Sorn Llm-32

V o l. 56

N o. 26

Thursday
February 7, 1991

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2-7-91
Vol. 56
No. 26
Pages 4927-5150

Thursday
February 7, 1991

Briefings on How To Use the Federal Register
For information on briefings in Washington. DC, Los
Angeles and San Diego, CA, see announcement on the
inside cover of this issue.

II

Federal Register / Vol. 56, No. 26 / Thursday» February 7, 1991

THE FEDERAL REGISTER
FEDERAL REGISTER Published daily, Monday through Friday,
(not published on Saturdays, Sundays, or on official holidays),
by the Office of the Federal Register, National Archives and
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ry

I ll

Contents

Federal Register

Vol. 56, No. 26
Thursday, February 7, 1991

Agency for International Development

Coast Guard

NOTICES

RULES

Committees; establishment, renewal, termination, etc.:
International Food and Agricultural Development and
Economic Cooperation Board, 5019

Ports and w aterways safety:
Cape Fear River, NC; security zone, 4943

Agricultural Marketing Service

See Export Administration Bureau; International Trade
Administration; Minority Business Development
Agency; National Institute of Standards and
Technology; National Oceanic and Atmospheric
Administration; National Technical Information Service

Commerce Department
PROPOSED RULES

Avocados grown in Florida, 4953
Dairy products; grading, inspection, and standards:
Dry sweetcream buttermilk, 4951
Milk marketing orders:
New England et al., 4955
Agricultural Stabilization and Conservation Service
NOTICES

Meetings:
National Conservation Review Group, 4968
Agriculture Department

See Agricultural Marketing Service; Agricultural
Stabilization and Conservation Service; Animal and
Plant Health Inspection Service; Forest Service
Animal and Plant Health Inspection Service
RULES

Interstate transportation of animals and animal products
(quarantine):
Brucellosis in cattle and bison—
State and area classifications, 4937
Brucellosis in swine—
State and area classifications, 4936, 4937
(2 documents)
Plant-related quarantine, domestic:
Fire ants, imported, 4933
Oriental fruit fly, 4931
Witchweed, 4932
Antitrust Division
NOTICES

National cooperative research notifications:
Bell Communications Research, Inc., 5021
Petrotechnical Open Software Corp., 5021
Arts and Humanities, National Foundation

See National Foundation on the Arts and the Humanities
Centers for Disease Control
NOTICES

Committees; establishment, renewal, termination, etc.:
Hospital Infection Control Practices Advisory Committee,
5006
Electrical line mechanics; injury among a cohort; NIOSH
meeting, 5007
Immunization Practices Advisory Committee, 5006
National cholesterol reference method laboratory network's
program for cholesterol testing, 5006

Commodity Futures Trading Commission
NOTICES

Uruguay; issuance and sale and subsequent resale o f
certain detachable rights, 4983
Defense Department

See Navy Department
Education Department
NOTICES

Meetings:
Vocational Education National Council, 4986
Employment and Training Administration
NOTICES

Grant and cooperative agreement awards:
Job Training Partnership Act—
Contact Center, Inc., 5022
Job Training Partnership Act:
Program capacity; options for strengthening the system,
5022
Nonimmigrant aliens temporarily employed as registered
nurses; attestations by facilities; list, 5025
Energy Department

See also Energy Information Administration; Federal Energy
Regulatory Commission; Hearings and Appeals Office,
Energy Department
RULES

Acquisition regulations:
Profit making and fee bearing management and operating
contractors; fee schedule, 5064
NOTICES

Natural gas exportation and importation:
Clajon Marketing, L.P., 4989
Coenergy Ventures, Inc., 4990
PSI Gas Marketing, Inc., 4991
Transco Energy Marketing Co., 4991
W arroad, MN, 4991
Energy Information Administration
NOTICES

Agency information collection activities under OMB review,
4986

Civil Rights Commission

Environmental Protection Agency

NOTICES

RULES

Meetings; State advisory committees:
California, 4970

Air programs; State authority delegations:
California, 4944

IV

Federal Register / Vol. 56, No. 26 / T h u rsd ay , February 7, 1991 / Contents

Pesticides; tolerances in food, animal feeds, and ravr
agricultural commodities:
Petition processing fees increase, 4940
PROPOSED RULES

•

Drinking water:
Injection wells (Class II wells); negotiated rulemaking
committee possible establishment, issues, etc., 4957
Pesticides; tolerances in food, animal feeds, and raw
agricultural commodities:
Glyphosate, 4959
W ater programs:
Pollutants analysis test procedures; guidelines, 5090
NOTICES

