vehicle that is not controlled by such person) any interest in a Sub-Adviser except for (i) ownership of interests in the Adviser or any entity that controls, is controlled by, or is under common control with the Adviser; or (ii) ownership of less than 1% of the outstanding securities of any class of equity or debt of a publicly-
8. Within 90 days of the hiring of any new Sub-Adviser, the Adviser will furnish the shareholders of the applicable Fund all information about the new Sub-Adviser that would be included in a proxy statement. To meet this obligation, the Adviser will provide the shareholders of the applicable Fund with an information statement meeting the requirements of Regulation 14C, Schedule 14C and Item 22 of Schedule 14A under the Exchange Act.
9. The requested order will expire on the effective date of rule 15a-5 under the Act, if adopted.
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”),
Nasdaq proposes certain changes to Rule 7010 to modify the service charges paid by members for the Nasdaq service for trading exchange-listed securities. The text of the proposed rule change is below. Proposed new language is in italics; proposed deletions are in [brackets].
(a) through (c) No change.
(d) Computer Assisted Execution Service
The charges to be paid by members receiving the Computer Assisted Execution Service (CAES) shall consist of a fixed service charge and a per transaction charge plus equipment related charges.
(1) Service Charge[s]
[$100 per month for each market maker terminal receiving CAES.]
(2) No change
(e) through (u) No change.
In its filing with the Commission, Nasdaq 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. Nasdaq has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements.
The proposed rule change seeks to modify the monthly service charge paid by members receiving Nasdaq's Computer Assisted Execution System (“CAES”) service
Nasdaq believes that the proposed rule change is consistent with the provisions of Section 15A of the Act,
Nasdaq 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, as amended.
No written comments were solicited or received with respect to the proposed rule change.
The proposed rule change has become effective pursuant to section 19(b)(3)(A)(ii) 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. Comments may be submitted by any of the following methods:
• Use the Commission's Internet comment form (
• Send e-mail to
• Send paper comments in triplicate to Jonathan G. Katz, Secretary, Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549-0609.
All submissions should refer to File Number SR-NASD-2004-067. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site (
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”),
Nasdaq proposes to make technical corrections to the rules governing the operation of the Nasdaq National Market Execution System (“NNMS” or “SuperMontage”). The text of the proposed rule change is set forth below. Proposed new language is in
Unless stated otherwise, the terms described below shall have the following meaning:
(a) through (ll) No Change.
(mm) The term “Pegged” shall mean, for
(nn) through (uu) No Change.
(a) Participation in NNMS as an NNMS Market Maker requires current registration as such with the Association. Such registration shall be conditioned upon the NNMS Market Maker's initial and continuing compliance with the following requirements:
(1) No Change.
(2) membership in, or access arrangement with a participant of, a clearing agency registered with the Commission that maintains facilities through which NNMS compared trades may be settled;
(3) No Change.
(4) maintenance of the physical security of the equipment located on the premises of the NNMS Market Maker [or] to prevent the improper use or access to Nasdaq systems, including unauthorized entry of information into NNMS; and
(5) No Change.
(b) through (c) No Change.
(d) Participation in NNMS as an NNMS ECN requires current registration as an NASD member and shall be conditioned upon the following:
(1) through (2) No Change.
(3) membership in, or access arrangement with
(4) through (5) No Change.
(e) through (h) No Change.
(a) No Change.
(b) Directed Orders in Nasdaq-listed Securities. A participant may enter a Directed Order in a Nasdaq-listed security into the NNMS to access a specific Attributable Quote/Order displayed in the Nasdaq Quotation Montage, subject to the following conditions and requirements:
(1) Unless the Quoting Market Participant to which a Directed Order is being sent has indicated that it wishes to receive Directed Orders that are Liability Orders, a Directed Order must be a Non-Liability Order, and as such, at the time of entry must be designated as:
(A) through (B) No Change.
(C) a Directed Order that is entered at a price that is inferior to the Attributable Quote/Order of the Quoting Market Participant to which the order is directed. [Nasdaq will append an indicator to the quote of a Quoting Market Participant that has indicated to Nasdaq that it wishes to receive Directed Orders that are Liability Orders.]
(2) through (5) No Change.
(c) through (e) No Change.
(a) Registration—Upon the effectiveness of registration as a NNMS Market Maker, NNMS ECN, ITS/CAES Market Maker or NNMS Order Entry Firm, the NNMS Participant may commence activity within NNMS for exposure to orders or entry of orders, as applicable. The operating hours of NNMS may be established as appropriate by the Association. The extent of participation in Nasdaq by an NNMS Order Entry Firm shall be determined solely by the firm in the exercise of its ability to enter orders into Nasdaq.
(b) Non-Directed Orders
(1) General Provisions—A Quoting Market Participant in an NNMS Security, as well as NNMS Order Entry Firms, shall be subject to the following requirements for Non-Directed Orders:
(A) Obligations—[f]
(i) through (iv) No Change.
(B) Processing of Non-Directed Orders—Upon entry of a Non-Directed Order into the system, the NNMS will ascertain who the next Quoting Market Participant or NNMS Order Entry Firm in queue to receive an order
(i) No Change.
(ii) Exceptions—The following exceptions shall apply to the above execution parameters:
a. through e. No Change.
[(f)]
(C) Decrementation Procedures—The size of a Quote/Order displayed in the Nasdaq Order Display Facility and/or the Nasdaq Quotation Montage will be decremented upon the delivery of a Liability Order or the delivery of an execution of a Non-Directed Order or Preferenced Order in an amount equal to the system-delivered order or execution.
(i) No Change.
(ii) If an NNMS Order-Delivery ECN declines or partially fills a Non-Directed Order without immediately transmitting to Nasdaq a revised Attributable Quote/Order that is at a price inferior to the previous price, or if an NNMS Order-Delivery ECN fails to respond in any manner within 30 seconds of order delivery, the system will cancel the delivered order and send the order (or remaining portion thereof) back into the system for immediate delivery to the next [Quoting Market Participant] eligible Quote/Order in queue. The system then will zero out [the]
(iii) through (v) No Change.
(D) No Change.
(2) Refresh Functionality
(A) Reserve Size Refresh—Once a Nasdaq Quoting Market Participant's or NNMS Order Entry Firm's Displayed Quote/Order size on either side of the market in the security has been decremented to an amount less than one normal unit of trading due to NNMS processing, Nasdaq will refresh the displayed size out of Reserve Size to a size-level designated by the Nasdaq Quoting Market Participant or NNMS Order Entry Firm, or in the absence of such size-level designation, to the automatic refresh size. The amount of shares taken out of reserve to refresh display size shall be added to any shares remaining in the Displayed Quote/Order and shall be of an amount that when combined with the number of shares remaining in the Nasdaq Quoting Market Participant's Displayed Quote/Order before it is refreshed will equal the displayed size-level designated by the Nasdaq Quoting Market Participant or, in the absence of such size-level designation, to the automatic refresh size. If there are insufficient shares available to produce a Displayable Quote/Order, the Nasdaq Quoting Market Participant's Quote/Order, and
(B) No Change.
(3) through (8) No Change.
(c) through (e) No Change.
NNMS will automatically adjust the price and/or size of open quotes and/or orders in all NNMS securities (unless otherwise noted) resident in the system in response to issuer corporate actions related to a dividend, payment or distribution, on the ex-date of such actions, except where a cash dividend or distribution is less than one cent ($0.01), as follows:
(a) through (b) No Change.
(c) Buy Orders—Buy side orders shall be adjusted by the system based on the particular corporate action impacting the security (
(1) through (3) No Change.
(4) Dividends Payable in Either Cash or Securities at the Option of the Stockholder: Buy side order prices shall be reduced by the dollar value of either the cash or securities, whichever is greater. The dollar value of the cash shall be determined using the formula in paragraph ([1]
(5) Combined Cash and Stock Dividends/Split: In the case of a combined cash dividend and stock split/dividend, the cash dividend portion shall be calculated first as per section ([1]
(6) No Change.
(d) No Change.
In its filing with the Commission, Nasdaq 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. Nasdaq has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements.
On March 2, 2004, the Commission approved Nasdaq's proposal to transition the trading of exchange-listed securities onto the SuperMontage trading platform from the Computer Assisted Execution System. The text of the SuperMontage rules approved as part of that proposal, filed as Exhibit A to that proposal (“Exhibit A”), contained minor technical errors as published.
Specifically, Exhibit A did not accurately reflect some of the text of SR-NASD-2003-81 and Amendment No. 1 thereto, as approved by the Commission.
Exhibit A also did not accurately reflect the text of Amendment No. 3 to SR-NASD-2003-85, as approved by the Commission.
Lastly, the proposed rule change also makes numbering and other non-substantive rule modifications.
Nasdaq believes that the proposed rule change is consistent with the provisions of Section 15A of the Act,
Nasdaq believes the proposed rule change is consistent with the Act, for the same reasons that the proposed rule changes were consistent with the Act when originally filed. According to Nasdaq, in approving SR-NASD-2003-81, the Commission found that the proposed quote decrementation procedure was consistent with the Act in that it is designed to produce fair and informative quotations, to prevent fictitious or misleading quotations, and to promote orderly procedures for
The NASD does not believe that the proposed rule change will impose any burden on competition not necessary or appropriate in furtherance of the Act.
The NASD neither solicited nor received written comments on this proposal.
The forgoing rule change has become effective upon filing with the Commission pursuant to Section 19(b)(3)(A) of the Act,
At any time within 60 days after the filing of the proposed rule change, the Commission may summarily abrogate the 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 purposes 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. Comments may be submitted by any of the following methods:
• Use the Commission's Internet comment form (
• Send an e-mail to
• Send paper comments in triplicate to Jonathan G. Katz, Secretary, Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549-0609.
All submissions should refer to File Number SR-NASD-2004-064. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site (
For the Commission, by the Division of Market Regulation, pursuant to delegated authority.
Notice and request for comments.
In accordance with the Paperwork Reduction Act of 1995, this notice announces the Small Business Administration's intentions to request approval on a new and/or currently approved information collection.
Submit comments on or before July 9, 2004.
Send all comments regarding whether these information collections are necessary for the proper performance of the function of the agency, whether the burden estimates are accurate, and if there are ways to minimize the estimated burden and enhance the quality of the collection, to Sandra Johnston, Program Analyst, Office of Financial Assistance, Small Business Administration, 409 3rd Street SW., Suite 8300, Washington, DC 20416.
Sandra Johnston, Program Analyst, 202-205-7528 or Curtis B. Rich, Management Analyst, 202-205-7030.
As a result of the President's major disaster declaration for Public Assistance on April 29, 2004, the U.S. Small Business Administration is activating its disaster loan program only for private non-profit organizations that provide essential services of a governmental nature. I find that Bernalillo, Eddy, Mora and San Miguel Counties in the State of New Mexico constitute a disaster area due to damages caused by severe storms and flooding occurring on April 2 through April 11, 2004. Applications for loans for physical damage as a result of this disaster may be filed until the close of business on June 28, 2004 at the address listed below or other locally announced locations: U.S. Small Business Administration, Disaster Area 3 Office, 14925 Kingsport Road, Fort Worth, TX 76155-2243.
The interest rates are:
The number assigned to this disaster for physical damage is P03111.
Ameren Corporation (Ameren), a noncarrier holding company, has filed a verified notice of exemption to acquire control of Coffeen and Western Railroad Company (CWRC) upon CWRC's becoming a Class III rail carrier.
The transaction was expected to be consummated on or shortly after April 22, 2004, the effective date of the exemption.
Ameren states that: (i) The railroads will not connect with each other or any railroad in their corporate family; (ii) the acquisition of control is not part of a series of anticipated transactions that would connect the railroads with each other or any railroad in their corporate family; and (iii) the transaction does not involve a Class I carrier. Therefore, the transaction is exempt from the prior approval requirements of 49 U.S.C. 11323.
Under 49 U.S.C. 10502(g), the Board may not use its exemption authority to relieve a rail carrier of its statutory obligation to protect the interests of its employees. Section 11326(c), however, does not provide for labor protection for transactions under sections 11324 and 11325 that involve only Class III rail carriers. Because this transaction involves Class III carriers only, the Board, under the statute, may not impose labor protective conditions for this transaction.
If the verified notice contains false or misleading information, the exemption is void
An original and 10 copies of all pleadings referring to STB Finance Docket No. 34498 must be filed with the Surface Transportation Board, 1925 K Street, NW., Washington, DC 20423-0001. In addition, a copy of each pleading must be served on Sandra L. Brown, 401 Ninth Street, NW., Suite 1000, Washington, DC 20004.
Board decisions and notices are available on our Web site at
By the Board, David M. Konschnik, Director, Office of Proceedings.
Coffeen and Western Railroad Company (CWRC), a noncarrier, has filed a verified notice of exemption under 49 CFR 1150.31 to lease from Ameren Energy Generating Company (AEGC) and operate approximately 0.2 miles of rail line.
This transaction is related to STB Finance Docket No. 34498,
CWRC certifies that its projected revenues do not exceed those that would qualify it as a Class III carrier and do not exceed $5 million. The transaction was scheduled to be consummated on or shortly after April 22, 2004, the effective date of the exemption.
If the notice contains false or misleading information, the exemption is void
An original and 10 copies of all pleadings, referring to STB Finance Docket No. 34497, must be filed with the Surface Transportation Board, 1925 K Street, NW., Washington, DC 20423-0001. In addition, a copy of each pleading must be served on Sandra L. Brown, 401 Ninth Street, NW., Suite 1000, Washington, DC 20004.
Board decisions and notices are available on its website at “
By the Board, David M. Konschnik, Director, Office of Proceedings.
On April 20, 2004, Union Pacific Railroad Company (UP) filed with the Surface Transportation Board a petition under 49 U.S.C. 10502 for exemption from the provisions of 49 U.S.C. 10903 to abandon and discontinue service over a line of railroad known as the Yuba City Industrial Lead, extending from milepost 136.38 near Marysville, CA, to milepost 139.77 near Colusa Junction,
The line does not contain federally granted rights-of-way. Any documentation in UP's possession will be made available promptly to those requesting it.
The interest of railroad employees will be protected by the conditions set forth in
By issuance of this notice, the Board is instituting an exemption proceeding pursuant to 49 U.S.C. 10502(b). A final decision will be issued by August 6, 2004.
Any offer of financial assistance under 49 CFR 1152.27(b)(2) will be due no later than 10 days after service of a decision granting the petition for exemption. Each offer must be accompanied by a $1,100 filing fee.
All interested persons should be aware that, following abandonment of rail service and salvage of the line, the line may be suitable for other public use, including interim trail use. Any request for a public use condition under 49 CFR 1152.28 or for trail use/rail banking under 49 CFR 1152.29 will be due no later than June 1, 2004. Each trail use request must be accompanied by a $200 filing fee.
All filings in response to this notice must refer to STB Docket No. AB-33 (Sub-No. 205X) and must be sent to: (1) Surface Transportation Board, 1925 K Street NW., Washington, DC 20423-0001; and (2) Mack H. Shumate, Jr., Union Pacific Railroad Company, 101 North Wacker Drive, Room 1920, Chicago, IL 60606. Replies to the UP petition are due on or before June 1, 2004.
Persons seeking further information concerning abandonment procedures may contact the Board's Office of Public Services at (202) 565-1592 or refer to the full abandonment or discontinuance regulations at 49 CFR part 1152. Questions concerning environmental issues may be directed to the Board's Section of Environmental Analysis (SEA) at (202) 565-1539. (Assistance for the hearing impaired is available through the Federal Information Relay Service (FIRS) at 1-800-877-8339.)
An environmental assessment (EA) (or environmental impact statement (EIS), if necessary), prepared by SEA, will be served upon all parties of record and upon any agencies or other persons who commented during its preparation. Other interested persons may contact SEA to obtain a copy of the EA (or EIS). EAs in these abandonment proceedings normally will be made available within 60 days of the filing of the petition. The deadline for submission of comments on the EA will generally be within 30 days of its service.
Board decisions and notices are available on our web site at
By the Board, David M. Konschnik, Director, Office of Proceedings.
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, Pub. L. 104-13 (44 U.S.C. 3506(c)(2)(A)). Currently, the IRS is soliciting comments concerning Form 8812, Additional Child Tax Credit.
Written comments should be received on or before July 9, 2004 to be assured of consideration.
Direct all written comments to Glenn P. Kirkland, Internal Revenue Service, room 6411, 1111 Constitution Avenue NW., Washington, DC 20224.
Requests for additional information or copies of the form and instructions should be directed to R. Joseph Durbala at Internal Revenue Service, room 6407, 1111 Constitution Avenue NW., Washington, DC 20224, or at (202) 622-3634, or through the Internet at
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 2001-37, Extraterritorial Income Exclusion Elections.
Written comments should be received on or before July 9, 2004 to be assured of consideration.
Direct all written comments to Glenn P. Kirkland, Internal Revenue Service, room 6411, 1111 Constitution Avenue NW., Washington, DC 20224.
Requests for additional information or copies of the revenue procedure should be directed to Carol Savage at Internal Revenue Service, room 6407, 1111 Constitution Avenue NW., Washington, DC 20224, or at (202) 622-3945, or through the Internet at
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.
Comments submitted in response to this notice will be summarized and/or included in the request for OMB approval. All comments will become a matter of public record. Comments are invited on: (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 estimate 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 of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology; and (e) estimates of capital or start-up costs and costs of operation, maintenance, and purchase of services to provide information.
Internal Revenue Service (IRS), Treasury.
Notice.
An open meeting of the Area 3 Taxpayer Advocacy Panel will be conducted (via teleconference). The Taxpayer Advocacy Panel is soliciting public comments, ideas, and suggestions on improving customer service at the Internal Revenue Service.
The meeting will be held Friday, May 21, 2004 from 11 a.m. EDT to 12:30 p.m. EDT.
Sallie Chavez at 1-888-912-1227, or 954-423-7979.
Notice is hereby given pursuant to section 10(a)(2) of the Federal Advisory Committee Act, 5 U.S.C. App. (1988) that an open meeting of the Area 3 Taxpayer Advocacy Panel will be held Friday, May 21, 2004, from 11 a.m. EDT to 12:30 p.m. EDT via a telephone conference call. Individual comments will be limited to 5 minutes. If you would like to have the TAP consider a written statement, please call 1-888-912-1227 or 954-423-7979, or write Sallie Chavez, TAP Office, 1000 South Pine Island Rd., Suite 340, Plantation, FL 33324. Due to limited conference lines, notification of intent to participate in the telephone conference call meeting must be made with Sallie Chavez. Ms. Chavez can be reached at 1-888-912-1227 or 954-423-7979, or post comments to the Web site:
The agenda will include: Various IRS issues.
In notice document 04-8979 beginning on page 22086 in the issue of Friday, April 23, 2004 make the following corrections:
1. On page 22087, in the third column, preceding the eleventh line from the bottom, insert this heading:
2. On page 22088, in the first column, after the fourth full entry, preceding the entry “California”, insert this heading:
Social Security Administration (SSA).
Final rules.
We are adding six new subparts to part 408 of our regulations and reserve an additional subpart for future use. Part 408 sets forth our rules applicable to claims for special veterans benefits (SVB) under title VIII of the Social Security Act (the Act). The title VIII program was effective in May 2000 and provides monthly benefits to certain World War II (WWII) veterans who previously were eligible for supplemental security income (SSI) payments under title XVI of the Act and reside outside the United States. In these final rules, we are setting forth six new subparts that deal with the following topics: the events you must report to us after you apply for SVB, the circumstances that will affect your SVB entitlement, how we handle overpayments and underpayments under the SVB program, how the administrative review process works, your right to appoint someone to represent you in your dealings with us, and administration agreements we may enter into with a State under which we will pay supplemental recognition payments to you on the State's behalf.
In addition, we are reserving for future use a subpart in part 408 that would explain when we will pay your SVB to someone else on your behalf. An NPRM that included that subpart was published in the
These final rules are effective on June 9, 2004.
Robert J. Augustine, Social Insurance Specialist, Office of Regulations, Social Security Administration, Room 100, Altmeyer Building, 6401 Security Boulevard, Baltimore, Maryland 21235-6401, (410) 965-0020 or TTY (410) 966-5609. For information on eligibility or filing for benefits: Call our national toll-free number, 1-800-772-1213 or TTY 1-800-325-0778 or visit our Internet Web site, Social Security Online, at
Section 251 of the Foster Care Independence Act of 1999 (Public Law No. 106-169), enacted on December 14, 1999, added a new title VIII to the Act (Special Benefits for Certain World War II Veterans). Title VIII requires SSA to pay special veteran's benefits (SVB) to certain WWII veterans who reside outside the United States. Establishing SVB entitlement is a two-step process: first, you need to show that you meet certain qualifying requirements; second, once we determine that you qualify for SVB, you will be entitled to SVB payments after you begin residing outside the U.S.
On April 4, 2003, we published final rules that set forth the rules we follow in determining whether you qualify for SVB, how you file for benefits, what evidence you must give us in connection with your claim and how we evaluate that evidence, and how we compute and pay SVB (67 FR 55774). We are now adding six subparts in part 408 that provide additional guidelines for the title VIII program with respect to the topics discussed below, and reserve for future use a subpart on representative payment in the title VIII program.
Section 806 of the Act directs SSA to prescribe requirements related to the reporting of any events and changes in circumstances that may affect the amount of, your qualification for, or your continuing entitlement to receive SVB. Among the events and changes in circumstances that could affect the amount of, your qualification for, or your continuing entitlement to receive SVB and which therefore need to be reported to us are:
• You change your mailing address or the address where you live.
• You plan to return to the United States to live on a permanent basis or you plan to visit the United States for more than one full calendar month. To receive SVB, you must be residing outside the United States. If you return to the U.S. on a permanent basis, we need to stop your SVB payments effective with the first full calendar month you begin residing in the United States. Although SVB is payable if you return to the United States for a temporary visit of less than one calendar month, your benefits may be suspended if you remain in the United States for more than one full calendar month. There are exceptions if you are unable to return to your foreign residence because of circumstances beyond your control or you are in the United States to present evidence or testimony in the appeal of a claim under any of the programs we administer.
• The amount of your other benefit income changes. Since the full SVB is reduced by the amount of any other benefit income you receive, a change in the amount of other benefit income you receive could result in an increase or decrease in the amount of the SVB we pay you.
• You die or your representative payee dies. If you die, your SVB entitlement ends. If your representative payee dies, we need to locate a new payee to receive your SVB payments on your behalf.
• Any of the SVB disqualifying events listed in section 804 of the Act occurs. This includes removal or deportation from the United States; fleeing from the United States to avoid prosecution, or custody or confinement after conviction, under the laws of the United States or the jurisdiction in the United States from which you flee, for a crime or an attempt to commit a crime that is a felony or, in the State of New Jersey, is a high misdemeanor; violating a condition of probation or parole imposed under Federal or State law; or, in the case of an individual who is not a citizen or national of the United States, taking up residence in a country to which payments are withheld by the Treasury Department (Treasury) under 31 U.S.C. 3329. If a disqualifying event occurs and we have not yet found you qualified for SVB, we will deny your SVB claim. If we found you met all the requirements for SVB when the disqualifying event occurs, we will suspend your SVB payments.
Section 810(d) of the Act authorizes the Commissioner of SSA to prescribe appropriate regulations for suspending SVB payments and terminating SVB entitlement. Once you are qualified for SVB, we will suspend your SVB payments if:
• You are no longer residing outside the United States;
• You fail to give us information we need in connection with your claim;
• We are unable to locate you;
• The amount of your other benefit income increases so that it exceeds the maximum SVB payable (75 percent of the SSI Federal Benefit Rate (FBR) payable to an individual);
• You are removed (including deported) from the United States pursuant to section 237(a) or 212(a)(6)(A) of the Immigration and Nationality Act;
• You are fleeing to avoid prosecution, or custody or confinement after conviction, under the laws of the United States or the jurisdiction in the United States from which you fled, for a crime or an attempt to commit a crime that is a felony under the laws of the place from which you fled, or in the case of the State of New Jersey, is a high misdemeanor;
• You violate a condition of probation or parole imposed under Federal or State law; or
• You are not a citizen or national of the United States and begin residing in a country to which payments to residents of that country are withheld by the Treasury Department under 31 U.S.C. 3329.
We will terminate your SVB entitlement for any one of the following reasons:
• Your benefit payments are suspended for 12 consecutive calendar months;
• You file a written request that we terminate your entitlement; or
• You die.
Section 808 of the Act deals with overpayments and underpayments under the SVB program. With respect to overpayments, section 808 authorizes the Commissioner to recover an SVB overpayment by reducing the amount of any future SVB payments you are due unless you refund the full amount of the overpayment to us. If we are unable to recover the overpayment by direct refund or benefit withholding (for example, because your SVB payments are in suspense), section 808 authorizes us to adjust the amount of any social security benefits you receive under title II of the Act. We will also notify the Secretary of the Treasury to withhold the overpayment from any Federal income tax refund you may be due in the future, as authorized under 31 U.S.C. 3720A. Section 808(c) of the Act further stipulates that there will be no adjustment of benefits or other overpayment recovery if you were without fault in creating the overpayment and adjustment or recovery would defeat the purpose of title VIII or be against equity and good conscience. If you die and have an outstanding SVB overpayment, we will seek refund of the overpayment from your estate.
With respect to underpayments, section 808 specifies that, if you are living at the time we take action on the underpayment, we will pay the amount due directly to you or to your representative payee, if one has been appointed. If you die before we make the payment to you, the amount due reverts to the general fund of the United States Treasury.
Section 809 of the Act gives you the right to request that we review our determinations about your qualification for or entitlement to or the amount of your SVB payments. We also give you the right to request review of certain other determinations we make that you disagree with. We refer to determinations on which you may request administrative review as “initial determinations.” Our administrative review process consists of several steps, which usually must be requested within certain time periods and in the following order:
• Reconsideration;
• Hearing before an administrative law judge (ALJ); and
• Appeals Council (AC) review.
Titles II and XVI of the Act contain detailed provisions on claimant representation that give individuals the right to select another person (including an attorney) to represent them in their dealings with us and that regulate many aspects of that relationship. Though title VIII contains no specific provisions on claimant representation, we propose to extend to the SVB program by regulation many of the rules we follow on claimant representation in the SSI program. Specifically, we believe the SSI rules on the appointment, authority, conduct, and standards of responsibility of a representative should also apply to the SVB program. We also believe that the SSI rules we follow when a representative violates any of these requirements, rules, or standards should apply to a representative under the SVB program. However, we do not plan to extend to the title VIII program the SSI rules that apply to fees a representative may charge.
Section 810A of the Act authorizes SSA to enter an agreement with any State (or one of its political subdivisions) that provides cash payments (referred to as State recognition payments) on a regular basis to individuals who are entitled to SVB under which SSA will make the payments on behalf of the State. Under section 810A, any State that enters into an agreement must pay to SSA an amount equal to the recognition payments made on its behalf as well as a separate fee to cover SSA's costs of administering the State program.
We are adding six new subparts to part 408 of our regulations and reserving an additional subpart for future use. Following is a list of the new subparts that includes a brief description of each section in the subpart. We are also revising § 408.101 to add these new subparts to the overview of part 408.
We reserve for future use subpart F in part 408 for our rules on representative payment of SVB. An NPRM that included that proposed subpart F was published in the
This subpart explains which events you must report to us after you file for SVB, what information your reports must include, and when your reports are due. Specifically:
• Section 408.701 provides an overview of what subpart G is about.
• Section 408.704 explains that you are responsible for making your own reports if you receive your own benefits. If you have a representative payee, you or your representative must make the required reports, unless you have been legally adjudged incompetent. In that case, your representative payee is responsible for making required reports to us.
• Section 408.708 describes the events you must report to us.
• Section 408.710 describes the information that you must include in your report. This includes the name and social security number of the person about whom you are making the report, the event you are reporting and the date the event occurred, and your name, if you are not the beneficiary.
• Section 408.712 explains that you can make your report in writing, orally,
• Section 408.714 explains that you should report an event as soon as a reportable event (described in § 408.708) occurs or, in cases where we request a report, within 30 days of our written request. If you fail to make a required report within the prescribed period, we may suspend your benefit payments.
This subpart explains the events that will cause us to suspend your SVB payments or terminate your SVB entitlement. Specifically:
• Section 408.801 provides an overview of what subpart H is about.
• Section 408.802 explains when suspension of your SVB payments is proper and when we will resume your payments.
• Section 408.803 explains the circumstances under which we will suspend your SVB payments for failing to comply with our request for necessary information.
• Section 408.806 explains the circumstances under which we will suspend your SVB payments because you are no longer residing outside the United States.
• Section 408.808 explains the circumstances under which we will suspend your SVB payments because your other benefit income exceeds the maximum SVB payable.
• Section 408.809 explains the circumstances under which we will suspend your SVB payments because you have been removed (including deported) from the United States under sections 237(a) or 212(a)(6)(A) of the Immigration and Nationality Act.
• Section 408.810 explains the circumstances under which we will suspend your SVB payments if you are fleeing the United States to avoid criminal prosecution or custody or confinement after a U.S. conviction for certain crimes or if you violate a condition of probation or parole under Federal or State law.
• Section 408.812 explains the circumstances under which we will suspend your SVB payments if you begin residing in a country to which payments are withheld by the Treasury Department under 31 U.S.C. 3329. This section only applies to you if you are not a citizen or national of the United States.
• Section 408.814 explains that you (or your representative payee) can request that your SVB entitlement be terminated. It also explains when your entitlement would end based on your request and the circumstances under which you would be required to repay benefits you have already received.
• Section 408.816 explains that SVB entitlement ends with the month of death.
• Section 408.818 explains that your SVB entitlement will terminate if your SVB payments have been in suspense for 12 consecutive months.
• Section 408.820 explains that, whenever we plan to suspend or reduce your SVB payments or terminate your SVB entitlement, we will send you a notice of our intended action. The notice would explain your right to appeal that action and the time frames within which your appeal must be filed. The notice will also explain if you have a right to continue receiving benefits while you appeal the suspension, reduction or termination action, and your right to waive continued payment during your appeal.
This subpart sets forth the rules we will follow when you receive more or less than you should have in SVB payments. These final rules are similar in many respects to the rules we currently follow in dealing with overpayments and underpayments under the titles II and XVI programs. Specifically:
• Section 408.900 provides an overview of what is covered in subpart I.
• Section 408.901 defines “underpayment”—payment of less than the amount due for a given period.
• Section 408.902 defines “overpayment”—payment of more than the amount due for a given period.
• Section 408.903 explains how we determine the amount that you are underpaid or overpaid. It also explains that there cannot be an underpayment for a period in which we paid more than the correct amount, even though we waived recovery of any overpayment for that period.
• Section 408.904 explains that, if you are underpaid, the amount due will be paid to you in a separate payment or by increasing the amount of your monthly SVB payment. It also explains that, if you die before we pay you any part of an underpayment, the balance of the underpayment reverts to the U.S. Treasury.
• Section 408.905 explains that we will withhold or adjust an underpayment due you for a period to reduce any overpayment to you for a different period.
• Section 408.910 explains the circumstances under which we will waive adjustment or recovery of an overpayment. Specifically, we will waive adjustment or recovery if you were without fault in connection with the overpayment and recovery of the overpayment would defeat the purpose of the SVB program or be against equity and good conscience. These are the same criteria we use to determine whether we can waive recovery of an overpayment under the title II program.
• Section 408.911 explains that, when we waive recovery of an overpayment, this frees you from having to repay the overpaid amount.
• Section 408.912 explains how we determine whether you were without fault in creating an overpayment.
• Section 408.913 explains how we determine whether recovery of an overpayment would defeat the purpose of the SVB program.
• Section 408.914 explains the criteria we use to determine whether recovery of an overpayment would be against equity and good conscience.
• Section 408.918 explains that when you receive more or less than the correct amount of SVB, we will send you a notice about the incorrect payment. If you are overpaid, the notice will tell you about recovery of the overpayment and of your rights to appeal the overpayment determination and to request that we waive recovery of the overpayment.
• Section 408.920 explains that we will seek refund of the overpayment if we do not waive recovery. We will seek refund from your estate if you die before we recover the full amount of the overpayment.
• Section 408.922 explains that, if you are overpaid, have not refunded the overpayment to us, and are receiving SVB payments, we will adjust your future payments to recover the overpayment.
• Section 408.923 explains that, in adjusting your SVB payments to recover an overpayment, the amount that we will withhold is limited to 10 percent of the maximum SVB monthly payment amount. This section also explains that you have the right to request a higher or lower rate of withholding and explains how we determine an appropriate lower rate of withholding when you request a lower rate. If we find that you engaged in fraud, misrepresentation or concealment of material information in connection with the overpayment, we will not limit the amount we will withhold from SVB each month.
• Section 408.930 explains that, if you received an SVB overpayment that you have not refunded to us and you are not currently receiving SVB payments, but are receiving title II benefits, we will adjust your title II benefits to recover the
• Section 408.931 explains that the rate of withholding we will use to recover an SVB overpayment from your title II benefits is limited to 10 percent of title II benefits payable to you in a month except that we will withhold 100 percent of your benefits if you willfully misrepresented or concealed material information in connection with the overpayment. This section also explains that you may request a higher or lower rate of withholding.
• Section 408.932 explains that we will send you a notice if we plan to adjust your title II benefits to recover an SVB overpayment. The notice will tell you (1) the amount of the overpayment that you owe, (2) the amount we plan to withhold from your title II benefits to recover the overpayment, (3) that you can ask us to review our determination that you still owe the amount stated in the notice, (4) that you may request a different rate of withholding, and (5) that you can request a waiver of recovery of the overpayment balance.
• Section 408.933 explains when we will begin adjusting your title II benefits to recover an SVB overpayment. We will not take any action for 30 days after the date of the notice. If you request review, waiver or a different rate of adjustment during that 30-day period, we will take no action before we send you written notice of our decision on the matter.
• Section 408.940 explains that, where an overpaid person does not refund an overpayment to us and is not currently receiving title II or SVB payments from which we can withhold the overpayment, we will refer the overpayment to the Department of the Treasury for withholding from any Federal income tax refund you may be due. We inadvertently omitted the reference to title II from the version of § 408.940 that was published in the Notice of Proposed Rulemaking (NPRM). We have inserted that reference into the final regulation.
• Section 408.941 explains that we will send you a notice before we refer an overpayment to Treasury for tax refund offset. The notice will (1) tell you the amount of the overpayment, (2) give you 60 days within which to either repay the amount or ask that we waive it, (3) explain the conditions under which we will waive the overpayment, (4) explain that we will review any evidence you wish to present that the overpayment is not past due or legally enforceable, and (5) explain your right to inspect or copy our records related to the overpayment.
• Section 408.942 explains that, before we refer an overpayment to Treasury for tax refund offset, you will have the chance to submit evidence that the debt is not past due or legally enforceable. After reviewing the evidence submitted, we will issue our written findings.
• Section 408.943 explains that we will issue written findings to you, your attorney or other representative concerning whether the overpayment is past due and legally enforceable. These written findings are the final agency action on these issues.
• Section 408.944 explains that, if you tell us you wish to inspect or copy our records related to the overpayment, we will either notify you of the time and place you may do so or mail copies of the records to you.
• Section 408.945 explains that if, within 60 days after the date of the notice, you present evidence that the overpayment is not past-due or legally enforceable or ask us to waive collection of the overpayment, we will not refer the overpayment to Treasury for offset until we issue written findings on the matter.
• Section 408.946 explains that if a tax refund is insufficient to recover an overpayment in a given year, the case will remain with Treasury for recovery from future income tax refunds you may be due.
• Section 408.950 explains that, when appropriate, we may accept a compromise settlement (payment of less than the full amount of the overpayment) to discharge the entire overpayment debt or we may suspend or terminate our efforts to collect the overpayment. We would consider taking one of these actions if we find that you or your estate do not have the ability to pay the full amount of the overpayment presently or in the future within a reasonable period of time or that the cost of collection is likely to exceed the amount of recovery. In deciding whether to take any of these actions, we would apply the rules that we apply concerning such actions for title II overpayments at § 404.515(b)-(f) and other applicable rules, including the Federal Claims Collection Standards (FCCS) at 31 CFR 900.3 and parts 902 and 903, established under the authority of 31 U.S.C. 3711(a)(d). We added a reference to 31 CFR 900.3 to the citation to the FCCS in the final regulations. This reference was inadvertently omitted from the NPRM. If we suspend or terminate collection, we may take collection action in the future in accordance with Federal law and the FCCS. Failure to make payment in the manner and within the time that we require in a compromise settlement will result in reinstatement of our claim for the full amount of the overpayment less any amounts paid.
This subpart sets forth our rules on administrative review of SVB initial determinations. Again, as with our rules in subpart I on overpayments, these rules follow closely our rules on administrative review of titles II and XVI initial determinations. Regarding the expedited appeals process, administrative law judge hearings, Appeals Council review of ALJ hearings or dismissals, Court remand cases, and time limits for reopening a final determination we previously made, these final rules provide cross-references to the appropriate SSI rules while noting any exceptions in those rules that are applicable to the title VIII program. Specifically:
• Section 408.1000 provides an overview of the administrative review process.
• Section 408.1001 defines certain terms used in subpart J.
• Section 408.1002 explains that initial determinations are the determinations we make that are subject to administrative and judicial review.
• Section 408.1003 lists administrative decisions we make that are initial determinations.
• Section 408.1004 lists administrative actions that are not initial determinations. Although we may review these actions, they are not subject to the administrative and judicial review process.
• Section 408.1005 explains that we will mail you a notice whenever we make an initial determination in your case. The notice will tell you what our determination is, our reasons for making the determination, and your right to request a reconsideration of the determination.
• Section 408.1006 explains that an initial determination is binding unless you request a reconsideration within the stated time period or we revise it.
• Section 408.1007 explains that reconsideration is the first step in the administrative review process if you are dissatisfied with the initial determination.
• Section 408.1009 explains that you must file a request for reconsideration within 60 days after you receive our notice of initial determination. This section also explains that you may ask for more time to request a reconsideration if you had good cause for missing the 60-day deadline.
• Section 408.1011 explains the standards we follow in determining whether you had good cause for missing the 60-day deadline to request a review.
• Section 408.1013 explains that, in requesting a review of our initial determination, you can ask for a case review or, in cases involving suspension, reduction, or termination of your SVB payments, an informal or formal conference. If you request a case review, you will be given the opportunity to review the evidence in our files and then present oral and written evidence to us. If you are permitted to request an informal conference, you will also have the opportunity to present witnesses. If you are permitted to request a formal conference, you will also be given the opportunity to request us to subpoena adverse witnesses and relevant documents and to cross-examine adverse witnesses.
• Section 408.1014 explains that, if you request a review of our initial determination on your application to receive SVB, you may elect only a case review.
• Section 408.1015 explains that, if we notify you that we plan to suspend, reduce or terminate your SVB payments, you have the choice of a case review, an informal conference, or a formal conference.
• Section 408.1016 explains the rules we follow if you request a formal or informal conference.
• Section 408.1020 explains how we make a reconsidered determination and that the person who makes it will have no prior involvement with the initial determination.
• Section 408.1021 explains that a reconsidered determination is binding unless you request the next stage of the administrative review process within the stated time.
• Section 408.1022 explains that we will send you a notice of our reconsidered determination that explains the reasons for our determination and your further appeal rights.
• Section 408.1030 provides a cross-reference to the SSI rules in §§ 416.1423-416.1428 that explain when you may use the expedited appeals process (EAP). Under the EAP, you may go directly to a Federal District Court without first completing the administrative review process if the only factor preventing a determination that is favorable to you is a provision of the law you believe is unconstitutional.
• Section 408.1040 provides a cross-reference to the SSI rules in §§ 416.1429-416.1440 that describe hearings before an ALJ and explain when you may request an ALJ hearing. As explained in § 416.1436, we hold ALJ hearings in the 50 States, the District of Columbia and the Northern Mariana Islands.
• Section 408.1045 provides a cross-reference to the SSI rules in §§ 416.1444-416.1461 that describe additional procedures that apply when you request a hearing before an ALJ.
• Section 408.1050 provides a cross-reference to the SSI rules in §§ 416.1467-416.1482 that describe procedures before the Appeals Council and explain when you may request Appeals Council review of an ALJ decision.
• Section 408.1060 provides a cross-reference to the SSI rules in §§ 416.1483-416.1485 that explain what happens if a Federal Court remands your case back to SSA for further review.
• Section 408.1070 provides a cross-reference to the SSI rules in §§ 416.1487-416.1494 that explain the circumstances under which we will reopen and revise a final determination we previously made on your request for review.
As explained above, we believe that a number of the SSI provisions on representation of parties should also apply under the SVB program. Section 408.1101, therefore, explains that, for purposes of claimant representation under the SVB program, we will follow the rules in §§ 416.1500-416.1505, 416.1507-416.1515 and 416.1540-416.1599 of our SSI rules.
This subpart sets forth our rules on Federal administration of a State's recognition payment program. Specifically:
• Section 408.1201 explains what State recognition payments are.
• Section 408.1205 explains that a State may enter into an agreement with SSA under which SSA will administer the State's recognition payment program by determining your eligibility for the payments and by making recognition payments on the State's behalf.
• Section 408.1210 explains that a Federal-State agreement must, at a minimum, specify who is eligible for recognition payments; what fees the State must pay to SSA to administer the program; how long the agreement is valid; and how the agreement can be modified or terminated.
• Section 408.1215 explains how you establish eligibility for State recognition payments. Under this section, your application for SVB under subpart C of this part is also an application for any Federally administered State recognition payments for which you may be eligible. We determine your eligibility for and the amount of your recognition payments using the rules in subparts A through K of part 408 of our regulations.
• Section 408.1220 explains that we pay State recognition payments on a monthly basis and include them with your SVB monthly payment.
• Section 408.1225 explains that if you receive an overpayment of State recognition payments, we will adjust future recognition payments to which you are entitled. Under this section, the rules we follow on recovery (or waiver) of SVB overpayments (see §§ 408.910 through 408.941) also apply to State recognition payments.
• Section 408.1226 explains that, if you are underpaid, we will pay the underpayment directly to you.
• Section 408.1230 explains that you can waive your right to State recognition payments by making a written request.
• Section 408.1235 explains that a State must transfer to SSA each month the amounts of its estimated recognition payments and administrative fees on the established transfer date. This section also provides for SSA to account for the funds it receives from the State and permits the State to audit the payments we make under the agreement.
As indicated above, § 408.930 of these final rules reflects the authority in section 808(a)(1)(B) of the Act to adjust your title II benefits to recover a title VIII overpayment. To conform to this change, we are also revising our title II rules at § 404.401(c) to explain that we may adjust your title II benefits to recover a title VIII overpayment. The NPRM also included a proposed revision to § 416.570 to indicate that we will not adjust your SSI benefits to recover an SVB overpayment unless you specifically request us to do so. However, this revision was previously made in final rules that were published on June 4, 2002 (67 FR 38383). We have, therefore, removed this duplicate revision from these final rules.
On November 5, 2003, we published proposed rules in the
We have consulted with the Office of Management and Budget (OMB) and determined that these final rules do not meet the criteria for a significant regulatory action under Executive Order 12866, as amended by Executive Order 13258. Thus, they were not subject to OMB review.
We have also determined that these final rules meet the plain language requirement of Executive Order 12866 as amended by Executive Order 13258.
We certify that these final rules will not have a significant impact on a substantial number of small entities since they affect only individuals claiming benefits under title VIII of the Act. Therefore, a regulatory flexibility analysis, as provided for in the Regulatory Flexibility Act, as amended, is not required.
The Paperwork Reduction Act (PRA) of 1995 specifies that no one is required to respond to a collection of information unless it displays a valid OMB control number. In accordance with the PRA, SSA is providing notice that OMB has approved the information collection requirements contained in 20 CFR 408, subparts G, H, I, J and L of these final rules. The OMB Control Number for these collections is 0960-0683, expiring January 31, 2007.
Administrative practice and procedure; Death benefits; Blind, Disability benefits; Old-Age, Survivors and Disability Insurance; Reporting and recordkeeping requirements, Social Security.
Administrative practice and procedure; Aged; Reporting and recordkeeping requirements, Social security; Special veterans benefits; Veterans.
Secs. 202, 203, 204(a) and (e), 205(a) and (c), 222(b), 223(e), 224, 225, 702(a)(5), 808 and 1129A of the Social Security Act (42 U.S.C. 402, 403, 404(a) and (e), 405(a) and (c), 422(b), 423(e), 424a, 425, 902(a)(5), 1008 and 1320a-8a).