Pesticide registration, cancellation, etc.:
Aminocarb, etc., 4992
Ciba-Geigy Corp. et'al., 4995
Pesticides; temporary tolerances:
Myclobutanil, 4997
Toxic and hazardous substances control:
Premanufacture notices; monthly status reports, 4997
Executive Office of the President

See Presidential Documents

Federal Maritime Commission
NOTICES

Agreements filed, etc., 5005
Casualty and nonperformance certificates:
California Cruise Lines, Inc., et al., 5006
Freight forwarder licenses:
Expedite, Inc., et al., 5006
Fish and Wildlife Service
PROPOSED RULES

Endangered Species Convention:
Appendices; amendments, 4965
NOTICES

Meetings:
Klamath Fishery Management Council, 5017
Food and Drug Administration
NOTICES

Human drugs:
Export applications—
Adapin® (doxepin HCL) capsules, 5007

■

Forest Service
n o t ic e s

Export Administration Bureau
NOTICES

Meetings:
Electronic Instrumentation Technical Advisory
Committee, 4970

Environmental statements; availability, etc.:
Flathead National Forest, MT* 4968
W allowa-W hitman National Forest, OR, 4968
General Services Administration
RULES

Federal Aviation Administration
PROPOSEO RULES

Federal Information Resources Management Regulation;
Improvement project; implementation; correction, 4947.

Control zones; correction, 4950
Geological Survey
Federal Communications Commission
RULES

Radio stations; table of assignments:
Michigan, 4949
Missouri, 4949
Montana, 4949
Oklahoma, 4950
NOTICES

NOTICES

Grant and cooperative agreement awards:
Southern California Earthquake Center, 5019
Harry S. Truman Scholarship Foundation
NOTICES

Agency information collection activities under OMB review,
5057

Agency information collection activities under OMB review,
5005
,

Health and Human Services Department

Federal Election Commission

See Centers for Disease Control; Food and Drug
Administration; Health Care Financing Administration;
Health Resources and Services Administration;
National Institutes of Health

NOTICES

Meetings; Sunshine Act, 5060
Federal Emergency Management Agency
NOTICES

Disaster and emergency areas:
Indiana, 5005
(2 documents)

Health Care Financing Administration
NOTICES

Privacy Act:
v
Systems of records, 5007
Health Resources and Services Administration
NOTICES

Federal Energy Regulatory Commission
NOTICES

Hydroelectric applications, 4987
Natural Gas Policy Act:
State jurisdictional agencies tight formation
recommendations; preliminary findings—
Montana Natural Resources and Conservation
Department, Oil and Gas Conservation Board, et
al;, 4989
Applications, hearings, determ inations, etc.:
Columbia Gas Transmission Corp. et al„ 4989

Grants and cooperative agreements; availability, etc.:
Rural health outreach program, 5012
Hearings and Appeals Office, Energy Department
NOTICES

Cases Bled, 4991
Interior Department

See also Fish arid Wildlife Service; Geological Survey;
Hearing and Appeals Office; Land Management Bureau;
Surface Mining Reclamation and Enforcement Office

Federal Register / Vol. 50, No. 26 / Thursday, February 7, 1991 / Contents

NOTICES

V

Meetings: .
Albuquerque District Grazing Advisory Board, 5017
Susanville District Grazing Advisory Board, 5017
Vale District Multiple Use Advisory Council, 5018
Oil and gas leases:
Wyoming, 5018
Realty actions; sales, leases, etc,:
California, 5018
Resource management plans, etc.:
Kingman Resource Area, AZ, 5019

Privacy Act:
Systems of records, 5014-5016
(2 documents)
Hearings and Appeals Office, Interior Department
RULES

Hearings and appeals:
Surface coal mining: special rules
Correction, 5061
Internal Revenue Service

Minority Business Development Agency

RULES

Income taxes:
Cash receipts and disbursement; accounting methods; use
limitation
Correction, 5062
PROPOSED RULES

Employment taxes and collection of income taxes at source:
Employment taxes deposits—
Correction, 4956

NOTICES

Business development center program applications:
Alaska, 4972
California, 4973-4976
(4 documents)
Hawaii, 4977
Nevada, 4978
Oregon, 4979

International Development Cooperation Agency

National Archives and Records Administration

See Agency for International Development

NOTICES

Agency records schedules; availability, 5026
International Trade Administration
NOTICES