(c)
Secs. 702(a)(5) and 801-813 of the Social Security Act (42 U.S.C. 902(a)(5) and 1001-1013).
(f) Subpart F is reserved for future use.
(g) Subpart G contains the provisions on your requirement to report certain events to us.
(h) Subpart H contains the provisions on suspension and termination of title VIII entitlement.
(i) Subpart I contains the provisions on underpayments and overpayments.
(j) Subpart J contains the provisions on determinations and the administrative review process.
(k) Subpart K contains the provisions on claimant representation.
(l) Subpart L contains the provisions on Federal administration of State recognition payments.
Secs. 702(a)(5), 802, 803, 804, 806, 807, and 810 of the Social Security Act (42 U.S.C. 902(a)(5), 1002, 1003, 1004, 1006, 1007, and 1010).
To achieve efficient administration of the Special Veterans Benefit (SVB) program, we require you (or your representative) to report certain events to us. It is important for us to know about these events because they may affect your right to receive SVB or the amount of your benefits. This subpart tells you what events you must report; what your reports must include; how you should make your report; and when reports are due.
(a) If you receive your own benefits, you are responsible for making required reports to us.
(b) If you have a representative payee, and you have not been legally adjudged incompetent, either you or your representative payee must make the required reports.
(c) If you have a representative payee and you have been legally adjudged incompetent, you are not responsible for making reports to us; however, your representative payee is responsible for making required reports to us.
This section describes the events that you must report to us. They are—
(a)
(b)
(c)
(2) If you have a representative payee, you must report the death of your representative payee.
(d)
(e)
(f)
(1) Fleeing to avoid prosecution, under the laws of the United States or the jurisdiction within the United States from which you flee, for a crime, or an attempt to commit a crime, which is a felony under the laws of the place from which you flee (or which, in the case of the State of New Jersey, is a high misdemeanor under the laws of that State);
(2) Fleeing to avoid custody or confinement after conviction under the laws of the United States or the jurisdiction within the United States from which you flee, for a crime, or an attempt to commit a crime, which is a felony under the laws of the place from which you flee (or which, in the case of the State of New Jersey, is a high misdemeanor under the laws of that State); or
(3) Violating a condition of probation or parole imposed under Federal or State law.
When you make a report, you must tell us—
(a) The name and social security number of the person to whom the report applies;
(b) The event you are reporting and the date it happened; and
(c) Your name if you are not the person to whom the report applies.
You should make your report in any of the ways described in this section.
(a)
(b)
(c)
(a)
(b)
Secs. 702(a)(5) and 810(d) of the Social Security Act (42 U.S.C. 902(a)(5) and 1010(d)).
This subpart explains the circumstances that will result in suspension of your SVB payments or termination of your SVB entitlement.
(a)
(b)
(a)
(b)
(c)
(a)
(b)
(a)
(b)
(a)
(b)
(a)
(1) Fleeing to avoid prosecution under the laws of the United States or the jurisdiction within the United States from which you flee for a crime, or attempt to commit a crime, that is a felony under the laws of the place from which you flee (or that, in the case of the State of New Jersey, is a high misdemeanor under the laws of that State); or
(2) Fleeing to avoid custody or confinement after conviction under the laws of the United States or the jurisdiction within the United States from which you flee, for a crime, or an attempt to commit a crime, that is a felony under the laws of the place from which you flee (or that, in the case of the State of New Jersey, is a high misdemeanor under the laws of that State); or
(3) Violating a condition of probation or parole imposed under Federal or State law.
(b)
(1) The month in which a warrant or order for your arrest or apprehension, an order requiring your appearance before a court or other appropriate tribunal (
(i) Are fleeing, or have fled, to avoid prosecution as described in paragraph (a)(1) of this section;
(ii) Are fleeing, or have fled, to avoid custody or confinement after conviction as described in paragraph (a)(2) of this section;
(iii) Are violating, or have violated, a condition of your probation or parole as described in paragraph (a)(3) of this section; or
(2) The first month during which you fled to avoid such prosecution, fled to avoid such custody or confinement after conviction, or violated a condition of your probation or parole, if indicated in such warrant or order, or in a decision by a court or other appropriate tribunal in the United States.
(c)
(a)
(b)
You, your legal guardian, or your representative payee, may voluntarily terminate your SVB entitlement by filing a written request for termination. If your representative payee requests termination, it must be shown that no hardship would result to you if the request is processed. When a termination request is filed, your SVB entitlement ends effective with the month following the month you file your request with us unless you specify some other month. However, we will not terminate your entitlement for any month for which payment has been or will be made unless you repay (or there is an assurance you will repay) any amounts paid for those months. When we process a voluntary request for termination of your SVB entitlement, we will send you a notice of our determination in accordance with § 408.1005. Once terminated, your entitlement can be reestablished only if you file a new application, except as provided by § 408.1009.
Your SVB entitlement ends with the month in which you die. Payments are terminated effective with the month after the month of death.
We will terminate your SVB entitlement following 12 consecutive months of benefit suspension for any reason beginning with the first month you were no longer entitled to SVB. We will count the 12-month suspension period from the start of the first month that you are no longer entitled to SVB (
(a)
(b)
(c)
Secs. 702(a)(5) and 808 of the Social Security Act (42 U.S.C. 902(a)(5) and 1008); 31 U.S.C. 3720A.
This subpart explains what happens when you receive less or more than the correct amount of SVB than you are entitled to receive. Sections 408.901 through 408.903 define overpayment and underpayment and describe how we determine the amount of the overpayment or underpayment. When you receive less than the correct amount of SVB (which we refer to as an underpayment), we will take the actions described in §§ 408.904 and 408.905. Waiver of recovery of overpayments (payments of more than the correct amount) is discussed in §§ 408.910 through 408.914, and the methods we use to recover overpayments are discussed in §§ 408.920 through 408.946. In § 408.950, we explain when we will accept a compromise settlement of an overpayment or suspend or terminate collection of an overpayment.
(a) An underpayment can occur only with respect to a period for which you filed an application for benefits and met all conditions of eligibility for benefits.
(b) An underpayment is:
(1) Nonpayment, where payment was due but was not made; or
(2) Payment of less than the amount due for a period.
(c) For purposes of this section, payment has been made when certified by the Social Security Administration to the Department of the Treasury. Payment is not considered to have been made where payment has not been received by the designated payee, or where payment was returned.
As used in this subpart, the term overpayment means payment of more than the amount due for any period. For purposes of this section, payment has been made when certified by the Social Security Administration to the Department of the Treasury. Payment is not considered to have been made where payment has not been received by the designated payee, or where payment was returned.
(a)
(b)
(c)
We will pay you the amount of any underpayment due you in a separate payment or by increasing the amount of your monthly payment. If you die before we pay you all or any part of an underpayment, the balance of the underpayment reverts to the general fund of the U.S. Treasury.
We will withhold or adjust any underpayment due you to reduce any overpayment to you that we determine for a different period, unless we have waived recovery of the overpayment under the provisions of §§ 408.910 through 408.914.
We will waive recovery of an overpayment when:
(a) You are without fault in connection with the overpayment, and
(b) Recovery of such overpayment would either:
(1) Defeat the purpose of the title VIII program, or
(2) Be against equity and good conscience.
Waiver of recovery of an overpayment from you (or, after your death, from your estate) frees you and your estate from the obligation to repay the amount of the overpayment covered by the waiver.
(a)
(b)
(1) Your failure to furnish information which you knew or should have known was material;
(2) An incorrect statement you made which you knew or should have known was incorrect (this includes furnishing your opinion or conclusion when you were asked for facts), or
(3) You did not return a payment, which you knew, or could have been expected to know, was incorrect.
We will waive recovery of an overpayment when you are without fault (as defined in § 408.912) and recovery of the overpayment would defeat the purpose of the title VIII program. Recovery of an overpayment would defeat the purpose of the title VIII program to the extent that our recovery action would deprive you of income and resources you need to meet your ordinary and necessary living expenses as described in § 404.508(a) of this chapter.
We will waive recovery of an overpayment when you are without fault (as defined in § 408.912) and recovery would be against equity and good conscience. Recovery would be against equity and good conscience if you changed your position for the worse or gave up a valuable right in reliance on our notice that payment would be made or because of the incorrect payment itself.
(a)
(b)
We will seek refund of an SVB overpayment in every case in which we have not waived recovery. An overpayment may be refunded by you or by anyone on your behalf. If you are receiving SVB currently and you have not refunded the overpayment, adjustment as set forth in § 408.922 will be proposed. If you die before we recover the full overpayment, we will seek refund of the balance from your estate.
If you do not refund your overpayment to us, and waiver of recovery is not applicable, we will adjust any SVB payments due you to recover the overpayment. Adjustment will generally be accomplished by withholding each month the amount set forth in § 408.923 from the benefit payable to you.
(a)
(b) Your right to request a different rate of withholding. When we notify you of the rate we propose to withhold from your monthly SVB payment, we will give you the opportunity to request a higher or lower rate of withholding than that proposed. If you request a rate of withholding that is lower than the one established under paragraph (a) of this section, we will set a rate that is appropriate to your financial condition after we evaluate all the pertinent facts. An appropriate rate is one that will not deprive you of income required for ordinary and necessary living expenses. We will evaluate your income, resources, and expenses as described in § 404.508 of this chapter.
(c)
(a)
(b)
(c)
(1) You are refunding your SVB overpayment by regular monthly installments, or
(2) We are recovering a title II overpayment by adjusting your title II benefits, or
(3) We are recovering a title XVI overpayment by adjusting your title II benefits under § 416.572 of this chapter.
(a)
(b)
(c)
Before we collect an SVB overpayment by adjusting your title II benefits, we will send you a written notice that tells you the following information:
(a) We have determined that you owe a specific overpayment balance that can be collected by adjusting your title II benefits;
(b) We will withhold the amount described in § 408.931;
(c) You may ask us to review this determination that you still owe this overpayment balance;
(d) You may request that we withhold a different amount (this notice will not include this paragraph when § 408.931(c) applies); and
(e) You may ask us to waive collection of this overpayment balance.
We will begin adjusting your title II benefits no sooner than 30 calendar days after the date of the notice described in § 408.932.
(a) If within that 30-day period you pay us the full overpayment balance stated in the notice, we will not begin adjusting your title II benefits.
(b) If within that 30-day period you ask us to review our determination that you still owe us this overpayment balance, we will not begin adjusting your title II benefits before we review the matter and notify you of our decision in writing.
(c) If within that 30-day period you ask us to withhold a different amount than the amount stated in the notice, we will not begin adjusting your title II benefits until we determine the amount we will withhold. This paragraph does not apply when § 408.931(c) applies.
(d) If within that 30-day period you ask us to waive recovery of the overpayment balance, we will not begin adjusting your title II benefits before we review the matter and notify you of our decision in writing. See §§ 408.910-408.914.
(a)
(b) We will use the Department of the Treasury tax refund offset procedure to collect overpayments that are certain in amount, past due and legally enforceable and eligible for tax refund offset under regulations issued by the Secretary of the Treasury. We will use these procedures to collect overpayments from you only when you are not currently entitled to monthly SVB under title VIII of the Act, and we are not recovering your SVB overpayment from your monthly benefits payable under title II of the Act. We will refer an overpayment to the Secretary of the Treasury for offset against tax refunds no later than 10 years after our right to collect the overpayment first accrued.
We will make a request for collection by reduction of Federal income tax refunds only after we determine that you owe an overpayment that is past due and provide you with 60-calendar days written notice. Our notice of intent to collect an overpayment through Federal income tax refund offset will state:
(a) The amount of the overpayment;
(b) That unless, within 60 calendar days from the date of our notice, you repay the overpayment, send evidence to us at the address given in our notice that the overpayment is not past due or not legally enforceable, or ask us to waive collection of the overpayment under § 408.910, we intend to seek collection of the overpayment by requesting that the Department of the Treasury reduce any amounts payable to you as refunds of Federal income taxes by an amount equal to the amount of the overpayment;
(c) The conditions under which we will waive recovery of an overpayment under section 808(c) of the Act;
(d) That we will review any evidence presented that the overpayment is not past due or not legally enforceable;
(e) That you have the right to inspect and copy our records related to the overpayment as determined by us and you will be informed as to where and when the inspection and copying can be done after we receive notice from you requesting inspection and copying.
(a)
(b)
(c)
(d)
(a) If we make a determination that all or part of the overpayment is past due and legally enforceable and/or your waiver request cannot be granted, we will refer the overpayment to the Department of the Treasury for recovery from any Federal income tax refund due you. We will not suspend our referral of the overpayment to the Department of the Treasury under § 408.945 of this subpart pending any further administrative review of the waiver determination that you may seek.
(b) We will not refer the overpayment to the Department of the Treasury if we reverse our prior finding that the overpayment is past due and legally enforceable or, upon consideration of a waiver request, we determine that waiver of recovery of the overpayment is appropriate.
(a)
(b)
If, within 60 days of the date of the notice described in § 408.941 of this subpart, you notify us that you are exercising a right described in § 408.942(a) of this subpart and submit evidence pursuant to § 408.942(b) of this subpart or request a waiver under § 408.910 of this subpart, we will suspend any notice to the Department of the Treasury until we have issued written findings that affirm that an overpayment is past due and legally enforceable and, if applicable, make a determination that a waiver request cannot be granted.
If your tax refund is insufficient to recover an overpayment in a given year, the case will remain with the Department of the Treasury for succeeding years, assuming that all criteria for certification are met at that time.
(a)
(1) We may accept a compromise settlement (payment of less than the full amount of the overpayment) to discharge the entire overpayment debt.
(2) We may suspend our efforts to collect the overpayment.
(3) We may terminate our efforts to collect the overpayment.
(b)
(c)
Failure to make payment in the manner and within the time that we require in the settlement will result in reinstatement of our claim for the full amount of the overpayment less any amounts paid.
Secs. 702(a)(5) and 809 of the Social Security Act (42 U.S.C. 902(a)(5) and 1009).
(a)
(1)
(2)
(3)
(4)
(5)
(6)
(b)
As used in this subpart:
Date you receive notice means 5 days after the date on the notice, unless you show us that you did not receive it within the 5-day period.
Decision means the decision made by an administrative law judge or the Appeals Council.
Determination means the initial determination or the reconsidered determination.
Mass change means a State-initiated change in the level(s) of federally administered State recognition payments applicable to all recipients of such payments due, for example, to State legislative or executive action.
Remand means to return a case for further review.
SVB, for purposes of this subpart, includes qualification for SVB, entitlement to SVB and payments of SVB.
Vacate means to set aside a previous action.
Waive means to give up a right knowingly and voluntarily.
We, us, or our refers to the Social Security Administration.
You or your refers to any person claiming or receiving SVB.
Initial determinations are the determinations we make that are subject to administrative and judicial review. The initial determination will state the important facts and give the reasons for our conclusions.
Initial determinations regarding SVB include, but are not limited to, determinations about—
(a) Whether you qualify for SVB;
(b) Whether you are entitled to receive SVB payments on the basis of your residence outside the United States;
(c) The amount of your SVB payments;
(d) Suspension or reduction of your SVB payments;
(e) Termination of your SVB entitlement;
(f) Whether an overpayment of benefits must be repaid to us;
(e) Whether payments will be made, on your behalf, to a representative payee, unless you are legally incompetent;
(f) Who will act as your payee if we determine that representative payment will be made;
(g) A claim for benefits under § 408.351 based on alleged misinformation; and
(h) Our calculation of the amount of change in your federally administered State recognition payment amount (
Administrative actions that are not initial determinations may be reviewed by us, but they are not subject to the administrative review process provided by this subpart and they are not subject to judicial review. These actions include, but are not limited to, an action about—
(a) Denial of a request to be made your representative payee;
(b) Denial of your request to use the expedited appeals process;
(c) Denial of your request to reopen a determination or a decision;
(d) Disqualifying or suspending a person from acting as your representative in a proceeding before us;
(e) Denial of your request to extend the time period for requesting review of a determination or a decision;
(f) Denial of your request to readjudicate your claim and apply an Acquiescence Ruling;
(g) Declining under § 408.351(f) to make a determination on a claim for benefits based on alleged misinformation because one or more of the conditions specified in § 408.351(f) are not met;
(h) Findings on whether we can collect an overpayment by using the Federal income tax refund offset procedure. (See § 408.943).
(i) The determination to reduce, suspend, or terminate your federally administered State recognition payments due to a State-initiated mass change, as defined in § 408.1001, in the levels of such payments, except as provided in § 408.1003(h).
(a) We will mail a written notice of the initial determination to you at your last known address. Generally, we will not send a notice if your benefits are stopped because of your death, or if the initial determination is a redetermination that your eligibility for benefits and the amount of your benefits have not changed.
(b) The notice that we send will tell you—
(1) What our initial determination is;
(2) The reasons for our determination; and
(3) What rights you have to a reconsideration of the determination.
(c) If our initial determination is that we must suspend, reduce your SVB payments or terminate your SVB entitlement, the notice will also tell you that you have a right to a reconsideration before the determination takes effect (see § 408.820).
An initial determination is binding unless you request a reconsideration within the stated time period, or we revise the initial determination.
Reconsideration is the first step in the administrative review process that we provide if you are dissatisfied with the initial determination. If you are dissatisfied with our reconsideration determination, you may request a hearing before an administrative law judge.
(a)
(b)
(1) Any of our offices;
(2) The Veterans Affairs Regional Office in the Philippines;
(3) An office of the Railroad Retirement Board if you have 10 or more years of service in the railroad industry; or
(4) A competent authority or agency of a country with which the United States has a totalization agreement (see § 404.1927 of this chapter).
(c)
(a) In determining whether you have shown that you have good cause for missing a deadline to request review we consider—
(1) What circumstances kept you from making the request on time;
(2) Whether our action misled you;
(3) Whether you did not understand the requirements of the Act resulting from amendments to the Act, other legislation, or court decisions; and
(4) Whether you had any physical, mental, educational, or linguistic limitations (including any lack of facility with the English language) which prevented you from filing a timely request or from understanding or knowing about the need to file a timely request for review.
(b) Examples of circumstances where good cause may exist include, but are not limited to, the following situations:
(1) You were seriously ill and were prevented from contacting us in person, in writing, or through a friend, relative, or other person.
(2) There was a death or serious illness in your immediate family.
(3) Important records were destroyed or damaged by fire or other accidental cause.
(4) You were trying very hard to find necessary information to support your claim but did not find the information within the stated time periods.
(5) You asked us for additional information explaining our action within the time limit, and within 60 days of receiving the explanation you requested reconsideration or a hearing, or within 30 days of receiving the explanation you requested Appeals Council review or filed a civil suit.
(6) We gave you incorrect or incomplete information about when and how to request administrative review or to file a civil suit.
(7) You did not receive notice of the initial determination or decision.
(8) You sent the request to another Government agency in good faith within the time limit and the request did not reach us until after the time period had expired.
(9) Unusual or unavoidable circumstances exist, including the circumstances described in paragraph (a)(4) of this section, which show that you could not have known of the need to file timely, or which prevented you from filing timely.
If you request reconsideration, we will give you a chance to present your case. How you can present your case depends upon the issue involved and whether you are asking us to reconsider an initial determination on an application or an initial determination on an SVB suspension, reduction or termination action. The methods of reconsideration include the following:
(a)
(b)
(c)
When you appeal an initial determination on your application for benefits, we will offer you a case review, and will make our determination on the basis of that review.
If you have been entitled to SVB and we notify you that we are going to suspend, reduce or terminate your benefit payments, you can appeal our determination within 60 days of the date you receive our notice. The 60-day period may be extended if you have good cause for an extension of time under the conditions stated in § 408.1011(b). If you appeal, you have the choice of a case review, informal conference or formal conference.
(a) As soon as we receive a request for a formal or informal conference, we will set the time, date and place for the conference. Formal and informal conferences are held only in the United States.
(b) We will send you a written notice about the conference (either by mailing it to your last known address or by personally serving you with it) at least 10 days before the conference. However, we may hold the conference sooner if we all agree. We will not send written notice of the time, date, and place of the conference if you waive your right to receive it.
(c) We will schedule the conference within 15 days after you request it, but, at our discretion or at your request, we will delay the conference if we think the delay will ensure that the conference is conducted efficiently and properly.
(d) We will hold the conference at one of our offices in the United States, by telephone or in person, whichever you prefer. However, if you are outside the United States, we will hold the conference by telephone only if you request that we do so and time and language differences permit. We will hold the conference in person elsewhere in the United States if you show circumstances that make this arrangement reasonably necessary.
After you request a reconsideration, we will review the evidence considered in making the initial determination and any other evidence we receive. We will make our determination based on this evidence. The person who makes the reconsidered determination will have had no prior involvement with the initial determination.
The reconsidered determination is binding unless—
(a) You request a hearing before an administrative law judge within the stated time period and a decision is made;
(b) The expedited appeals process is used; or
(c) The reconsidered determination is revised.
We will mail a written notice of the reconsidered determination to you at your last known address. We will state the specific reasons for the determination and tell you about your right to a hearing. If it is appropriate, we will also tell you how to use the expedited appeals process.
(a)
(b)
(a)
(b)
(a)
(b)
(2) In § 416.1452(a)(1)(i), the words “supplemental security income” are deemed to read “SVB.”
(3) In § 416.1457, the provisions of paragraph (c)(4) do not apply under this part.
(a)
(b)
(2) In § 416.1469(d), the last sentence does not apply under this part.
(3) In § 416.1471, paragraph (b) does not apply under this part.
(4) In § 416.1482, the reference to “§ 416.1411” in the last sentence is deemed to read “§ 408.1011.”
For purposes of this part, we use the same rules on court remand cases that we use in the title XVI program (see §§ 416.1483-416.1485 of this chapter).
(a)
(b)
(i) A clerical error; or
(ii) An error that appears on the face of the evidence that we considered when we made the determination or decision.
(2) In § 416.1492(b), the parenthetical clause is deemed to read “(see § 408.820),” and paragraph (d) does not apply to this part.
(3) In § 416.1494, the words “one of our offices” in the first sentence are deemed to read “any of the offices listed in § 408.1009(b).”
Secs. 702(a)(5) and 810(a) of the Social Security Act (42 U.S.C. 902(a)(5) and 1010(a)).
(a)
(b)
(1) In § 416.1500, paragraph (c) does not apply.
(2) The last sentence of § 416.1503 is deemed to read: “You refers to any person claiming or receiving SVB.”
(3) In § 416.1507(c), the words “one of our offices” are deemed to read “any of the offices listed in § 408.1009(b).”
(4) In § 416.1510(b), the reference to “title XVI of the Act” is deemed to read “title VIII of the Act,” and the reference to “§ 416.315” is deemed to read “§ 408.315.”
(5) In § 416.1540, the parenthetical clause in paragraph (b), the second sentences in paragraphs (b)(1) and (b)(2), and paragraph (c)(2) do not apply, and the references to “§ 416.1411(b)” in paragraphs (c)(4) and (c)(7)(i) are deemed to read “§ 408.1011(b).”
(6) In § 416.1545, paragraph (c) does not apply.
(7) In § 416.1599, paragraph (d) is deemed to read: “The Appeals Council will not grant the request unless it is reasonably satisfied that the person will in the future act according to the provisions of our regulations.”
Secs. 702(a)(5) and 810A of the Social Security Act (42 U.S.C. 902(a)(5) and 1010a).
(a)
(1) As a supplement to monthly SVB payments; and
(2) Regularly, on a periodic recurring, or routine basis of at least once a quarter; and
(3) In cash, which may be actual currency, or any negotiable instrument convertible into cash upon demand.
(b)
A State (or political subdivision) may enter into a written agreement with SSA, under which SSA will make recognition payments on behalf of the State (or political subdivision). The regulations in effect for the SVB program also apply in the Federal administration of State recognition payments except as necessary for the effective and efficient administration of both the SVB program and the State's recognition payment program.
(a)
(b)
(1)
(2)
(i) For fiscal year 2001, $8.10;
(ii) For fiscal year 2002, $8.50; and
(iii) For fiscal year 2003 and each succeeding fiscal year—
(A) The applicable rate in the preceding fiscal year, increased by the percentage, if any, by which the Consumer Price Index for the month of June of the calendar year of the increase exceeds the Consumer Price Index for the month of June of the calendar year preceding the calendar year of the increase, and rounded to the nearest whole cent; or
(B) A different rate if the Commissioner determines the different rate is appropriate for the State considering the complexity of administering the State's recognition payment program.
(c)
(d)
(a)
(b)
(c)
(a)
(b)
(c)
If we determine that you received an overpayment, we will adjust future Federally administered State recognition payments you are entitled to. Our rules and requirements (see §§ 408.910 through 408.941) that apply to recovery (or waiver) of SVB overpayments also apply to the recovery (or waiver) of Federally administered State recognition overpayments. If your entitlement to State recognition payments ends before you have repaid the overpayment, we will annotate your record (specifying the amount of the overpayment) to permit us to recoup the overpaid amount if you become reentitled to recognition payments from the same State.
If we determine that you are due an underpayment of State recognition payments, we will pay the amount you were underpaid directly to you, or to your representative.
(a)
(b)
(a)
(i) An amount of funds equal to SSA's estimate of State recognition payments for any month which will be made by SSA on behalf of such State; and
(ii) An amount of funds equal to SSA's estimate of administration fees for any such month determined in the manner described in § 408.1210(b).
(3) In order for SSA to make State recognition payments on behalf of a State for any month as provided by the agreement, the estimated amount of State funds referred to in paragraph (a)(1)(i) of this section together with the estimated amount of administration fees referred to in paragraph (a)(1)(ii) of this section, for that month, must be on deposit with SSA on the State recognition payment transfer date, which is:
(i) the business day preceding the date that the Commissioner pays such monthly recognition payments; or
(ii) with respect to such monthly payments paid for the month that is the last month of the State's fiscal year, the fifth business day following such date.
(b)
(2) SSA will provide the State with an accounting of State funds received as State recognition payments and administration fees within three calendar months following the termination of an agreement under § 408.1210(d).
(3) Adjustments will be made because of State funds due and payable or amounts of State funds recovered for calendar months for which the agreement was in effect. Interest will be incurred by SSA and the States with respect to the adjustment and accounting of State recognition payments funds in accordance with applicable laws and regulations of the United States Department of the Treasury.
(c)
Office of Management and Budget.
Revisions to OMB Circulars A-21, A-87 and A-122.
The Office of Management and Budget (OMB) amends the cost principles in OMB Circulars A-21, A-87 and A-122. These changes are intended to further the objectives of Public Law 106-107, the Federal Financial Assistance Management Improvement Act, (“the Act”). One of the actions taken by the agencies under the Act was to simplify the cost principles, making the descriptions of similar cost items consistent across the Circulars where possible, and reducing the possibility of misinterpretation.
These final cost principles are effective June 9, 2004.
OMB intends to keep these cost principles current with changes in laws, modifications to accounting standards and advances in technology. If you have comments on ways to improve these principles, please submit your comments to Gilbert Tran, Office of Federal Financial Management, Office of Management and Budget, 725 17th Street, NW., Room 6025, Washington 20503. Due to potential delays in OMB's receipt and processing of mail sent thru the U.S. Postal Service, we encourage you to submit comments electronically to
Gilbert Tran, Office of Federal Financial Management, Office of Management and Budget, (202) 395-3993.
The background for this effort was fully described in the preamble to the proposed changes to the circulars, published in the
Grant recipients deal with increasingly complex problems that require the delivery and coordination of many kinds of services. The support for these services increasingly comes from more than one Federal agency. Grant recipients' need to respond to the numerous Federal grant administration requirements of these agencies and programs only adds to that complexity.
OMB, working with the Department of Health and Human Services as lead agency and the Chief Financial Officers' Council, established an interagency group charged with reviewing the cost principles in Office of Management and Budget Circulars A-21 (A-21), Cost Principles for Educational Institutions, A-87 (A-87), Cost Principles for State, Local and Indian Tribal Governments, and A-122 (A-122), Cost Principles for Non-Profit Organizations. The goal of this group is to ensure that the cost principles in OMB Circulars A-21, A-87, and A-122 are current, consistent, and appropriate for covered recipients. The objectives of the group are to make the descriptions of similar cost items consistent, across the Circulars, where possible, and reduce the possibility of misinterpretation by clarifying existing policies rather than by adding restrictions or modifying current requirements.
When we proposed the changes to the three circulars, we posted them on the OMB Web site (
In addition to comments on the proposed items, we received various comments for improvement to the circulars that were not included in our original proposal. We appreciated these comments. However, these recommendations are beyond the scope of the current project. We will consider them at a later phase of the cost consistency streamlining project.
We received 184 comments on the proposal: 147 from universities, 13 from State and local governments, 8 from Federal agencies, 4 from not-for-profit organizations and 12 other individuals and entities.
We have reviewed and given consideration to each comment in light of the overall objectives and goals of the project. Many comments resulted in changes in the proposed language while other comments resulted in the withdrawal of certain proposals. We believe that the final revisions accomplished our stated objectives to simplify the cost principles, making the description of similar items consistent and reducing the possibility of misunderstanding.
In summary, we made revisions to our proposed language for 24 cost items and withdrew proposed language for 6 cost items. Forty-five of the proposed changes are made final as proposed. The following chart summarizes the final actions to the proposed items. The detailed discussion of the comments and how those comments were resolved are presented on the OMB Web site along with the revised circulars and the final comparison chart.
We amend Circulars A-21, A-87 and A-122 under the following three headings:
1. Revise the table of contents for section J. to read as follows:
2. Redesignate the sections in paragraph J. as follows:
a. Section J.2. is redesignated as section J.3.
b. Section J.3. is redesignated as section J.4.
c. Section J.6. is redesignated as section J.8.
d. Section J.8. is redesignated as section J.10.
e. Section J.40. is redesignated as section J.10.h.
f. Section J.10. is redesignated as section J.12.
g. Section J.11. is redesignated as section J.13.
h. Section J.19. is redesignated as section J.22.
i. Section J.20. is redesignated as section J.23.
j. Section J.21. is redesignated as section J.25.
k. Section J.13. is redesignated as section J.27.
l. Section J.24. is redesignated as section J.28.
m. Section J.25. is redesignated as section J.29.
n. Section J.31. is redesignated as section J.36.
o. Section J.34. is redesignated as section J.38.
p. Section J.37. is redesignated as section J.42.
q. Section J.45. is redesignated as section J.48.
r. Section J.46. is redesignated as section J.49.
s. Section J.47. is redesignated as section J.52.
t. Section J.50. is redesignated as section J.54.
3. Section J.1. is revised to read as follows:
1.
a. The term advertising costs means the costs of advertising media and corollary administrative costs. Advertising media include magazines, newspapers, radio and television, direct mail, exhibits, electronic or computer transmittals, and the like.
b. The term public relations includes community relations and means those activities dedicated to maintaining the image of the institution or maintaining
c. The only allowable advertising costs are those that are solely for:
(1) The recruitment of personnel required for the performance by the institution of obligations arising under a sponsored agreement (See also subsection b. of section J.42, Recruiting.);
(2) The procurement of goods and services for the performance of a sponsored agreement;
(3) The disposal of scrap or surplus materials acquired in the performance of a sponsored agreement except when institutions are reimbursed for disposal costs at a predetermined amount; or
(4) Other specific purposes necessary to meet the requirements of the sponsored agreement.
d. The only allowable public relations costs are:
(1) Costs specifically required by the sponsored agreement;
(2) Costs of communicating with the public and press pertaining to specific activities or accomplishments which result from performance of sponsored agreements (these costs are considered necessary as part of the outreach effort for the sponsored agreement); or
(3) Costs of conducting general liaison with news media and government public relations officers, to the extent that such activities are limited to communication and liaison necessary keep the public informed on matters of public concern, such as notices of Federal contract/grant awards, financial matters,
e. Costs identified in subsections c and d if incurred for more than one sponsored agreement or for both sponsored work and other work of the institution, are allowable to the extent that the principles in sections D. (“Direct Costs”) and E. (“F & A Costs”) are observed.
f. Unallowable advertising and public relations costs include the following:
(1) All advertising and public relations costs other than as specified in subsections 1.c, 1.d, and 1.e;
(2) Costs of meetings, conventions, convocations, or other events related to other activities of the institution, including:
(a) Costs of displays, demonstrations, and exhibits;
(b) Costs of meeting rooms, hospitality suites, and other special facilities used in conjunction with shows and other special events; and
(c) Salaries and wages of employees engaged in setting up and displaying exhibits, making demonstrations, and providing briefings;
(3) Costs of promotional items and memorabilia, including models, gifts, and souvenirs;
(4) Costs of advertising and public relations designed solely to promote the institution.
4. Section J.2. is revised to read as follows:
2. Advisory councils.
Costs incurred by advisory councils or committees are allowable as a direct cost where authorized by the Federal awarding agency or as an indirect cost where allocable to sponsored agreements.
5. Section J.5. is revised to read as follows:
5.
a. The costs of audits required by, and performed in accordance with, the Single Audit Act, as implemented by Circular A-133, “Audits of States, Local Governments, and Non-Profit Organizations” are allowable.
b. Other audit costs are allowable if included in an indirect cost rate proposal, or if specifically approved by the awarding agency as a direct cost to an award.
c. The cost of agreed-upon procedures engagements to monitor subrecipients who are exempted from A-133 under section _.200(d) are allowable, subject to the conditions listed in A-133, section _.230(b)(2).
6. Section J.6. is revised to read as follows:
6.
Bad debts, including losses (whether actual or estimated) arising from uncollectable accounts and other claims, related collection costs, and related legal costs, are unallowable.
7. Section J.7. is revised to read as follows:
7.
a. Bonding costs arise when the Federal Government requires assurance against financial loss to itself or others by reason of the act or default of the institution. They arise also in instances where the institution requires similar assurance. Included are such bonds as bid, performance, payment, advance payment, infringement, and fidelity bonds.
b. Costs of bonding required pursuant to the terms of the award are allowable.
c. Costs of bonding required by the institution in the general conduct of its operations are allowable to the extent that such bonding is in accordance with sound business practice and the rates and premiums are reasonable under the circumstances.
8. Section J.9. is revised to read as follows:
9.
Costs incurred for telephone services, local and long distance telephone calls, telegrams, postage, messenger, electronic or computer transmittal services and the like are allowable.
9. Amend redesignated section J.10. by redesignating former section J.10.f.(4) as section J.10.f.(5), adding a new section J.10.f.(4), and adding a new section J.10.h. to read as follows:
10.
f. Fringe benefits.
(4) Rules for sabbatical leave are as follows:
(a) Costs of leave of absence by employees for performance of graduate work or sabbatical study, travel, or research are allowable provided the institution has a uniform policy on sabbatical leave for persons engaged in instruction and persons engaged in research. Such costs will be allocated on an equitable basis among all related activities of the institution.
(b) Where sabbatical leave is included in fringe benefits for which a cost is determined for assessment as a direct charge, the aggregate amount of such assessments applicable to all work of the institution during the base period must be reasonable in relation to the institution's actual experience under its sabbatical leave policy.
h. Severance pay.
(1) Severance pay is compensation in addition to regular salary and wages which are paid by an institution to employees whose services are being terminated. Costs of severance pay are allowable only to the extent that such payments are required by law, by employer-employee agreement, by established policy that constitutes in effect an implied agreement on the institution's part, or by circumstances of the particular employment.
(2) Severance payments that are due to normal recurring turnover and which otherwise meet the conditions of subsection a may be allowed provided the actual costs of such severance payments are regarded as expenses applicable to the current fiscal year and are equitably distributed among the institution's activities during that period.
(3) Severance payments that are due to abnormal or mass terminations are of such conjectural nature that allowability must be determined on a case-by-case basis. However, the Federal Government recognizes its obligation to participate, to the extent of its fair share, in any specific payment.
(4) Costs incurred in excess of the institution's normal severance pay policy applicable to all persons employed by the institution upon termination of employment are unallowable.
20. Section J.11. is revised to read as follows:
11.
Contributions to a contingency reserve or any similar provision made for events the occurrence of which cannot be foretold with certainty as to time, intensity, or with an assurance of their happening, are unallowable, except as noted in the cost principles in this circular regarding self insurance, pensions, severance and post-retirement health costs.
11. Sections J.14. through 18. are revised to read as follows:
14.
a. Institutions may be compensated for the use of their buildings, capital improvements, and equipment, provided that they are used, needed in the institutions' activities, and properly allocable to sponsored agreements. Such compensation shall be made by computing either depreciation or use allowance. Use allowances are the means of providing such compensation when depreciation or other equivalent costs are not computed. The allocation for depreciation or use allowance shall be made in accordance with Section F.2. Depreciation and use allowances are computed applying the following rules:
b. The computation of depreciation or use allowances shall be based on the acquisition cost of the assets involved. The acquisition cost of an asset donated to the institution by a third party shall be its fair market value at the time of the donation.
c. For this purpose, the acquisition cost will exclude:
(1) the cost of land;
(2) any portion of the cost of buildings and equipment borne by or donated by the Federal Government, irrespective of where title was originally vested or where it is presently located; and
(3) any portion of the cost of buildings and equipment contributed by or for the institution where law or agreement prohibits recovery.
d. In the use of the depreciation method, the following shall be observed:
(1) The period of useful service (useful life) established in each case for usable capital assets must take into consideration such factors as type of construction, nature of the equipment, technological developments in the particular area, and the renewal and replacement policies followed for the individual items or classes of assets involved.
(2) The depreciation method used to charge the cost of an asset (or group of assets) to accounting periods shall reflect the pattern of consumption of the asset during its useful life. In the absence of clear evidence indicating that the expected consumption of the asset will be significantly greater in the early portions than in the later portions of its useful life, the straight-line method shall be presumed to be the appropriate method.
Depreciation methods once used shall not be changed unless approved in advance by the cognizant Federal agency. The depreciation methods used to calculate the depreciation amounts for F&A rate purposes shall be the same methods used by the institution for its financial statements. This requirement does not apply to those institutions (
(3) Where the depreciation method is introduced to replace the use allowance method, depreciation shall be computed as if the asset had been depreciated over its entire life (
(4) The entire building, including the shell and all components, may be treated as a single asset and depreciated over a single useful life. A building may also be divided into multiple components. Each component item may then be depreciated over its estimated useful life. The building components shall be grouped into three general components of a building: building shell (including construction and design costs), building services systems (
(5) Where the depreciation method is used for a particular class of assets, no depreciation may be allowed on any such assets that have outlived their depreciable lives. (
e. Under the use allowance method, the following shall be observed:
(1) The use allowance for buildings and improvements (including improvements such as paved parking areas, fences, and sidewalks) shall be computed at an annual rate not exceeding two percent of acquisition cost.
The use allowance for equipment shall be computed at an annual rate not exceeding six and two-thirds percent of acquisition cost. Use allowance recovery is limited to the acquisition cost of the assets. For donated assets, use allowance recovery is limited to the fair market value of the assets at the time of donation.
(2) In contrast to the depreciation method, the entire building must be treated as a single asset without separating its “shell” from other building components under the use allowance method. The entire building must be treated as a single asset, and the two-percent use allowance limitation must be applied to all parts of the building.
The two-percent limitation, however, need not be applied to equipment or other assets that are merely attached or fastened to the building but not permanently fixed and are used as furnishings, decorations or for specialized purposes (
(3) A reasonable use allowance may be negotiated for any assets that are considered to be fully depreciated, after taking into consideration the amount of depreciation previously charged to the Federal Government, the estimated useful life remaining at the time of negotiation, the effect of any increased maintenance charges, decreased efficiency due to age, and any other factors pertinent to the utilization of the asset for the purpose contemplated.
(4) Notwithstanding subsection e.(3), once an institution converts from one cost recovery methodology to another, acquisition costs not recovered may not
f. Except as otherwise provided in subsections b. through e., a combination of the depreciation and use allowance methods may not be used, in like circumstances, for a single class of assets (
g. Charges for use allowances or depreciation must be supported by adequate property records, and physical inventories must be taken at least once every two years to ensure that the assets exist and are usable, used, and needed. Statistical sampling techniques may be used in taking these inventories. In addition, when the depreciation method is used, adequate depreciation records showing the amount of depreciation taken each period must also be maintained.
h. This section applies to the largest college and university recipients of Federal research and development funds as displayed in Exhibit A, List of Colleges and Universities Subject to Section J.14.f of Circular A-21.
(1) Institutions shall expend currently, or reserve for expenditure within the next five years, the portion of F&A cost payments made for depreciation or use allowances under sponsored research agreements, consistent with Section F.2, to acquire or improve research facilities. This provision applies only to Federal agreements, which reimburse F&A costs at a full negotiated rate. These funds may only be used for (a) liquidation of the principal of debts incurred to acquire assets that are used directly for organized research activities, or (b) payments to acquire, repair, renovate, or improve buildings or equipment directly used for organized research. For buildings or equipment not exclusively used for organized research activity, only appropriately proportionate amounts will be considered to have been expended for research facilities.
(2) An assurance that an amount equal to the Federal reimbursements has been appropriately expended or reserved to acquire or improve research facilities shall be submitted as part of each F&A cost proposal submitted to the cognizant Federal agency which is based on costs incurred on or after October 1, 1991. This assurance will cover the cumulative amounts of funds received and expended during the period beginning after the period covered by the previous assurance and ending with the fiscal year on which the proposal is based. The assurance shall also cover any amounts reserved from a prior period in which the funds received exceeded the amounts expended.
15.
a. Contributions or donations rendered.
Contributions or donations, including cash, property, and services, made by the institution, regardless of the recipient, are unallowable.
b. Donated services received.
Donated or volunteer services may be furnished to an institution by professional and technical personnel, consultants, and other skilled and unskilled labor. The value of these services is not reimbursable either as a direct or F&A cost. However, the value of donated services may be used to meet cost sharing or matching requirements in accordance with Circular A-110.
c. Donated property.
The value of donated property is not reimbursable either as a direct or F&A cost, except that depreciation or use allowances on donated assets are permitted in accordance with Section J.14. The value of donated property may be used to meet cost sharing or matching requirements, in accordance with Circular A-110.
16.
a. The costs of employee information publications, health or first-aid clinics and/or infirmaries, recreational activities, employee counseling services, and any other expenses incurred in accordance with the institution's established practice or custom for the improvement of working conditions, employer-employee relations, employee morale, and employee performance are allowable.
b. Such costs will be equitably apportioned to all activities of the institution. Income generated from any of these activities will be credited to the cost thereof unless such income has been irrevocably set over to employee welfare organizations.
c. Losses resulting from operating food services are allowable only if the institution's objective is to operate such services on a break-even basis. Losses sustained because of operating objectives other than the above are allowable only (a) where the institution can demonstrate unusual circumstances, and (b) with the approval of the cognizant Federal agency.
17.
Costs of entertainment, including amusement, diversion, and social activities and any costs directly associated with such costs (such as tickets to shows or sports events, meals, lodging, rentals, transportation, and gratuities) are unallowable.
18.
a. For purposes of this subsection, the following definitions apply:
(1) “Capital Expenditures” means expenditures for the acquisition cost of capital assets (equipment, buildings, and land), or expenditures to make improvements to capital assets that materially increase their value or useful life. Acquisition cost means the cost of the asset including the cost to put it in place. Acquisition cost for equipment, for example, means the net invoice price of the equipment, including the cost of any modifications, attachments, accessories, or auxiliary apparatus necessary to make it usable for the purpose for which it is acquired. Ancillary charges, such as taxes, duty, protective in transit insurance, freight, and installation may be included in, or excluded from the acquisition cost in accordance with the institution's regular accounting practices.
(2) “Equipment” means an article of nonexpendable, tangible personal property having a useful life of more than one year and an acquisition cost which equals or exceeds the lesser of the capitalization level established by the institution for financial statement purposes, or $5000.
(3) “Special purpose equipment” means equipment which is used only for research, medical, scientific, or other technical activities. Examples of special purpose equipment include microscopes, x-ray machines, surgical instruments, and spectrometers.
(4) “General purpose equipment” means equipment, which is not limited to research, medical, scientific or other technical activities. Examples include office equipment and furnishings, modular offices, telephone networks, information technology equipment and systems, air conditioning equipment, reproduction and printing equipment, and motor vehicles.
b. The following rules of allowability shall apply to equipment and other capital expenditures:
(1) Capital expenditures for general purpose equipment, buildings, and land are unallowable as direct charges, except where approved in advance by the awarding agency.
(2) Capital expenditures for special purpose equipment are allowable as direct costs, provided that items with a unit cost of $5000 or more have the prior approval of the awarding agency.
(3) Capital expenditures for improvements to land, buildings, or equipment which materially increase their value or useful life are unallowable as a direct cost except with the prior approval of the awarding agency.