National Credit Union Administration

Antidumping:
Elemental sulphur from—
Canada, 4970
Short supply determinations:
Continuous cast steel slabs; correction, 5061
Applications, hearings, determ inations, etc.:
University of—
California et al., 4971

PROPOSED RULES

Credit unions:
Organization and operations—
Federal Credit Unions; correction, 5061
National Foundation on the Arts and the Humanities
NOTICES

Interstate Commerce Commission
NOTICES

Rail carriers:
Direct service orders—
D&H Corp. et al., 5019
Railroad operation, acquisition, construction, etc.:
St. Louis Southwestern Railway Co., 5020
Railroad services abandonment:
CSX Transportation, Inc., 5020
(2 documents)
St. Lawrence & Raquette River Railroad, 5020

<

Justice Department

See also Antitrust Division; National Institute of
Corrections
RULES

Organization, functions, and authority delegations:
Defense Secretary, 4943
Labor Department

See Employment and Training Administration; Occupational
Safety and Health Administration; Veterans
Employment and Training, Office of A ssistant Secretary
Land Management Bureau
n o t ic e s

Environmental statements; availability, etc.:
Exxon Wyoming-Dakota Pipeline Segment et al., ND and
WY, 5016

Grants and cooperative agreements; availability, etc.:
Arts design access program, 5027
Meetings:
Expansion Arts Advisory Panel, 5027
Museum Advisory Panel, 5027
National Highway Traffic Safety Administration
PROPOSED RULES

Motor vehicle safety standards:
Glazing materials—
Head up displays (HUD’s); correction, 5061
National Institute for Occupational Safety and Health

See Centers for Disease Control
National Institute of Corrections
NOTICES

Meetings:
Advisory Board, 5021
National Institute of Standards and Technology
NOTICES

Grants and cooperative agreements; availability, etc.:
Materials science and engineering research program, 4980
National Institutes of Health
PROPOSED RULES

National Bone Marrow Donor Registry; implementation,
4961

VI

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Contents

NOTICES

NOTICES

Meetings:
National Center for Research Resources, 5013
National Heart, Lung, and Blood Institute, 5013
National Institute of Environmental Health Sciences, 5014

Self-regulatory organizations; proposed rule changes:
Government Securities Clearing Corp., 5032
Midwest Securities Trust Co., 5035
Pacific Stock Exchange, Inc., 5040
Philadelphia Stock Exchange, Inc., 5044
Applications, hearings, determ inations, etc.:
Advantage Government Securities Fund et al., 5046
Baird Capital Development Fund, Inc., et al., 5047
General Cinema Corp., 5048

National Oceanic and Atmospheric Administration
NOTICES

Permits:
Marine mammals, 4981, 5138
(2 documents)
National Technical Information Service
NOTICES

Patent licenses, exclusive:
Integra Institute, Inc., et al., 4981
UroMed Com., 4982
Navy Department
NOTICES

Patent licenses, exclusive:
Concept Development & Commercialization Corp. et al.,
4986

Small Business Administration
NOTICES

Disaster loan areas:
Alabama et al., 5051
Arkansas, 5051
Indiana et al., 5052
Mississippi et al., 5052
License surrenders:
Texas Commerce Investment Co., 5052
Meetings; regional advisory councils:
California, 5053
Texas, 5053

!

'

Nuclear Regulatory Commission
NOTICES

Organization, functions, and authority delegations:
Power reactor local public document rooms; replacement
of paper documents by microfiche, 5028
Applications, hearings, determ inations, etc.:
Carolina Power & Light Co., 5028
Entergy Operations, Inc., 5029
Occupational Safety and Health Administration
ROLES

Construction safety and health standards:
Stairways and ladders
Correction, 5061

State Department
NOTICES

Agency information collection activities under OMB review,
5054
Claims against property:
East Germany, 5053
Meetings:
Oceans and International Environmental and Scientific
Affairs Advisory Committee, 5054 .
Organization, functions, and authority delegations:
Assistant Administrator, Latin America and Carribbean
Agency of International Development, 5054

Personnel Management Office

Surface Mining Reclamation and Enforcement Office

RULES

PROPOSED RULES

Retirement:
Nonappropriated fund employees; coverage, 4929

Initial and permanent regulatory programs:
Surface and underground mining operations; hydrologic
balance; hearing, 4956

NOTICES

Agency information collection activities under OMB review',
5029
Presidential Documents
PROCLAMATIONS

Special observances:
Visiting Nurse Associations Week, National (Proc. 6246),
4927
Public Health Service

See Centers for Disease Control; Food and Drug
Administration; Health Resources and Services
Administration; National Institutes of Health
sailroad Retirement Board