(4) When approved as a direct charge pursuant to subsections J.18.b.(1)
(5) Equipment and other capital expenditures are unallowable as indirect costs. However, see section J.14, Depreciation and use allowance, for rules on the allowability of use allowances or depreciation on buildings, capital improvements, and equipment. Also, see section J.43, Rental costs of buildings and equipment, for rules on the allowability of rental costs for land, buildings, and equipment.
(6) The unamortized portion of any equipment written off as a result of a change in capitalization levels may be recovered by continuing to claim the otherwise allowable use allowances or depreciation on the equipment, or by amortizing the amount to be written off over a period of years negotiated with the cognizant agency.
12. Sections J.20. and 21. are revised to read as follows:
20.
a. Costs of organized fund raising, including financial campaigns, endowment drives, solicitation of gifts and bequests, and similar expenses incurred solely to raise capital or obtain contributions, are unallowable.
b. Costs of investment counsel and staff and similar expenses incurred solely to enhance income from investments are unallowable.
c. Costs related to the physical custody and control of monies and securities are allowable.
21.
a. (1) Gains and losses on the sale, retirement, or other disposition of depreciable property shall be included in the year in which they occur as credits or charges to the asset cost grouping(s) in which the property was included. The amount of the gain or loss to be included as a credit or charge to the appropriate asset cost grouping(s) shall be the difference between the amount realized on the property and the undepreciated basis of the property.
(2) Gains and losses on the disposition of depreciable property shall not be recognized as a separate credit or charge under the following conditions:
(a) The gain or loss is processed through a depreciation account and is reflected in the depreciation allowable under section J.14.
(b) The property is given in exchange as part of the purchase price of a similar item and the gain or loss is taken into account in determining the depreciation cost basis of the new item.
(c) A loss results from the failure to maintain permissible insurance, except as otherwise provided in Section J.24.
(d) Compensation for the use of the property was provided through use allowances in lieu of depreciation.
b. Gains or losses of any nature arising from the sale or exchange of property other than the property covered in subsection a shall be excluded in computing sponsored agreement costs.
c. When assets acquired with Federal funds, in part or wholly, are disposed of, the distribution of the proceeds shall be made in accordance with Circular A-110, “Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations.”
13. Section J.24. is revised to read as follows:
24.
a. As used in this section the following terms have the meanings set forth below:
(1) “Facilities” means land and buildings or any portion thereof, equipment individually or collectively, or any other tangible capital asset, wherever located, and whether owned or leased by the institution.
(2) “Idle facilities” means completely unused facilities that are excess to the institution's current needs.
(3) “Idle capacity” means the unused capacity of partially used facilities. It is the difference between:
(a) That which a facility could achieve under 100 percent operating time on a one-shift basis less operating interruptions resulting from time lost for repairs, setups, unsatisfactory materials, and other normal delays; and
(b) The extent to which the facility was actually used to meet demands during the accounting period. A multi-shift basis should be used if it can be shown that this amount of usage would normally be expected for the type of facility involved.
(4) “Cost of idle facilities or idle capacity” means costs such as maintenance, repair, housing, rent, and other related costs,
b. The costs of idle facilities are unallowable except to the extent that:
(1) They are necessary to meet fluctuations in workload; or
(2) Although not necessary to meet fluctuations in workload, they were necessary when acquired and are now idle because of changes in program requirements, efforts to achieve more economical operations, reorganization, termination, or other causes which could not have been reasonably foreseen. Under the exception stated in this subsection, costs of idle facilities are allowable for a reasonable period of time, ordinarily not to exceed one year, depending on the initiative taken to use, lease, or dispose of such facilities.
c. The costs of idle capacity are normal costs of doing business and are a factor in the normal fluctuations of usage or indirect cost rates from period to period. Such costs are allowable, provided that the capacity is reasonably anticipated to be necessary or was originally reasonable and is not subject to reduction or elimination by use on other sponsored agreements, subletting, renting, or sale, in accordance with sound business, economic, or security practices. Widespread idle capacity throughout an entire facility or among a group of assets having substantially the same function may be considered idle facilities.
14. Section J.26. is revised to read as follows:
26. Interest.
a. Costs incurred for interest on borrowed capital, temporary use of endowment funds, or the use of the institution's own funds, however represented, are unallowable. However, interest on debt incurred after July 1, 1982 to acquire buildings, major reconstruction and remodeling, or the acquisition or fabrication of capital equipment costing $10,000 or more, is allowable.
b. Interest on debt incurred after May 8, 1996 to acquire or replace capital assets (including construction, renovations, alterations, equipment, land, and capital assets acquired through capital leases) acquired after that date and used in support of sponsored agreements is allowable, subject to the following conditions:
(1) For facilities costing over $500,000, the institution shall prepare, prior to acquisition or replacement of the facility, a lease-purchase analysis in accordance with the provisions of Sec._.30 through_.37 of OMB Circular A-110, which shows that a financed purchase, including a capital lease is less costly to the institution than other operating lease alternatives, on a net present value basis. Discount rates used shall be equal to the institution's anticipated interest rates and shall be no higher than the fair market rate available to the institution from an unrelated (“arm's length”) third-party. The lease-purchase analysis shall include a comparison of the net present value of the projected total cost comparisons of both alternatives over the period the asset is expected to be used by the institution. The cost comparisons
(2) The actual interest cost claimed is predicated upon interest rates that are no higher than the fair market rate available to the institution from an unrelated (arm's length) third party.
(3) Investment earnings, including interest income on bond or loan principal, pending payment of the construction or acquisition costs, are used to offset allowable interest cost. Arbitrage earnings reportable to the Internal Revenue Service are not required to be offset against allowable interest costs.
(4) Reimbursements are limited to the least costly alternative based on the total cost analysis required under subsection (1). For example, if an operating lease is determined to be less costly than purchasing through debt financing, then reimbursement is limited to the amount determined if leasing had been used. In all cases where a lease-purchase analysis is required to be performed, Federal reimbursement shall be based upon the least expensive alternative.
(5) For debt arrangements over $1 million, unless the institution makes an initial equity contribution to the asset purchase of 25 percent or more, the institution shall reduce claims for interest expense by an amount equal to imputed interest earnings on excess cash flow, which is to be calculated as follows. Annually, institutions shall prepare a cumulative (from the inception of the project) report of monthly cash flows that includes inflows and outflows, regardless of the funding source. Inflows consist of depreciation expense, amortization of capitalized construction interest, and annual interest cost. For cash flow calculations, the annual inflow figures shall be divided by the number of months in the year (
(6) Substantial relocation of federally-sponsored activities from a facility financed by indebtedness, the cost of which was funded in whole or part through Federal reimbursements, to another facility prior to the expiration of a period of 20 years requires notice to the cognizant agency. The extent of the relocation, the amount of the Federal participation in the financing, and the depreciation and interest charged to date may require negotiation and/or downward adjustments of replacement space charged to Federal programs in the future.
(7) The allowable costs to acquire facilities and equipment are limited to a fair market value available to the institution from an unrelated (arm's length) third party.
c. Institutions are also subject to the following conditions:
(1) Interest on debt incurred to finance or refinance assets re-acquired after the applicable effective dates stipulated above is unallowable.
(2) Interest attributable to fully depreciated assets is unallowable.
d. The following definitions are to be used for purposes of this section:
(1) “Re-acquired” assets means assets held by the institution prior to the applicable effective dates stipulated above that have again come to be held by the institution, whether through repurchase or refinancing. It does not include assets acquired to replace older assets.
(2) “Initial equity contribution” means the amount or value of contributions made by institutions for the acquisition of the asset prior to occupancy of facilities.
(3) “Asset costs” means the capitalizable costs of an asset, including construction costs, acquisition costs, and other such costs capitalized in accordance with Generally Accepted Accounting Principles (GAAP).
15. Add a new subsection h. to the redesignated section J.28., to read as follows.
28.
h. Executive lobbying costs.
Costs incurred in attempting to improperly influence either directly or indirectly, an employee or officer of the Executive Branch of the Federal Government to give consideration or to act regarding a sponsored agreement or a regulatory matter are unallowable. Improper influence means any influence that induces or tends to induce a Federal employee or officer to give consideration or to act regarding a federally-sponsored agreement or regulatory matter on any basis other than the merits of the matter.
16. Sections J.30. through 35. are revised to read as follows:
30.
Costs incurred for necessary maintenance, repair, or upkeep of buildings and equipment (including Federal property unless otherwise provided for) which neither add to the permanent value of the property nor appreciably prolong its intended life, but keep it in an efficient operating condition, are allowable. Costs incurred for improvements which add to the permanent value of the buildings and equipment or appreciably prolong their intended life shall be treated as capital expenditures (
31.
a. Costs incurred for materials, supplies, and fabricated parts necessary to carry out a sponsored agreement are allowable.
b. Purchased materials and supplies shall be charged at their actual prices, net of applicable credits. Withdrawals from general stores or stockrooms should be charged at their actual net cost under any recognized method of pricing inventory withdrawals, consistently applied. Incoming transportation charges are a proper part of materials and supplies costs.
c. Only materials and supplies actually used for the performance of a sponsored agreement may be charged as direct costs.
d. Where federally-donated or furnished materials are used in performing the sponsored agreement, such materials will be used without charge.
32.
Costs of meetings and conferences, the primary purpose of which is the dissemination of technical information, are allowable. This includes costs of meals, transportation, rental of facilities, speakers' fees, and other items
33.
a. Costs of the institution's membership in business, technical, and professional organizations are allowable.
b. Costs of the institution's subscriptions to business, professional, and technical periodicals are allowable.
c. Costs of membership in any civic or community organization are unallowable.
d. Costs of membership in any country club or social or dining club or organization are unallowable.
34. Patent costs.
a. The following costs relating to patent and copyright matters are allowable:
(1) Cost of preparing disclosures, reports, and other documents required by the sponsored agreement and of searching the art to the extent necessary to make such disclosures;
(2) Cost of preparing documents and any other patent costs in connection with the filing and prosecution of a United States patent application where title or royalty-free license is required by the Federal Government to be conveyed to the Federal Government; and
(3) General counseling services relating to patent and copyright matters, such as advice on patent and copyright laws, regulations, clauses, and employee agreements (but see sections J.37., Professional services costs, and J.44., Royalties and other costs for use of patents).
b. The following costs related to patent and copyright matter are unallowable:
(i) Cost of preparing disclosures, reports, and other documents and of searching the art to the extent necessary to make disclosures not required by the award
(ii) Costs in connection with filing and prosecuting any foreign patent application, or any United States patent application, where the sponsored agreement does not require conveying title or a royalty-free license to the Federal Government, (but
35.
Necessary and reasonable expenses incurred for routine and homeland security to protect facilities, personnel, and work products are allowable. Such costs include, but are not limited to, wages and uniforms of personnel engaged in security activities; equipment; barriers; contractual security services; consultants;
17. Revise section J.37. to read as follows:
37.
a. Costs of professional and consultant services rendered by persons who are members of a particular profession or possess a special skill, and who are not officers or employees of the institution, are allowable, subject to subsections b and c when reasonable in relation to the services rendered and when not contingent upon recovery of the costs from the Federal Government. In addition, legal and related services are limited under section J.13.
b. In determining the allowability of costs in a particular case, no single factor or any special combination of factors is necessarily determinative. However, the following factors are relevant:
(1) The nature and scope of the service rendered in relation to the service required.
(2) The necessity of contracting for the service, considering the institution's capability in the particular area.
(3) The past pattern of such costs, particularly in the years prior to sponsored agreements.
(4) The impact of sponsored agreements on the institution's business (
(5) Whether the proportion of Federal work to the institution's total business is such as to influence the institution in favor of incurring the cost, particularly where the services rendered are not of a continuing nature and have little relationship to work under Federal grants and contracts.
(6) Whether the service can be performed more economically by direct employment rather than contracting.
(7) The qualifications of the individual or concern rendering the service and the customary fees charged, especially on non-sponsored agreements.
(8) Adequacy of the contractual agreement for the service (
c. In addition to the factors in subsection b, retainer fees to be allowable must be supported by evidence of bona fide services available or rendered.
18. Sections J.39., J.40. and J.41. are revised to read as follows:
39.
a. Publication costs include the costs of printing (including the processes of composition, plate-making, press work, binding, and the end products produced by such processes), distribution, promotion, mailing, and general handling. Publication costs also include page charges in professional publications.
b. If these costs are not identifiable with a particular cost objective, they should be allocated as indirect costs to all benefiting activities of the institution.
c. Page charges for professional journal publications are allowable as a necessary part of research costs where:
(1) The research papers report work supported by the Federal Government: and
(2) The charges are levied impartially on all research papers published by the journal, whether or not by federally-sponsored authors.
40.
Costs incurred for ordinary or normal rearrangement and alteration of facilities are allowable. Special arrangement and alteration costs incurred specifically for the project are allowable with the prior approval of the sponsoring agency.
41.
Costs incurred in the restoration or rehabilitation of the institution's facilities to approximately the same condition existing immediately prior to commencement of a sponsored agreement, fair wear and tear excepted, are allowable.
19. Revise sections J.43. through J.47. to read as follows:
43.
a. Subject to the limitations described in subsections b. through d. of this section, rental costs are allowable to the extent that the rates are reasonable in light of such factors as: rental costs of comparable property, if any; market conditions in the area; alternatives available; and, the type, life expectancy, condition, and value of the property leased. Rental arrangements should be reviewed periodically to determine if circumstances have changed and other options are available.
b. Rental costs under “sale and lease back” arrangements are allowable only up to the amount that would be allowed had the institution continued to own the property. This amount would include expenses such as depreciation or use allowance, maintenance, taxes, and insurance.
c. Rental costs under “less-than-arms-length” leases are allowable only up to the amount (as explained in subsection b) that would be allowed had title to the property vested in the institution. For this purpose, a less-than-arms-length
(1) divisions of an institution;
(2) institutions under common control through common officers, directors, or members; and
(3) an institution and a director, trustee, officer, or key employee of the institution or his immediate family, either directly or through corporations, trusts, or similar arrangements in which they hold a controlling interest. For example, an institution may establish a separate corporation for the sole purpose of owning property and leasing it back to the institution.
d. Rental costs under leases which are required to be treated as capital leases under GAAP are allowable only up to the amount (as explained in subsection b) that would be allowed had the institution purchased the property on the date the lease agreement was executed. The provisions of Financial Accounting Standards Board Statement 13, Accounting for Leases, shall be used to determine whether a lease is a capital lease. Interest costs related to capital leases are allowable to the extent they meet the criteria in section J.25. Unallowable costs include amounts paid for profit, management fees, and taxes that would not have been incurred had the institution purchased the facility.
44.
a. Royalties on a patent or copyright or amortization of the cost of acquiring by purchase a copyright, patent, or rights thereto, necessary for the proper performance of the award are allowable unless:
(1) The Federal Government has a license or the right to free use of the patent or copyright.
(2) The patent or copyright has been adjudicated to be invalid, or has been administratively determined to be invalid.
(3) The patent or copyright is considered to be unenforceable.
(4) The patent or copyright is expired.
b. Special care should be exercised in determining reasonableness where the royalties may have been arrived at as a result of less-than-arm's-length bargaining,
(1) Royalties paid to persons, including corporations, affiliated with the institution.
(2) Royalties paid to unaffiliated parties, including corporations, under an agreement entered into in contemplation that a sponsored agreement would be made.
(3) Royalties paid under an agreement entered into after an award is made to an institution.
c. In any case involving a patent or copyright formerly owned by the institution, the amount of royalty allowed should not exceed the cost which would have been allowed had the institution retained title thereto.
45.
a. Costs of scholarships, fellowships, and other programs of student aid are allowable only when the purpose of the sponsored agreement is to provide training to selected participants and the charge is approved by the sponsoring agency. However, tuition remission and other forms of compensation paid as, or in lieu of, wages to students performing necessary work are allowable provided that—
(1) The individual is conducting activities necessary to the sponsored agreement;
(2) Tuition remission and other support are provided in accordance with established educational institutional policy and consistently provided in a like manner to students in return for similar activities conducted in nonsponsored as well as sponsored activities; and
(3) During the academic period, the student is enrolled in an advanced degree program at a grantee or affiliated institution and the activities of the student in relation to the Federally-sponsored research project are related to the degree program;
(4) the tuition or other payments are reasonable compensation for the work performed and are conditioned explicitly upon the performance of necessary work; and
(5) it is the institution's practice to similarly compensate students in nonsponsored as well as sponsored activities.
b. Charges for tuition remission and other forms of compensation paid to students as, or in lieu of, salaries and wages shall be subject to the reporting requirements stipulated in Section J.10, and shall be treated as direct or F&A cost in accordance with the actual work being performed. Tuition remission may be charged on an average rate basis.
46.
Costs of selling and marketing any products or services of the institution are unallowable (unless allowed under section J.1 as allowable public relations costs or under section J.38 as allowable proposal costs).
47.
a. The costs of services provided by highly complex or specialized facilities operated by the institution, such as computers, wind tunnels, and reactors are allowable, provided the charges for the services meet the conditions of either subsection 47.b. or 47.c. and, in addition, take into account any items of income or Federal financing that qualify as applicable credits under section C.5 of this Circular.
b. The costs of such services, when material, must be charged directly to applicable awards based on actual usage of the services on the basis of a schedule of rates or established methodology that
(1) does not discriminate against federally-supported activities of the institution, including usage by the institution for internal purposes, and
(2) is designed to recover only the aggregate costs of the services. The costs of each service shall consist normally of both its direct costs and its allocable share of all F&A costs. Rates shall be adjusted at least biennially, and shall take into consideration over/under applied costs of the previous period(s).
c. Where the costs incurred for a service are not material, they may be allocated as F&A costs.
d. Under some extraordinary circumstances, where it is in the best interest of the Federal Government and the institution to establish alternative costing arrangements, such arrangements may be worked out with the cognizant Federal agency.
20. Section J.50. is revised to read as follows:
50.
Termination of awards generally gives rise to the incurrence of costs, or the need for special treatment of costs, which would not have arisen had the sponsored agreement not been terminated. Cost principles covering these items are set forth below. They are to be used in conjunction with the other provisions of this Circular in termination situations.
a. The cost of items reasonably usable on the institution's other work shall not be allowable unless the institution submits evidence that it would not retain such items at cost without sustaining a loss. In deciding whether such items are reasonably usable on other work of the institution, the awarding agency should consider the institution's plans and orders for current and scheduled activity.
Contemporaneous purchases of common items by the institution shall be regarded as evidence that such items are reasonably usable on the institution's other work. Any acceptance of common items as allocable to the terminated portion of the sponsored agreement shall be limited to the extent that the quantities of such items on
b. If in a particular case, despite all reasonable efforts by the institution, certain costs cannot be discontinued immediately after the effective date of termination, such costs are generally allowable within the limitations set forth in this Circular, except that any such costs continuing after termination due to the negligent or willful failure of the institution to discontinue such costs shall be unallowable.
c. Loss of useful value of special tooling, machinery, and equipment is generally allowable if:
(1) Such special tooling, special machinery, or equipment is not reasonably capable of use in the other work of the institution,
(2) The interest of the Federal Government is protected by transfer of title or by other means deemed appropriate by the awarding agency, and
(3) The loss of useful value for any one terminated sponsored agreement is limited to that portion of the acquisition cost which bears the same ratio to the total acquisition cost as the terminated portion of the sponsored agreement bears to the entire terminated sponsored agreement and other sponsored agreements for which the special tooling, machinery, or equipment was acquired.
d. Rental costs under unexpired leases are generally allowable where clearly shown to have been reasonably necessary for the performance of the terminated sponsored agreement, less the residual value of such leases, if:
(1) the amount of such rental claimed does not exceed the reasonable use value of the property leased for the period of the sponsored agreement and such further period as may be reasonable; and
(2) the institution makes all reasonable efforts to terminate, assign, settle, or otherwise reduce the cost of such lease. There also may be included the cost of alterations of such leased property, provided such alterations were necessary for the performance of the sponsored agreement, and of reasonable restoration required by the provisions of the lease.
e. Settlement expenses including the following are generally allowable:
(1) Accounting, legal, clerical, and similar costs reasonably necessary for:
(a) The preparation and presentation to the awarding agency of settlement claims and supporting data with respect to the terminated portion of the sponsored agreement, unless the termination is for default (
(b) The termination and settlement of subawards.
(2) Reasonable costs for the storage, transportation, protection, and disposition of property provided by the Federal Government or acquired or produced for the sponsored agreement, except when grantees or contractors are reimbursed for disposals at a predetermined amount in accordance with sections _.32 through _.37 of Circular A-110.
(3) F&A costs related to salaries and wages incurred as settlement expenses in subsections b.(1) and (2) of this section 50. Normally, such F&A costs shall be limited to fringe benefits, occupancy cost, and immediate supervision.
f. Claims under subawards, including the allocable portion of claims which are common to the sponsored agreement and to other work of the institution, are generally allowable.
An appropriate share of the institution's F&A costs may be allocated to the amount of settlements with subcontractors and/or subgrantees, provided that the amount allocated is otherwise consistent with the basic guidelines contained in section E, F&A costs. The F&A costs so allocated shall exclude the same and similar costs claimed directly or indirectly as settlement expenses.
21. Add a new section J.51. to read as follows:
51.
The cost of training provided for employee development is allowable.
22. Add a new section J.53. to read as follows:
53.
a. General.
Travel costs are the expenses for transportation, lodging, subsistence, and related items incurred by employees who are in travel status on official business of the institution. Such costs may be charged on an actual cost basis, on a per diem or mileage basis in lieu of actual costs incurred, or on a combination of the two, provided the method used is applied to an entire trip and not to selected days of the trip, and results in charges consistent with those normally allowed in like circumstances in the institution's non-federally-sponsored activities.
b. Lodging and subsistence.
Costs incurred by employees and officers for travel, including costs of lodging, other subsistence, and incidental expenses, shall be considered reasonable and allowable only to the extent such costs do not exceed charges normally allowed by the institution in its regular operations as the result of the institution's written travel policy. In the absence of an acceptable, written institution policy regarding travel costs, the rates and amounts established under subchapter I of Chapter 57, Title 5, United States Code (“Travel and Subsistence Expenses; Mileage Allowances”), or by the Administrator of General Services, or by the President (or his or her designee) pursuant to any provisions of such subchapter shall apply to travel under sponsored agreements (48 CFR 31.205-46(a)).
c. Commercial air travel.
(1) Airfare costs in excess of the customary standard commercial airfare (coach or equivalent), Federal Government contract airfare (where authorized and available), or the lowest commercial discount airfare are unallowable except when such accommodations would:
(a) require circuitous routing;
(b) require travel during unreasonable hours;
(c) excessively prolong travel;
(d) result in additional costs that would offset the transportation savings; or
(e) offer accommodations not reasonably adequate for the traveler's medical needs. The institution must justify and document these conditions on a case-by-case basis in order for the use of first-class airfare to be allowable in such cases.
(2) Unless a pattern of avoidance is detected, the Federal Government will generally not question an institution's determinations that customary standard airfare or other discount airfare is unavailable for specific trips if the institution can demonstrate either of the following:
(a) That such airfare was not available in the specific case; or
(b) That it is the institution's overall practice to make routine use of such airfare.
d. Air travel by other than commercial carrier.
Costs of travel by institution-owned, -leased, or -chartered aircraft include the cost of lease, charter, operation (including personnel costs), maintenance, depreciation, insurance, and other related costs. The portion of such costs that exceeds the cost of allowable commercial air travel, as provided for in subsection J.53.c., is unallowable.
1. Revise Attachment A, section C.3.c., of OMB Circular A-87, to read as follows:
3. Allocable costs
c. Any cost allocable to a particular Federal award or cost objective under the principles provided for in this Circular may not be charged to other Federal awards to overcome fund deficiencies, to avoid restrictions imposed by law or terms of the Federal awards, or for other reasons.
2. Revise the table of contents to Attachment B as follows:
3. Redesignate the sections in Attachment B as follows:
a. Section 3. is redesignated as section 2.
b. Section 4. is redesignated as section 3.
c. Section 11. is redesignated as section 8.
d. Section 14. is redesignated as section 10.
e. Section 20. is redesignated as section 16.
f. Section 21. is redesignated as section 17.
g. Section 22. is redesignated as section 18.
h. Section 25. is redesignated as section 22.
i. Section 27. is redesignated as section 24.
j. Section 28. is redesignated as section 25.
k. Section 32. is redesignated as section 31.
l. Section 34. is redesignated as section 33.
m. Section 36. is redesignated as section 35.
n. Section 39. is redesignated as section 40.
o. Section 40. is redesignated as section 42.
4. Attachment B, section 1. is revised to read as follows:
1.
a. The term advertising costs means the costs of advertising media and corollary administrative costs.
Advertising media include magazines, newspapers, radio and television, direct mail, exhibits, electronic or computer transmittals, and the like.
b. The term public relations includes community relations and means those activities dedicated to maintaining the image of the governmental unit or maintaining or promoting understanding and favorable relations with the community or public at large or any segment of the public.
c. The only allowable advertising costs are those which are solely for:
(1) The recruitment of personnel required for the performance by the governmental unit of obligations arising under a Federal award;
(2) The procurement of goods and services for the performance of a Federal award;
(3) The disposal of scrap or surplus materials acquired in the performance of a Federal award except when institutions are reimbursed for disposal costs at a predetermined amount; or
(4) Other specific purposes necessary to meet the requirements of the Federal award.
d. The only allowable public relations costs are:
(1) Costs specifically required by the Federal award;
(2) Costs of communicating with the public and press pertaining to specific activities or accomplishments which result from performance of Federal awards (these costs are considered necessary as part of the outreach effort for the Federal award); or
(3) Costs of conducting general liaison with news media and government public relations officers, to the extent that such activities are limited to communication and liaison necessary keep the public informed on matters of public concern, such as notices of Federal contract/grant awards, financial matters,
e. Costs identified in sections 1.c and 1.d, if incurred for more than one Federal award or for both sponsored work and other work of the governmental unit, are allowable to the extent that the principles in Attachment A, sections E. (“Direct Costs”) and F. (“Indirect Costs”) are observed.
f. Unallowable advertising and public relations costs include the following:
(1) All advertising and public relations costs other than as specified in subsections c, d, and e;
(2) Costs of meetings, conventions, convocations, or other events related to other activities of the governmental unit, including:
(a) Costs of displays, demonstrations, and exhibits;
(b) Costs of meeting rooms, hospitality suites, and other special facilities used in conjunction with shows and other special events; and
(c) Salaries and wages of employees engaged in setting up and displaying exhibits, making demonstrations, and providing briefings;
(3) Costs of promotional items and memorabilia, including models, gifts, and souvenirs;
(4) Costs of advertising and public relations designed solely to promote the governmental unit.
5. Attachment B, sections 4, 5, 6 and 7 are revised to read as follows:
4.
a. The costs of audits required by, and performed in accordance with, the Single Audit Act, as implemented by Circular A-133, “Audits of States, Local Governments, and Non-Profit Organizations” are allowable.
b. Other audit costs are allowable if included in a cost allocation plan or indirect cost proposal, or if specifically approved by the awarding agency as a direct cost to an award.
c. The cost of agreed-upon procedures engagements to monitor subrecipients who are exempted from A-133 under section 200(d) are allowable, subject to the conditions listed in A-133, section 230(b)(2).
5.
6.
a. Bonding costs arise when the Federal Government requires assurance against financial loss to itself or others by reason of the act or default of the governmental unit. They arise also in instances where the governmental unit requires similar assurance. Included are such bonds as bid, performance, payment, advance payment, infringement, and fidelity bonds.
b. Costs of bonding required pursuant to the terms of the award are allowable.
c. Costs of bonding required by the governmental unit in the general conduct of its operations are allowable to the extent that such bonding is in accordance with sound business practice and the rates and premiums are reasonable under the circumstances.
7.
6. Attachment B, section 9. is revised to read as follows:
9.
7. Attachment B, sections 11. through 15. are revised to read as follows:
11.
a. Depreciation and use allowances are means of allocating the cost of fixed assets to periods benefiting from asset use. Compensation for the use of fixed assets on hand may be made through depreciation or use allowances. A combination of the two methods may not be used in connection with a single class of fixed assets (
b. The computation of depreciation or use allowances shall be based on the acquisition cost of the assets involved. Where actual cost records have not been maintained, a reasonable estimate of the original acquisition cost may be used. The value of an asset donated to the governmental unit by an unrelated third party shall be its fair market value at the time of donation. Governmental or quasi-governmental organizations located within the same State shall not be considered unrelated third parties for this purpose.
c. The computation of depreciation or use allowances will exclude:
(1) The cost of land;
(2) Any portion of the cost of buildings and equipment borne by or donated by the Federal Government irrespective of where title was originally vested or where it presently resides; and
(3) Any portion of the cost of buildings and equipment contributed by or for the governmental unit, or a related donor organization, in satisfaction of a matching requirement.
d. Where the depreciation method is followed, the period of useful service (useful life) established in each case for usable capital assets must take into consideration such factors as type of construction, nature of the equipment used, historical usage patterns, technological developments, and the renewal and replacement policies of the governmental unit followed for the individual items or classes of assets involved. In the absence of clear evidence indicating that the expected consumption of the asset will be significantly greater in the early portions than in the later portions of its useful life, the straight line method of depreciation shall be used.
Depreciation methods once used shall not be changed unless approved by the Federal cognizant or awarding agency. When the depreciation method is introduced for application to an asset previously subject to a use allowance, the annual depreciation charge thereon may not exceed the amount that would have resulted had the depreciation method been in effect from the date of acquisition of the asset. The combination of use allowances and depreciation applicable to the asset shall not exceed the total acquisition cost of the asset or fair market value at time of donation.
e. When the depreciation method is used for buildings, a building's shell may be segregated from the major component of the building (
f. Where the use allowance method is followed, the use allowance for buildings and improvements (including land improvements, such as paved parking areas, fences, and sidewalks) will be computed at an annual rate not exceeding two percent of acquisition costs. The use allowance for equipment will be computed at an annual rate not exceeding 6
The two percent limitation, however, need not be applied to equipment which is merely attached or fastened to the building but not permanently fixed to it and which is used as furnishings or decorations or for specialized purposes (
g. A reasonable use allowance may be negotiated for any assets that are considered to be fully depreciated, after taking into consideration the amount of depreciation previously charged to the government, the estimated useful life remaining at the time of negotiation, the effect of any increased maintenance charges, decreased efficiency due to age, and any other factors pertinent to the utilization of the asset for the purpose contemplated.
h. Charges for use allowances or depreciation must be supported by adequate property records. Physical inventories must be taken at least once every two years (a statistical sampling approach is acceptable) to ensure that assets exist, and are in use. Governmental units will manage equipment in accordance with State laws and procedures. When the depreciation method is followed, depreciation records indicating the
12.
a. Contributions or donations rendered. Contributions or donations, including cash, property, and services, made by the governmental unit, regardless of the recipient, are unallowable.
b. Donated services received:
(1) Donated or volunteer services may be furnished to a governmental unit by professional and technical personnel, consultants, and other skilled and unskilled labor. The value of these services is not reimbursable either as a direct or indirect cost. However, the value of donated services may be used to meet cost sharing or matching requirements in accordance with the Federal Grant Common Rule.
(2) The value of donated services utilized in the performance of a direct cost activity shall, when material in amount, be considered in the determination of the governmental unit's indirect costs or rate(s) and, accordingly, shall be allocated a proportionate share of applicable indirect costs.
(3) To the extent feasible, donated services will be supported by the same methods used by the governmental unit to support the allocability of regular personnel services.
13.
a. The costs of employee information publications, health or first-aid clinics and/or infirmaries, recreational activities, employee counseling services, and any other expenses incurred in accordance with the governmental unit's established practice or custom for the improvement of working conditions, employer-employee relations, employee morale, and employee performance are allowable.
b. Such costs will be equitably apportioned to all activities of the governmental unit. Income generated from any of these activities will be offset against expenses.
14.
15.
a. For purposes of this section 15, the following definitions apply:
(1) “Capital Expenditures” means expenditures for the acquisition cost of capital assets (equipment, buildings, land), or expenditures to make improvements to capital assets that materially increase their value or useful life. Acquisition cost means the cost of the asset including the cost to put it in place. Acquisition cost for equipment, for example, means the net invoice price of the equipment, including the cost of any modifications, attachments, accessories, or auxiliary apparatus necessary to make it usable for the purpose for which it is acquired. Ancillary charges, such as taxes, duty, protective in transit insurance, freight, and installation may be included in, or excluded from the acquisition cost in accordance with the governmental unit's regular accounting practices.
(2) “Equipment” means an article of nonexpendable, tangible personal property having a useful life of more than one year and an acquisition cost which equals or exceeds the lesser of the capitalization level established by the governmental unit for financial statement purposes, or $5000.
(3) “Special purpose equipment” means equipment which is used only for research, medical, scientific, or other technical activities. Examples of special purpose equipment include microscopes, x-ray machines, surgical instruments, and spectrometers.
(4) “General purpose equipment” means equipment, which is not limited to research, medical, scientific or other technical activities. Examples include office equipment and furnishings, modular offices, telephone networks, information technology equipment and systems, air conditioning equipment, reproduction and printing equipment, and motor vehicles.
b. The following rules of allowability shall apply to equipment and other capital expenditures:
(1) Capital expenditures for general purpose equipment, buildings, and land are unallowable as direct charges, except where approved in advance by the awarding agency.
(2) Capital expenditures for special purpose equipment are allowable as direct costs, provided that items with a unit cost of $5000 or more have the prior approval of the awarding agency.
(3) Capital expenditures for improvements to land, buildings, or equipment which materially increase their value or useful life are unallowable as a direct cost except with the prior approval of the awarding agency.
(4) When approved as a direct charge pursuant to Attachment B, section 15.b.(1), (2), and (3), capital expenditures will be charged in the period in which the expenditure is incurred, or as otherwise determined appropriate and negotiated with the awarding agency. In addition, Federal awarding agencies are authorized at their option to waive or delegate the prior approval requirement.
(5) Equipment and other capital expenditures are unallowable as indirect costs. However, see section 11, Depreciation and use allowance, for rules on the allowability of use allowances or depreciation on buildings, capital improvements, and equipment. Also, see section 37, Rental costs, concerning the allowability of rental costs for land, buildings, and equipment.
(6) The unamortized portion of any equipment written off as a result of a change in capitalization levels may be recovered by continuing to claim the otherwise allowable use allowances or depreciation on the equipment, or by amortizing the amount to be written off over a period of years negotiated with the cognizant agency.
(7) When replacing equipment purchased in whole or in part with Federal funds, the governmental unit may use the equipment to be replaced as a trade-in or sell the property and use the proceeds to offset the cost of the replacement property.
8. Attachment B, sections 19. through 21. are revised to read follows:
19.
a. The general costs of government are unallowable (except as provided in Attachment B, section 43, Travel costs). These include:
(1) Salaries and expenses of the Office of the Governor of a State or the chief executive of a political subdivision or the chief executive of federally-recognized Indian tribal government;
(2) Salaries and other expenses of a State legislature, tribal council, or similar local governmental body, such as a county supervisor, city council, school board,
(3) Costs of the judiciary branch of a government;
(4) Costs of prosecutorial activities unless treated as a direct cost to a specific program if authorized by program statute or regulation (however, this does not preclude the allowability of other legal activities of the Attorney General); and
(5) Costs of other general types of government services normally provided to the general public, such as fire and police, unless provided for as a direct cost under a program statute or regulation.
b. For federally-recognized Indian tribal governments and Councils of Governments (COGs), the portion of salaries and expenses directly attributable to managing and operating
20.
21.
a. As used in this section the following terms have the meanings set forth below:
(1) “Facilities” means land and buildings or any portion thereof, equipment individually or collectively, or any other tangible capital asset, wherever located, and whether owned or leased by the governmental unit.
(2) “Idle facilities” means completely unused facilities that are excess to the governmental unit's current needs.
(3) “Idle capacity” means the unused capacity of partially used facilities. It is the difference between: (a) That which a facility could achieve under 100 percent operating time on a one-shift basis less operating interruptions resulting from time lost for repairs, setups, unsatisfactory materials, and other normal delays; and (b) the extent to which the facility was actually used to meet demands during the accounting period. A multi-shift basis should be used if it can be shown that this amount of usage would normally be expected for the type of facility involved.
(4) “Cost of idle facilities or idle capacity” means costs such as maintenance, repair, housing, rent, and other related costs,
b. The costs of idle facilities are unallowable except to the extent that:
(1) They are necessary to meet fluctuations in workload; or
(2) Although not necessary to meet fluctuations in workload, they were necessary when acquired and are now idle because of changes in program requirements, efforts to achieve more economical operations, reorganization, termination, or other causes which could not have been reasonably foreseen. Under the exception stated in this subsection, costs of idle facilities are allowable for a reasonable period of time, ordinarily not to exceed one year, depending on the initiative taken to use, lease, or dispose of such facilities.
c. The costs of idle capacity are normal costs of doing business and are a factor in the normal fluctuations of usage or indirect cost rates from period to period. Such costs are allowable, provided that the capacity is reasonably anticipated to be necessary or was originally reasonable and is not subject to reduction or elimination by use on other Federal awards, subletting, renting, or sale, in accordance with sound business, economic, or security practices. Widespread idle capacity throughout an entire facility or among a group of assets having substantially the same function may be considered idle facilities.
9. Attachment B, section 23. is revised to read as follows:
23.
a. Costs incurred for interest on borrowed capital or the use of a governmental unit's own funds, however represented, are unallowable except as specifically provided in this section 23.b. or authorized by Federal legislation.
b. Financing costs (including interest) paid or incurred which are associated with the otherwise allowable costs of building acquisition, construction, or fabrication, reconstruction or remodeling completed on or after October 1, 1980 is allowable subject to the conditions in sections (1) through (4) of this section 23.b. Financing costs (including interest) paid or incurred on or after September 1, 1995 for land or associated with otherwise allowable costs of equipment is allowable, subject to the conditions in (1) through (4).
(1) The financing is provided (from other than tax or user fee sources) by a bona fide third party external to the governmental unit;
(2) The assets are used in support of Federal awards;
(3) Earnings on debt service reserve funds or interest earned on borrowed funds pending payment of the construction or acquisition costs are used to offset the current period's cost or the capitalized interest, as appropriate. Earnings subject to being reported to the Federal Internal Revenue Service under arbitrage requirements are excludable.
(4) For debt arrangements over $1 million, unless the governmental unit makes an initial equity contribution to the asset purchase of 25 percent or more, the governmental unit shall reduce claims for interest cost by an amount equal to imputed interest earnings on excess cash flow, which is to be calculated as follows. Annually, governmental units shall prepare a cumulative (from the inception of the project) report of monthly cash flows that includes inflows and outflows, regardless of the funding source. Inflows consist of depreciation expense, amortization of capitalized construction interest, and annual interest cost. For cash flow calculations, the annual inflow figures shall be divided by the number of months in the year (
(5) Interest attributable to fully depreciated assets is unallowable.
10. Redesignated Attachment B, section 24. is amended by designating the current text as section a. and adding a new section 24.b. to read as follows:
24.
b. Executive lobbying costs. Costs incurred in attempting to improperly influence either directly or indirectly, an employee or officer of the Executive Branch of the Federal Government to give consideration or to act regarding a sponsored agreement or a regulatory matter are unallowable. Improper influence means any influence that induces or tends to induce a Federal employee or officer to give consideration or to act regarding a federally-sponsored agreement or regulatory matter on any basis other than the merits of the matter.
11. Attachment B, sections 26. through 30. are revised to read as follows:
26.
a. Costs incurred for materials, supplies, and fabricated parts necessary to carry out a Federal award are allowable.
b. Purchased materials and supplies shall be charged at their actual prices, net of applicable credits. Withdrawals from general stores or stockrooms should be charged at their actual net cost under any recognized method of pricing inventory withdrawals, consistently applied. Incoming transportation charges are a proper part of materials and supplies costs.
c. Only materials and supplies actually used for the performance of a Federal award may be charged as direct costs.
d. Where federally-donated or furnished materials are used in performing the Federal award, such materials will be used without charge.
27.
Costs of meetings and conferences, the primary purpose of which is the dissemination of technical information,
28.
a. Costs of the governmental unit's memberships in business, technical, and professional organizations are allowable.
b. Costs of the governmental unit's subscriptions to business, professional, and technical periodicals are allowable.
c. Costs of membership in civic and community, social organizations are allowable as a direct cost with the approval of the Federal awarding agency.
d. Costs of membership in organizations substantially engaged in lobbying are unallowable.
29.
a. The following costs relating to patent and copyright matters are allowable:
(1) Cost of preparing disclosures, reports, and other documents required by the Federal award and of searching the art to the extent necessary to make such disclosures;
(2) Cost of preparing documents and any other patent costs in connection with the filing and prosecution of a United States patent application where title or royalty-free license is required by the Federal Government to be conveyed to the Federal Government; and
(3) General counseling services relating to patent and copyright matters, such as advice on patent and copyright laws, regulations, clauses, and employee agreements (but
b. The following costs related to patent and copyright matter are unallowable:
(1) Cost of preparing disclosures, reports, and other documents and of searching the art to the extent necessary to make disclosures not required by the award,
(2) Costs in connection with filing and prosecuting any foreign patent application, or
(3) Any United States patent application, where the Federal award does not require conveying title or a royalty-free license to the Federal Government (but
30.
Necessary and reasonable expenses incurred for routine and homeland security to protect facilities, personnel, and work products are allowable. Such costs include, but are not limited to, wages and uniforms of personnel engaged in security activities; equipment; barriers; contractual security services; consultants; etc. Capital expenditures for homeland and plant security purposes are subject to section 15., Equipment and other capital expenditures, of this circular.
12. Attachment B, section 32. is revised to read as follows:
32.
a. Costs of professional and consultant services rendered by persons who are members of a particular profession or possess a special skill, and who are not officers or employees of the governmental unit, are allowable, subject to sections 32.b. and c. when reasonable in relation to the services rendered and when not contingent upon recovery of the costs from the Federal Government.
In addition, legal and related services are limited under Attachment B, section 10.
b. In determining the allowability of costs in a particular case, no single factor or any special combination of factors is necessarily determinative. However, the following factors are relevant:
(1) The nature and scope of the service rendered in relation to the service required.
(2) The necessity of contracting for the service, considering the governmental unit's capability in the particular area.
(3) The past pattern of such costs, particularly in the years prior to Federal awards.
(4) The impact of Federal awards on the governmental unit's business (
(5) Whether the proportion of Federal work to the governmental unit's total business is such as to influence the governmental unit in favor of incurring the cost, particularly where the services rendered are not of a continuing nature and have little relationship to work under Federal grants and contracts.
(6) Whether the service can be performed more economically by direct employment rather than contracting.
(7) The qualifications of the individual or concern rendering the service and the customary fees charged, especially on non-Federal awards.
(8) Adequacy of the contractual agreement for the service (
c. In addition to the factors in section 32.b, retainer fees to be allowable must be supported by available or rendered evidence of
13. Attachment B, section 34. is revised to read as follows:
34.
a. Publication costs include the costs of printing (including the processes of composition, plate-making, press work, binding, and the end products produced by such processes), distribution, promotion, mailing, and general handling. Publication costs also include page charges in professional publications.
b. If these costs are not identifiable with a particular cost objective, they should be allocated as indirect costs to all benefiting activities of the governmental unit.
c. Page charges for professional journal publications are allowable as a necessary part of research costs where:
(1) The research papers report work supported by the Federal Government; and
(2) The charges are levied impartially on all research papers published by the journal, whether or not by federally-sponsored authors.
14. Attachment B, sections 36. through 39. are revised to read as follows:
36.
37.
a. Subject to the limitations described in sections b. through d. of this section 37, rental costs are allowable to the extent that the rates are reasonable in light of such factors as: rental costs of comparable property, if any; market conditions in the area; alternatives available; and, the type, life expectancy, condition, and value of the property leased. Rental arrangements should be reviewed periodically to determine if circumstances have changed and other options are available.
b. Rental costs under “sale and lease back” arrangements are allowable only up to the amount that would be allowed had the governmental unit continued to own the property. This amount would include expenses such as depreciation or use allowance, maintenance, taxes, and insurance.
c. Rental costs under “less-than-arms-length” leases are allowable only up to the amount (as explained in Attachment B, section 37.b.) that would be allowed had title to the property vested in the
d. Rental costs under leases which are required to be treated as capital leases under GAAP are allowable only up to the amount (as explained in subsection b) that would be allowed had the governmental unit purchased the property on the date the lease agreement was executed. The provisions of Financial Accounting Standards Board Statement 13, Accounting for Leases, shall be used to determine whether a lease is a capital lease. Interest costs related to capital leases are allowable to the extent they meet the criteria in Attachment B, section 23. Unallowable costs include amounts paid for profit, management fees, and taxes that would not have been incurred had the governmental unit purchased the facility.
38.
a. Royalties on a patent or copyright or amortization of the cost of acquiring by purchase a copyright, patent, or rights thereto, necessary for the proper performance of the award are allowable unless:
(1) The Federal Government has a license or the right to free use of the patent or copyright.
(2) The patent or copyright has been adjudicated to be invalid, or has been administratively determined to be invalid.
(3) The patent or copyright is considered to be unenforceable.
(4) The patent or copyright is expired.
b. Special care should be exercised in determining reasonableness where the royalties may have been arrived at as a result of less-than-arm's-length bargaining,
(1) Royalties paid to persons, including corporations, affiliated with the governmental unit.
(2) Royalties paid to unaffiliated parties, including corporations, under an agreement entered into in contemplation that a Federal award would be made.
(3) Royalties paid under an agreement entered into after an award is made to a governmental unit.
c. In any case involving a patent or copyright formerly owned by the governmental unit, the amount of royalty allowed should not exceed the cost which would have been allowed had the governmental unit retained title thereto.
39.
22. Attachment B, section 41. is revised to read as follows:
41.
Termination of awards generally gives rise to the incurrence of costs, or the need for special treatment of costs, which would not have arisen had the Federal award not been terminated. Cost principles covering these items are set forth below. They are to be used in conjunction with the other provisions of this Circular in termination situations.
a. The cost of items reasonably usable on the governmental unit's other work shall not be allowable unless the governmental unit submits evidence that it would not retain such items at cost without sustaining a loss. In deciding whether such items are reasonably usable on other work of the governmental unit, the awarding agency should consider the governmental unit's plans and orders for current and scheduled activity.
Contemporaneous purchases of common items by the governmental unit shall be regarded as evidence that such items are reasonably usable on the governmental unit's other work. Any acceptance of common items as allocable to the terminated portion of the Federal award shall be limited to the extent that the quantities of such items on hand, in transit, and on order are in excess of the reasonable quantitative requirements of other work.
b. If in a particular case, despite all reasonable efforts by the governmental unit, certain costs cannot be discontinued immediately after the effective date of termination, such costs are generally allowable within the limitations set forth in this Circular, except that any such costs continuing after termination due to the negligent or willful failure of the governmental unit to discontinue such costs shall be unallowable.
c. Loss of useful value of special tooling, machinery, and equipment is generally allowable if:
(1) Such special tooling, special machinery, or equipment is not reasonably capable of use in the other work of the governmental unit,
(2) The interest of the Federal Government is protected by transfer of title or by other means deemed appropriate by the awarding agency, and
(3) The loss of useful value for any one terminated Federal award is limited to that portion of the acquisition cost which bears the same ratio to the total acquisition cost as the terminated portion of the Federal award bears to the entire terminated Federal award and other Federal awards for which the special tooling, machinery, or equipment was acquired.
d. Rental costs under unexpired leases are generally allowable where clearly shown to have been reasonably necessary for the performance of the terminated Federal award less the residual value of such leases, if:
(1) the amount of such rental claimed does not exceed the reasonable use value of the property leased for the period of the Federal award and such further period as may be reasonable, and
(2) the governmental unit makes all reasonable efforts to terminate, assign, settle, or otherwise reduce the cost of such lease. There also may be included the cost of alterations of such leased property, provided such alterations were necessary for the performance of the Federal award, and of reasonable restoration required by the provisions of the lease.
e. Settlement expenses including the following are generally allowable:
(1) Accounting, legal, clerical, and similar costs reasonably necessary for:
(a) The preparation and presentation to the awarding agency of settlement claims and supporting data with respect to the terminated portion of the Federal award, unless the termination is for default (
(b) The termination and settlement of subawards.
(2) Reasonable costs for the storage, transportation, protection, and disposition of property provided by the Federal Government or acquired or produced for the Federal award, except when grantees or contractors are reimbursed for disposals at a predetermined amount in accordance with sections_.31 and _.32 of the
f. Claims under subawards, including the allocable portion of claims which are common to the Federal award, and to other work of the governmental unit are generally allowable.
An appropriate share of the governmental unit's indirect expense may be allocated to the amount of settlements with subcontractors and/or subgrantees, provided that the amount allocated is otherwise consistent with the basic guidelines contained in Attachment A. The indirect expense so allocated shall exclude the same and similar costs claimed directly or indirectly as settlement expenses.
15. Attachment B, section 43. is revised to read as follows:
43.
a. General. Travel costs are the expenses for transportation, lodging, subsistence, and related items incurred by employees who are in travel status on official business of the governmental unit. Such costs may be charged on an actual cost basis, on a per diem or mileage basis in lieu of actual costs incurred, or on a combination of the two, provided the method used is applied to an entire trip and not to selected days of the trip, and results in charges consistent with those normally allowed in like circumstances in the governmental unit's non-federally-sponsored activities. Notwithstanding the provisions of Attachment B, section 19, General government expenses, travel costs of officials covered by that section are allowable with the prior approval of an awarding agency when they are specifically related to Federal awards.
b. Lodging and subsistence. Costs incurred by employees and officers for travel, including costs of lodging, other subsistence, and incidental expenses, shall be considered reasonable and allowable only to the extent such costs do not exceed charges normally allowed by the governmental unit in its regular operations as the result of the governmental unit's written travel policy. In the absence of an acceptable, written governmental unit policy regarding travel costs, the rates and amounts established under subchapter I of Chapter 57, Title 5, United States Code (“Travel and Subsistence Expenses; Mileage Allowances”), or by the Administrator of General Services, or by the President (or his or her designee) pursuant to any provisions of such subchapter shall apply to travel under Federal awards (48 CFR 31.205-46(a)).
c. Commercial air travel.
(1) Airfare costs in excess of the customary standard commercial airfare (coach or equivalent), Federal Government contract airfare (where authorized and available), or the lowest commercial discount airfare are unallowable except when such accommodations would:
(a) require circuitous routing;
(b) require travel during unreasonable hours;
(c) excessively prolong travel;
(d) result in additional costs that would offset the transportation savings; or
(e) offer accommodations not reasonably adequate for the traveler's medical needs. The governmental unit must justify and document these conditions on a case-by-case basis in order for the use of first-class airfare to be allowable in such cases.
(2) Unless a pattern of avoidance is detected, the Federal Government will generally not question a governmental unit's determinations that customary standard airfare or other discount airfare is unavailable for specific trips if the governmental unit can demonstrate either of the following: (a) that such airfare was not available in the specific case; or (b) that it is the governmental unit's overall practice to make routine use of such airfare.
d. Air travel by other than commercial carrier. Costs of travel by governmental unit-owned, -leased, or -chartered aircraft include the cost of lease, charter, operation (including personnel costs), maintenance, depreciation, insurance, and other related costs. The portion of such costs that exceeds the cost of allowable commercial air travel, as provided for in section 43.c., is unallowable.
e. Foreign travel. Direct charges for foreign travel costs are allowable only when the travel has received prior approval of the awarding agency. Each separate foreign trip must receive such approval. For purposes of this provision, “foreign travel” includes any travel outside Canada, Mexico, the United States, and any United States territories and possessions. However, the term “foreign travel” for a governmental unit located in a foreign country means travel outside that country.
1. Revise the table of contents to Attachment B as follows:
2. Redesignate the following paragraphs in Appendix B:
a. Paragraph 2. is redesignated as paragraph 3.
b. Paragraph 7. is redesignated as paragraph 8.
c. Paragraph 18. is redesignated as paragraph 19.
d. Paragraph 19. is redesignated as paragraph 20.
e. Paragraph 33. is redesignated as paragraph 32.
f. Paragraph 34. is redesignated as paragraph 33.
g. Paragraph 38. is redesignated as paragraph 36.
h. Paragraph 42. is redesignated as paragraph 39.
i. Paragraph 44. is redesignated as paragraph 41.
j. Paragraph 45. is redesignated as paragraph 42.
k. Paragraph 51. is redesignated as paragraph 47.
l. Paragraph 53. is redesignated as paragraph 49.
m. Paragraph 54. is redesignated as paragraph 50.
n. Paragraph 56. is redesignated as paragraph 52.
3. Attachment B, paragraphs 1. and 2. are revised to read as follows:
1.
a. The term advertising costs means the costs of advertising media and corollary administrative costs. Advertising media include magazines, newspapers, radio and television, direct mail, exhibits, electronic or computer transmittals, and the like.
b. The term public relations includes community relations and means those activities dedicated to maintaining the image of the organization or maintaining or promoting understanding and favorable relations with the community or public at large or any segment of the public.
c. The only allowable advertising costs are those which are solely for:
(1) The recruitment of personnel required for the performance by the organization of obligations arising under a Federal award (
(2) The procurement of goods and services for the performance of a Federal award;
(3) The disposal of scrap or surplus materials acquired in the performance of a Federal award except when governmental units are reimbursed for disposal costs at a predetermined amount; or
(4) Other specific purposes necessary to meet the requirements of the Federal award.
d. The only allowable public relations costs are:
(1) Costs specifically required by the Federal award;
(2) Costs of communicating with the public and press pertaining to specific activities or accomplishments which result from performance of Federal awards (these costs are considered necessary as part of the outreach effort for the Federal award); or
(3) Costs of conducting general liaison with news media and government public relations officers, to the extent that such activities are limited to communication and liaison necessary keep the public informed on matters of public concern, such as notices of Federal contract/grant awards, financial matters, etc.
e. Costs identified in subparagraphs c and d if incurred for more than one Federal award or for both sponsored work and other work of the organization, are allowable to the extent that the principles in Attachment A, paragraphs B. (“Direct Costs”) and C. (“Indirect Costs”) are observed.
f. Unallowable advertising and public relations costs include the following:
(1) All advertising and public relations costs other than as specified in paragraphs 1.c., d., and e.;
(2) Costs of meetings, conventions, convocations, or other events related to other activities of the organization, including:
(a) Costs of displays, demonstrations, and exhibits;
(b) Costs of meeting rooms, hospitality suites, and other special facilities used in conjunction with shows and other special events; and
(c) Salaries and wages of employees engaged in setting up and displaying exhibits, making demonstrations, and providing briefings;
(3) Costs of promotional items and memorabilia, including models, gifts, and souvenirs;
(4) Costs of advertising and public relations designed solely to promote the organization.
2.
Costs incurred by advisory councils or committees are allowable as a direct cost where authorized by the Federal awarding agency or as an indirect cost where allocable to Federal awards.
4. Attachment B, paragraphs 4. through 7. are revised to read as follows:
4.
a. The costs of audits required by, and performed in accordance with, the Single Audit Act, as implemented by Circular A-133, “Audits of States, Local Governments, and Non-Profit Organizations” are allowable.
b. Other audit costs are allowable if included in an indirect cost rate proposal, or if specifically approved by the awarding agency as a direct cost to an award.
c. The cost of agreed-upon procedures engagements to monitor subrecipients who are exempted from A-133 under section 200(d) are allowable, subject to the conditions listed in A-133, section 230(b)(2).
5.
6.
a. Bonding costs arise when the Federal Government requires assurance against financial loss to itself or others by reason of the act or default of the organization. They arise also in instances where the organization requires similar assurance. Included are such bonds as bid, performance, payment, advance payment, infringement, and fidelity bonds.
b. Costs of bonding required pursuant to the terms of the award are allowable.
c. Costs of bonding required by the organization in the general conduct of its operations are allowable to the extent that such bonding is in accordance with sound business practice and the rates and premiums are reasonable under the circumstances.
7.
5. In Attachment B, redesignated paragraph 8. is amended by redesignating paragraphs 8.f. through 8.i. as paragraphs 8.g. through 8.j. adding a new paragraph 8.f. and adding a new paragraph 8.k. to read as follows.
8.
f. Overtime, extra-pay shift, and multi-shift premiums. Premiums for overtime, extra-pay shifts, and multi-shift work are allowable only with the prior approval of the awarding agency except:
(1) When necessary to cope with emergencies, such as those resulting from accidents, natural disasters, breakdowns of equipment, or occasional operational bottlenecks of a sporadic nature.
(2) When employees are performing indirect functions, such as administration, maintenance, or accounting.
(3) In the performance of tests, laboratory procedures, or other similar operations which are continuous in nature and cannot reasonably be interrupted or otherwise completed.
(4) When lower overall cost to the Federal Government will result.
k. Severance pay.
(1) Severance pay, also commonly referred to as dismissal wages, is a payment in addition to regular salaries and wages, by organizations to workers whose employment is being terminated. Costs of severance pay are allowable only to the extent that in each case, it is required by
(a) Law,
(b) Employer-employee agreement,
(c) Established policy that constitutes, in effect, an implied agreement on the organization's part, or
(d) Circumstances of the particular employment.
(2) Costs of severance payments are divided into two categories as follows:
(a) Actual normal turnover severance payments shall be allocated to all activities; or, where the organization provides for a reserve for normal severances, such method will be acceptable if the charge to current operations is reasonable in light of payments actually made for normal severances over a representative past period, and if amounts charged are allocated to all activities of the organization.
(b) Abnormal or mass severance pay is of such a conjectural nature that measurement of costs by means of an accrual will not achieve equity to both parties. Thus, accruals for this purpose are not allowable. However, the Federal Government recognizes its obligation to participate, to the extent of its fair share, in any specific payment. Thus, allowability will be considered on a case-by-case basis in the event or occurrence.
(c) Costs incurred in certain severance pay packages (commonly known as “a golden parachute” payment) which are in an amount in excess of the normal severance pay paid by the organization to an employee upon termination of employment and are paid to the employee contingent upon a change in management control over, or ownership of, the organization's assets are unallowable.
(d) Severance payments to foreign nationals employed by the organization outside the United States, to the extent that the amount exceeds the customary or prevailing practices for the organization in the United States are unallowable, unless they are necessary for the performance of Federal programs and approved by awarding agencies.
(e) Severance payments to foreign nationals employed by the organization outside the United States due to the termination of the foreign national as a result of the closing of, or curtailment of activities by, the organization in that country, are unallowable, unless they are necessary for the performance of Federal programs and approved by awarding agencies.
6. Attachment B, paragraph 9. is revised to read as follows:
9.
The term “contingency reserve” excludes self-insurance reserves (
7. Attachment B, paragraphs 11. through 15. are revised to read as follows:
11.
a. Compensation for the use of buildings, other capital improvements, and equipment on hand may be made through use allowance or depreciation. However, except as provided in Attachment B, paragraph 11.f., a combination of the two methods may not be used in connection with a single class of fixed assets (
b. The computation of use allowances or depreciation shall be based on the acquisition cost of the assets involved. The acquisition cost of an asset donated to the organization by a third party shall be its fair market value at the time of the donation.
c. The computation of use allowances or depreciation will exclude:
(1) The cost of land;
(2) Any portion of the cost of buildings and equipment borne by or donated by the Federal Government irrespective of where title was originally vested or where it presently resides; and
(3) Any portion of the cost of buildings and equipment contributed by or for the organization in satisfaction of a statutory matching requirement.
d. Where depreciation method is followed, the period of useful service (useful life) established in each case for usable capital assets must take into consideration such factors as type of construction, nature of the equipment used, technological developments in the particular program area, and the renewal and replacement policies followed for the individual items or classes of assets involved. The method of depreciation used to assign the cost of an asset (or group of assets) to accounting periods shall reflect the pattern of consumption of the asset during its useful life.
In the absence of clear evidence indicating that the expected consumption of the asset will be significantly greater or lesser in the early portions of its useful life than in the later portions, the straight-line method shall be presumed to be the appropriate method.
Depreciation methods once used shall not be changed unless approved in advance by the cognizant Federal agency. When the depreciation method is introduced for application to assets previously subject to a use allowance, the combination of use allowances and depreciation applicable to such assets must not exceed the total acquisition cost of the assets.
e. When the depreciation method is used for buildings, a building's shell may be segregated from each building component (
f. When the depreciation method is used for a particular class of assets, no depreciation may be allowed on any such assets that, under subparagraph d, would be viewed as fully depreciated. However, a reasonable use allowance may be negotiated for such assets if warranted after taking into consideration the amount of depreciation previously charged to the Federal Government, the estimated useful life remaining at time of negotiation, the effect of any increased maintenance charges or decreased efficiency due to age, and any other factors pertinent to the utilization of the asset for the purpose contemplated.
g. Where the use allowance method is followed, the use allowance for buildings and improvement (including land improvements, such as paved parking areas, fences, and sidewalks) will be computed at an annual rate not exceeding two percent of acquisition cost.
The use allowance for equipment will be computed at an annual rate not exceeding 6
The two percent limitation, however, need not be applied to equipment which is merely attached or fastened to the building but not permanently fixed to it and which is used as furnishings or decorations or for specialized purposes (
h. Charges for use allowances or depreciation must be supported by adequate property records and physical inventories must be taken at least once every two years (a statistical sampling basis is acceptable) to ensure that assets exist and are usable and needed. When the depreciation method is followed, adequate depreciation records indicating the amount of depreciation taken each period must also be maintained.
12.
a. Contributions or donations rendered. Contributions or donations, including cash, property, and services, made by the organization, regardless of the recipient, are unallowable.
b. Donated services received:
(1) Donated or volunteer services may be furnished to a organization by professional and technical personnel, consultants, and other skilled and unskilled labor. The value of these services is not reimbursable either as a direct or indirect cost. However, the value of donated services may be used to meet cost sharing or matching requirements in accordance with OMB Circular A-110.
(2) The value of donated services utilized in the performance of a direct cost activity shall, when material in amount, be considered in the determination of the organization's indirect costs or rate(s) and, accordingly, shall be allocated a proportionate share of applicable indirect costs when the following exist:
(a) The aggregate value of the services is material;
(b) The services are supported by a significant amount of the indirect costs incurred by the organization; and
(c) The direct cost activity is not pursued primarily for the benefit of the Federal Government.
(3) In those instances where there is no basis for determining the fair market value of the services rendered, the recipient and the cognizant agency shall negotiate an appropriate allocation of indirect cost to the services.
(4) Where donated services directly benefit a project supported by an award, the indirect costs allocated to the services will be considered as a part of the total costs of the project. Such indirect costs may be reimbursed under the award or used to meet cost sharing or matching requirements.
(5) The value of the donated services may be used to meet cost sharing or matching requirements under conditions described in Sec. _.23 of Circular A-110. Where donated services are treated as indirect costs, indirect cost rates will separate the value of the donations so that reimbursement will not be made.
c. Donated goods or space.
(1) Donated goods;
(2) The value of the donations may be used to meet cost sharing or matching share requirements under the conditions described in Circular A-110. Where donations are treated as indirect costs, indirect cost rates will separate the value of the donations so that reimbursement will not be made.
13.
a. The costs of employee information publications, health or first-aid clinics and/or infirmaries, recreational activities, employee counseling services, and any other expenses incurred in accordance with the organization's established practice or custom for the improvement of working conditions, employer-employee relations, employee morale, and employee performance are allowable.
b. Such costs will be equitably apportioned to all activities of the organization. Income generated from any of these activities will be credited to the cost thereof unless such income has been irrevocably set over to employee welfare organizations.
14.
Costs of entertainment, including amusement, diversion, and social activities and any costs directly associated with such costs (such as tickets to shows or sports events, meals, lodging, rentals, transportation, and gratuities) are unallowable.
15.
a. For purposes of this subparagraph, the following definitions apply:
(1) “Capital Expenditures” means expenditures for the acquisition cost of capital assets (equipment, buildings, land), or expenditures to make improvements to capital assets that materially increase their value or useful life. Acquisition cost means the cost of the asset including the cost to put it in place. Acquisition cost for equipment, for example, means the net invoice price of the equipment, including the cost of any modifications, attachments, accessories, or auxiliary apparatus necessary to make it usable for the purpose for which it is acquired. Ancillary charges, such as taxes, duty, protective in transit insurance, freight, and installation may be included in, or excluded from the acquisition cost in accordance with the organization's regular accounting practices.
(2) “Equipment” means an article of nonexpendable, tangible personal property having a useful life of more than one year and an acquisition cost which equals or exceeds the lesser of the capitalization level established by the organization for financial statement purposes, or $5000.
(3) “Special purpose equipment” means equipment which is used only for research, medical, scientific, or other technical activities. Examples of special purpose equipment include microscopes, x-ray machines, surgical instruments, and spectrometers.
(4) “General purpose equipment” means equipment, which is not limited to research, medical, scientific or other technical activities. Examples include office equipment and furnishings, modular offices, telephone networks, information technology equipment and systems, air conditioning equipment, reproduction and printing equipment, and motor vehicles.
b. The following rules of allowability shall apply to equipment and other capital expenditures:
(1) Capital expenditures for general purpose equipment, buildings, and land are unallowable as direct charges, except where approved in advance by the awarding agency.
(2) Capital expenditures for special purpose equipment are allowable as direct costs, provided that items with a unit cost of $5000 or more have the prior approval of the awarding agency.
(3) Capital expenditures for improvements to land, buildings, or equipment which materially increase their value or useful life are unallowable as a direct cost except with the prior approval of the awarding agency.
(4) When approved as a direct charge pursuant to this paragraph 15.b.(1), (2), and (3), capital expenditures will be charged in the period in which the expenditure is incurred, or as otherwise determined appropriate by and negotiated with the awarding agency.
(5) Equipment and other capital expenditures are unallowable as indirect costs. However,
(6) The unamortized portion of any equipment written off as a result of a change in capitalization levels may be recovered by continuing to claim the
8. Attachment B, paragraphs 17. and 18., are revised to read as follows:
17.
a. Costs of organized fundraising, including financial campaigns, endowment drives, solicitation of gifts and bequests, and similar expenses incurred solely to raise capital or obtain contributions are unallowable.
b. Costs of investment counsel and staff and similar expenses incurred solely to enhance income from investments are unallowable.
c. Fundraising and investment activities shall be allocated an appropriate share of indirect costs under the conditions described in subparagraph B.3 of Attachment A.
18.
a.(1) Gains and losses on sale, retirement, or other disposition of depreciable property shall be included in the year in which they occur as credits or charges to cost grouping(s) in which the depreciation applicable to such property was included. The amount of the gain or loss to be included as a credit or charge to the appropriate cost grouping(s) shall be the difference between the amount realized on the property and the undepreciated basis of the property.
(2) Gains and losses on the disposition of depreciable property shall not be recognized as a separate credit or charge under the following conditions:
(a) The gain or loss is processed through a depreciation account and is reflected in the depreciation allowable under Attachment B, paragraph 11.
(b) The property is given in exchange as part of the purchase price of a similar item and the gain or loss is taken into account in determining the depreciation cost basis of the new item.
(c) A loss results from the failure to maintain permissible insurance, except as otherwise provided in Attachment B, paragraph 22.
(d) Compensation for the use of the property was provided through use allowances in lieu of depreciation in accordance with paragraph 11.
(e) Gains and losses arising from mass or extraordinary sales, retirements, or other dispositions shall be considered on a case-by-case basis.
b. Gains or losses of any nature arising from the sale or exchange of property other than the property covered in subparagraph a shall be excluded in computing award costs.
9. Attachment B, paragraph 21. is revised to read as follows:
21.
a. As used in this paragraph the following terms have the meanings set forth below:
(1) “Facilities” means land and buildings or any portion thereof, equipment individually or collectively, or any other tangible capital asset, wherever located, and whether owned or leased by the organization.
(2) “Idle facilities” means completely unused facilities that are excess to the organization's current needs.
(3) “Idle capacity” means the unused capacity of partially used facilities. It is the difference between: (a) That which a facility could achieve under 100 percent operating time on a one-shift basis less operating interruptions resulting from time lost for repairs, setups, unsatisfactory materials, and other normal delays; and (b) the extent to which the facility was actually used to meet demands during the accounting period. A multi-shift basis should be used if it can be shown that this amount of usage would normally be expected for the type of facility involved.
(4) “Cost of idle facilities or idle capacity” means costs such as maintenance, repair, housing, rent, and other related costs,
b. The costs of idle facilities are unallowable except to the extent that:
(1) They are necessary to meet fluctuations in workload; or
(2) Although not necessary to meet fluctuations in workload, they were necessary when acquired and are now idle because of changes in program requirements, efforts to achieve more economical operations, reorganization, termination, or other causes which could not have been reasonably foreseen. Under the exception stated in this subparagraph, costs of idle facilities are allowable for a reasonable period of time, ordinarily not to exceed one year, depending on the initiative taken to use, lease, or dispose of such facilities.
c. The costs of idle capacity are normal costs of doing business and are a factor in the normal fluctuations of usage or indirect cost rates from period to period. Such costs are allowable, provided that the capacity is reasonably anticipated to be necessary or was originally reasonable and is not subject to reduction or elimination by use on other Federal awards, subletting, renting, or sale, in accordance with sound business, economic, or security practices. Widespread idle capacity throughout an entire facility or among a group of assets having substantially the same function may be considered idle facilities.
10. Attachment B, paragraph 23. is revised to read as follows:
23.
(1) For facilities acquisitions (excluding renovations and alterations) costing over $10 million where the Federal Government's reimbursement is expected to equal or exceed 40 percent of an asset's cost, the organization prepares, prior to the acquisition or replacement of the capital asset(s), a justification that demonstrates the need for the facility in the conduct of federally-sponsored activities. Upon request, the needs justification must be provided to the Federal agency with cost cognizance authority as a prerequisite to the continued allowability of interest on debt and depreciation related to the facility. The needs justification for the acquisition of a facility should include, at a minimum, the following:
(a) A statement of purpose and justification for facility acquisition or replacement;
(b) A statement as to why current facilities are not adequate;
(c) A statement of planned future use of the facility;
(d) A description of the financing agreement to be arranged for the facility;
(e) A summary of the building contract with estimated cost information and statement of source and use of funds;
(f) A schedule of planned occupancy dates.
(2) For facilities costing over $500,000, the non-profit organization prepares, prior to the acquisition or replacement of the facility, a lease/purchase analysis in accordance with the provisions of Sections _.30 through _.37 of Circular A-110, which shows that a financed purchase or capital lease is less costly to the organization than other leasing alternatives, on a net present value basis. Discount rates used should be equal to the non-profit organization's anticipated interest rates and should be no higher than the fair market rate available to the non-profit organization from an unrelated (“arm's
(3) The actual interest cost claimed is predicated upon interest rates that are no higher than the fair market rate available to the non-profit organization from an unrelated (“arm's length”) third party.
(4) Investment earnings, including interest income, on bond or loan principal, pending payment of the construction or acquisition costs, are used to offset allowable interest cost. Arbitrage earnings reportable to the Internal Revenue Service are not required to be offset against allowable interest costs.
(5) Reimbursements are limited to the least costly alternative based on the total cost analysis required under subparagraph (b). For example, if an operating lease is determined to be less costly than purchasing through debt financing, then reimbursement is limited to the amount determined if leasing had been used. In all cases where a lease/purchase analysis is performed, Federal reimbursement shall be based upon the least expensive alternative.
(6) Organizations are also subject to the following conditions:
(a) Interest on debt incurred to finance or refinance assets acquired before or reacquired after September 29, 1995, is not allowable.
(b) Interest attributable to fully depreciated assets is unallowable.
(c) For debt arrangements over $1 million, unless the non-profit organization makes an initial equity contribution to the asset purchase of 25 percent or more, non-profit organizations shall reduce claims for interest expense by an amount equal to imputed interest earnings on excess cash flow, which is to be calculated as follows. Annually, non-profit organizations shall prepare a cumulative (from the inception of the project) report of monthly cash flows that includes inflows and outflows, regardless of the funding source. Inflows consist of depreciation expense, amortization of capitalized construction interest, and annual interest expense. For cash flow calculations, the annual inflow figures shall be divided by the number of months in the year (usually 12) that the building is in service for monthly amounts. Outflows consist of initial equity contributions, debt principal payments (less the pro rata share attributable to the unallowable costs of land) and interest payments. Where cumulative inflows exceed cumulative outflows, interest shall be calculated on the excess inflows for that period and be treated as a reduction to allowable interest expense. The rate of interest to be used to compute earnings on excess cash flows shall be the three month Treasury Bill closing rate as of the last business day of that month.
(d) Substantial relocation of federally-sponsored activities from a facility financed by indebtedness, the cost of which was funded in whole or part through Federal reimbursements, to another facility prior to the expiration of a period of 20 years requires notice to the Federal cognizant agency. The extent of the relocation, the amount of the Federal participation in the financing, and the depreciation and interest charged to date may require negotiation and/or downward adjustments of replacement space charged to Federal programs in the future.
(e) The allowable costs to acquire facilities and equipment are limited to a fair market value available to the non-profit organization from an unrelated (“arm's length”) third party.
b. For non-profit organizations subject to “full coverage” under the Cost Accounting Standards (CAS) as defined at 48 CFR 9903.201, the interest allowability provisions of subparagraph a do not apply. Instead, these organizations' sponsored agreements are subject to CAS 414 (48 CFR 9903.414), cost of money as an element of the cost of facilities capital, and CAS 417 (48 CFR 9903.417), cost of money as an element of the cost of capital assets under construction.
c. The following definitions are to be used for purposes of this paragraph:
(1) Re-acquired assets means assets held by the non-profit organization prior to September 29, 1995 that have again come to be held by the organization, whether through repurchase or refinancing. It does not include assets acquired to replace older assets.
(2) Initial equity contribution means the amount or value of contributions made by organizations for the acquisition of the asset or prior to occupancy of facilities.
(3) Asset costs means the capitalizable costs of an asset, including construction costs, acquisition costs, and other such costs capitalized in accordance with GAAP.
11. Attachment B, paragraph 25. is amended by adding a new sub-paragraph d. at the end to read as follows:
25.
d. Executive lobbying costs. Costs incurred in attempting to improperly influence either directly or indirectly, an employee or officer of the Executive Branch of the Federal Government to give consideration or to act regarding a sponsored agreement or a regulatory matter are unallowable. Improper influence means any influence that induces or tends to induce a Federal employee or officer to give consideration or to act regarding a federally-sponsored agreement or regulatory matter on any basis other than the merits of the matter.
12. Attachment B, paragraph 26. is amended by revising the title to read as follows:
26.
13. Attachment B, paragraphs 27. through 30. are revised to read as follows:
27.
Costs incurred for necessary maintenance, repair, or upkeep of buildings and equipment (including Federal property unless otherwise provided for) which neither add to the permanent value of the property nor appreciably prolong its intended life, but keep it in an efficient operating condition, are allowable. Costs incurred for improvements which add to the permanent value of the buildings and equipment or appreciably prolong their intended life shall be treated as capital expenditures (
28.
a. Costs incurred for materials, supplies, and fabricated parts necessary to carry out a Federal award are allowable.
b. Purchased materials and supplies shall be charged at their actual prices, net of applicable credits. Withdrawals from general stores or stockrooms should be charged at their actual net cost under any recognized method of pricing inventory withdrawals, consistently applied. Incoming transportation charges are a proper part of materials and supplies costs.
c. Only materials and supplies actually used for the performance of a Federal award may be charged as direct costs.
d. Where federally-donated or furnished materials are used in performing the Federal award, such materials will be used without charge.
29.
Costs of meetings and conferences, the primary purpose of which is the dissemination of technical information, are allowable. This includes costs of meals, transportation, rental of facilities, speakers' fees, and other items incidental to such meetings or conferences. But
30.
a. Costs of the organization's membership in business, technical, and professional organizations are allowable.
b. Costs of the organization's subscriptions to business, professional, and technical periodicals are allowable.
c. Costs of membership in any civic or community organization are allowable with prior approval by Federal cognizant agency.
d. Costs of membership in any country club or social or dining club or organization are unallowable.
14. Attachment B, paragraphs 34. and 35. are revised to read as follows:
34.
a. The following costs relating to patent and copyright matters are allowable:
(1) Cost of preparing disclosures, reports, and other documents required by the Federal award and of searching the art to the extent necessary to make such disclosures;
(2) Cost of preparing documents and any other patent costs in connection with the filing and prosecution of a United States patent application where title or royalty-free license is required by the Federal Government to be conveyed to the Federal Government; and
(3) General counseling services relating to patent and copyright matters, such as advice on patent and copyright laws, regulations, clauses, and employee agreements (but
b. The following costs related to patent and copyright matter are unallowable:
(1) Cost of preparing disclosures, reports, and other documents and of searching the art to the extent necessary to make disclosures not required by the award.
(2) Costs in connection with filing and prosecuting any foreign patent application, or any United States patent application, where the Federal award does not require conveying title or a royalty-free license to the Federal Government (but
35.
Necessary and reasonable expenses incurred for routine and homeland security to protect facilities, personnel, and work products are allowable. Such costs include, but are not limited to, wages and uniforms of personnel engaged in security activities; equipment; barriers; contractual security services; consultants;
15. In Attachment B, redesignated paragraph 36. is amended by revising the title to read as follows:
36.
16. Attachment B, paragraphs 37. and 38. are revised to read as follows:
37.
a. Costs of professional and consultant services rendered by persons who are members of a particular profession or possess a special skill, and who are not officers or employees of the organization, are allowable, subject to subparagraphs b. and c. of this paragraph 37. when reasonable in relation to the services rendered and when not contingent upon recovery of the costs from the Federal Government.
In addition, legal and related services are limited under Attachment B, paragraph 10.
b. In determining the allowability of costs in a particular case, no single factor or any special combination of factors is necessarily determinative. However, the following factors are relevant:
(1) The nature and scope of the service rendered in relation to the service required.
(2) The necessity of contracting for the service, considering the organization's capability in the particular area.
(3) The past pattern of such costs, particularly in the years prior to Federal awards.
(4) The impact of Federal awards on the organization's business (
(5) Whether the proportion of Federal work to the organization's total business is such as to influence the organization in favor of incurring the cost, particularly where the services rendered are not of a continuing nature and have little relationship to work under Federal grants and contracts.
(6) Whether the service can be performed more economically by direct employment rather than contracting.
(7) The qualifications of the individual or concern rendering the service and the customary fees charged, especially on non-Federal awards.
(8) Adequacy of the contractual agreement for the service (
c. In addition to the factors in this Attachment B, paragraph 37.b., retainer fees to be allowable must be supported by evidence of bona fide services available or rendered.
38.
a. Publication costs include the costs of printing (including the processes of composition, plate-making, press work, binding, and the end products produced by such processes), distribution, promotion, mailing, and general handling. Publication costs also include page charges in professional publications.
b. If these costs are not identifiable with a particular cost objective, they should be allocated as indirect costs to all benefiting activities of the organization.
c. Page charges for professional journal publications are allowable as a necessary part of research costs where:
(1) The research papers report work supported by the Federal Government; and
(2) The charges are levied impartially on all research papers published by the journal, whether or not by federally-sponsored authors.
17. Attachment B, paragraph 40 is revised to read as follows:
40.
18. Attachment B, paragraphs 43. through 46., are revised to read as follows:
43.
a. Subject to the limitations described in subparagraphs b. through d. of this paragraph 43., rental costs are allowable to the extent that the rates are reasonable in light of such factors as: rental costs of comparable property, if any; market conditions in the area; alternatives available; and the type, life expectancy, condition, and value of the property leased. Rental arrangements should be reviewed periodically to determine if circumstances have changed and other options are available.
b. Rental costs under “sale and lease back” arrangements are allowable only up to the amount that would be allowed had the organization continued to own the property. This amount would include expenses such as depreciation or use allowance, maintenance, taxes, and insurance.
c. Rental costs under “less-than-arm's-length” leases are allowable only up to the amount (as explained in subparagraph b. of this paragraph 43.) that would be allowed had title to the property vested in the organization. For this purpose, a less-than-arm's-length lease is one under which one party to the lease agreement is able to control or substantially influence the actions of the other. Such leases include, but are not limited to those between:
(1) Divisions of an organization;
(2) Organizations under common control through common officers, directors, or members; and
(3) An organization and a director, trustee, officer, or key employee of the organization or his immediate family, either directly or through corporations, trusts, or similar arrangements in which they hold a controlling interest.
For example, an organization may establish a separate corporation for the sole purpose of owning property and leasing it back to the organization.
d. Rental costs under leases which are required to be treated as capital leases under GAAP are allowable only up to the amount (as explained in subparagraph b. of this paragaph 43.) that would be allowed had the organization purchased the property on the date the lease agreement was executed. The provisions of Financial Accounting Standards Board Statement 13, Accounting for Leases, shall be used to determine whether a lease is a capital lease. Interest costs related to capital leases are allowable to the extent they meet the criteria in Attachment B, paragraph 23. Unallowable costs include amounts paid for profit, management fees, and taxes that would not have been incurred had the organization purchased the facility.
44.
a. Royalties on a patent or copyright or amortization of the cost of acquiring by purchase a copyright, patent, or rights thereto, necessary for the proper performance of the award are allowable unless:
(1) The Federal Government has a license or the right to free use of the patent or copyright.
(2) The patent or copyright has been adjudicated to be invalid, or has been administratively determined to be invalid.
(3) The patent or copyright is considered to be unenforceable.
(4) The patent or copyright is expired.
b. Special care should be exercised in determining reasonableness where the royalties may have arrived at as a result of less-than-arm's-length bargaining,
(1) Royalties paid to persons, including corporations, affiliated with the organization.
(2) Royalties paid to unaffiliated parties, including corporations, under an agreement entered into in contemplation that a Federal award would be made.
(3) Royalties paid under an agreement entered into after an award is made to an organization.
c. In any case involving a patent or copyright formerly owned by the organization, the amount of royalty allowed should not exceed the cost which would have been allowed had the organization retained title thereto.
45.
46.
a. The costs of services provided by highly complex or specialized facilities operated by the organization, such as computers, wind tunnels, and reactors are allowable, provided the charges for the services meet the conditions of either 46.b. or c. and, in addition, take into account any items of income or Federal financing that qualify as applicable credits under Attachment A, paragraph 5, of this circular.
b. The costs of such services, when material, must be charged directly to applicable awards based on actual usage of the services on the basis of a schedule of rates or established methodology that:
(1) Does not discriminate against federally-supported activities of the organization, including usage by the organization for internal purposes; and
(2) Is designed to recover only the aggregate costs of the services. The costs of each service shall consist normally of both its direct costs and its allocable share of all indirect costs. Rates shall be adjusted at least biennially, and shall take into consideration over/under applied costs of the previous period(s).
c. Where the costs incurred for a service are not material, they may be allocated as indirect costs.
d. Under some extraordinary circumstances, where it is in the best interest of the Federal Government and the organization to establish alternative costing arrangements, such arrangements may be worked out with the cognizant Federal agency.
19. Attachment B, paragraph 48, is revised to read as follows:
48.
Termination of awards generally gives rise to the incurrence of costs, or the need for special treatment of costs, which would not have arisen had the Federal award not been terminated. Cost principles covering these items are set forth below. They are to be used in conjunction with the other provisions of this Circular in termination situations.
a. The cost of items reasonably usable on the organization's other work shall not be allowable unless the organization submits evidence that it would not retain such items at cost without sustaining a loss. In deciding whether such items are reasonably usable on other work of the organization, the awarding agency should consider the organization's plans and orders for current and scheduled activity.
Contemporaneous purchases of common items by the organization shall be regarded as evidence that such items are reasonably usable on the organization's other work. Any acceptance of common items as allocable to the terminated portion of the Federal award shall be limited to the extent that the quantities of such items on hand, in transit, and on order are in excess of the reasonable quantitative requirements of other work.
b. If in a particular case, despite all reasonable efforts by the organization, certain costs cannot be discontinued
c. Loss of useful value of special tooling, machinery, and is generally allowable if:
(1) Such special tooling, special machinery, or equipment is not reasonably capable of use in the other work of the organization,
(2) The interest of the Federal Government is protected by transfer of title or by other means deemed appropriate by the awarding agency, and
(3) The loss of useful value for any one terminated Federal award is limited to that portion of the acquisition cost which bears the same ratio to the total acquisition cost as the terminated portion of the Federal award bears to the entire terminated Federal award and other Federal awards for which the special tooling, special machinery, or equipment was acquired.
d. Rental costs under unexpired leases are generally allowable where clearly shown to have been reasonably necessary for the performance of the terminated Federal award less the residual value of such leases, if:
(1) the amount of such rental claimed does not exceed the reasonable use value of the property leased for the period of the Federal award and such further period as may be reasonable, and
(2) the organization makes all reasonable efforts to terminate, assign, settle, or otherwise reduce the cost of such lease. There also may be included the cost of alterations of such leased property, provided such alterations were necessary for the performance of the Federal award, and of reasonable restoration required by the provisions of the lease.
e. Settlement expenses including the following are generally allowable:
(1) Accounting, legal, clerical, and similar costs reasonably necessary for:
(a) The preparation and presentation to the awarding agency of settlement claims and supporting data with respect to the terminated portion of the Federal award, unless the termination is for default (
(b) The termination and settlement of subawards.
(2) Reasonable costs for the storage, transportation, protection, and disposition of property provided by the Federal Government or acquired or produced for the Federal award, except when grantees or contractors are reimbursed for disposals at a predetermined amount in accordance with sections _.32 through _.37 of Circular A-110.
(3) Indirect costs related to salaries and wages incurred as settlement expenses in subparagraphs e.(1) and (2) of this paragraph 48. Normally, such indirect costs shall be limited to fringe benefits, occupancy cost, and immediate supervision.
f. Claims under sub awards, including the allocable portion of claims which are common to the Federal award, and to other work of the organization are generally allowable.
An appropriate share of the organization's indirect expense may be allocated to the amount of settlements with subcontractors and/or subgrantees, provided that the amount allocated is otherwise consistent with the basic guidelines contained in Attachment A. The indirect expense so allocated shall exclude the same and similar costs claimed directly or indirectly as settlement expenses.
20. In Attachment B, redesignated paragraph 49. is amended by revising the title to read as follows:
49.
21. Attachment B, paragraph 51. is revised to read as follows:
51.
a. General. Travel costs are the expenses for transportation, lodging, subsistence, and related items incurred by employees who are in travel status on official business of the organization. Such costs may be charged on an actual cost basis, on a per diem or mileage basis in lieu of actual costs incurred, or on a combination of the two, provided the method used is applied to an entire trip and not to selected days of the trip, and results in charges consistent with those normally allowed in like circumstances in the organization's non-federally-sponsored activities.
b. Lodging and subsistence. Costs incurred by employees and officers for travel, including costs of lodging, other subsistence, and incidental expenses, shall be considered reasonable and allowable only to the extent such costs do not exceed charges normally allowed by the organization in its regular operations as the result of the organization's written travel policy. In the absence of an acceptable, written organization policy regarding travel costs, the rates and amounts established under subchapter I of Chapter 57, Title 5, United States Code (“Travel and Subsistence Expenses; Mileage Allowances”), or by the Administrator of General Services, or by the President (or his or her designee) pursuant to any provisions of such subchapter shall apply to travel under Federal awards (48 CFR 31.205-46(a)).
c. Commercial air travel.
(1) Airfare costs in excess of the customary standard commercial airfare (coach or equivalent), Federal Government contract airfare (where authorized and available), or the lowest commercial discount airfare are unallowable except when such accommodations would:
(a) Require circuitous routing;
(b) Require travel during unreasonable hours;
(c) Excessively prolong travel;
(d) Result in additional costs that would offset the transportation savings; or
(e) Offer accommodations not reasonably adequate for the traveler's medical needs. The organization must justify and document these conditions on a case-by-case basis in order for the use of first-class airfare to be allowable in such cases.
(2) Unless a pattern of avoidance is detected, the Federal Government will generally not question an organization's determinations that customary standard airfare or other discount airfare is unavailable for specific trips if the organization can demonstrate either of the following: (a) that such airfare was not available in the specific case; or (b) that it is the organization's overall practice to make routine use of such airfare.
d. Air travel by other than commercial carrier. Costs of travel by organization-owned, -leased, or -chartered aircraft include the cost of lease, charter, operation (including personnel costs), maintenance, depreciation, insurance, and other related costs. The portion of such costs that exceeds the cost of allowable commercial air travel, as provided for in paragraph c. of this paragraph 51., is unallowable.
e. Foreign travel. Direct charges for foreign travel costs are allowable only when the travel has received prior approval of the awarding agency. Each separate foreign trip must receive such approval. For purposes of this provision, “foreign travel” includes any travel outside Canada, Mexico, the United States, and any United States territories and possessions. However, the term “foreign travel” for an organization located in a foreign country means travel outside that country.