Transportation Department

See Coast Guard; Federal Aviation Administration;
National Highway Traffic Safety Administration; Urban
Mass Transportation Administration
Treasury Department

See also Internal Revenue Service
NOTICES

Agency information collection activities under OMB review',
5058, 5059
(4 documents)
Truman, Harry S., Scholarship Foundation

NOTICES

See Harry S. Truman Scholarship Foundation

Agency information collection activities under OMB review,
5032
(2 documents)

NOTICES

Securities and Exchange Commission
RULES

Accounting bulletins, staff:
Laventhol & Horwath (public accounting firm);
interpretations, 4938

Urban Mass Transportation Administration

Grants; UMTA sections 3 and 9 obligations, 5055
Veterans Employment and Training, Office of Assistant
Secretary
PROPOSED RULES

Veterans’ employment and training services, 5124

Federal Register / Vol. 56, No. 26 / Thursday, February 7,1991 / Contents

Separate Parts In This Issue
Part II

Department of Energy, 5064
Part III

Environmental Protection Agency, 5090
Part IV

Department of Labor, Veterans Employment and Training,
5124
Part V

Department of Commerce, National Oceanic and
Atmospheric Administration, 5138
Reader Aids

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

VII

vm

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Contents

CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in
the Reader Aids section at the end of this issue.
48 CFR

3 CFR
Proclamations:
6246............

4927

5 CFR
831....................
842..............

4929
..........4929

7 CFR
301 (3 documents)........... 49314933
Proposed Rules:
58..
.......................... 4951
915..
..
„.,4953
4955
1001............
1002-....... ...... „ ................. 4955
9 CFR
78 (3 documents)......... .... 4936,
4937
12 C F R
Proposed Rules:
701..
...................... .....5061
14 C F R
Proposed Rules:
71 ...................................

4956

17 C F R
211..

4938

.......:..........

20 C F R
Proposed Rules:
626................................... ,..5124
658..
..
„..„.....5124
Ch. IX......................... .........5124
26 C F R
1.. ....................
Proposed Rules:
1......

„...5062
...........4956

28 C F R
14...........

4943

29 C F R
1926..... „.................

5061

.

30 C F R
Proposed Rules:
701..
4956
816..
................. ......................4956
817........
4956
33 C FR
16 5 „.„„.„„„..... .......... ;...... 4943
40 C FR
52...................................
4944
18CL......
4946
Proposed Rules:
Ch. I..............................
4957
136.____ _________ ;....... 5090
180...... „..........
........4959
41 C F R
201-4.........................
4947
201-9.,................................. 4947
201-18__;........................... 4947
201-20.„.............................. 4947
201-23................
...4947
201-24.........
4947
201-39........
...4947
42 C F R
Proposed Rules:
Ch. I.„.„„__
43 C F R
4 „„„.............................

„...4961
5061

47 C F R
73 (4 documents)_______ 4949,
4950

915...........
950..
.„__
970____

5064
5064
5064

49 CFR
Proposed Rules:

571..................

5061

50 CFR
Proposed Rules:

23...___ „„„„„

4965

4927
Federal Register

Presidential Documents

Vol. 56, No. 26
Thursday, February 7, 1991

Title 3—

Proclamation 6246 of February 5, 1991

The President

National Visiting Nurse Associations W eek, 1991
By the President of the United States o f America
A Proclamation
Visiting Nurse Associations have provided high-quality, affordable health care
services to homebound Americans for more than 100 years. The dedicated
men and women who carry on the work of these independently operated,
voluntary associations make it possible for patients to obtain needed care
while remaining in familiar, comfortable surroundings, among family and
friends. In so doing, visiting nurse professionals bring to their work a warm,
personal touch as w ell as valuable knowledge and skills.
Over the years Americans have come to equate Visiting Nurse Associations
with reliable home health care for persons recuperating from illness or injury,
for persons incapacitated by physical or mental disabilities, for the terminally
ill, and for those suffering from chronically disabling diseases. These associa­
tions offer a w ide range of medical care and support services—including
specialized nursing, nutritional counseling, homemaker and home health aide
services, as w ell as speech, physical, and occupational therapy. As nonprofit,
community-based organizations, Visiting Nurse Associations not only stay
attuned to the particular needs of individuals and families but also help to
mitigate rising health care costs.
This w eek w e gratefully recognize the important contribution that Visiting
Nurse Associations make to our Nation's health care system. W e also honor
the generous, hardworking men and women who serve their fellow Americans
through these valued organizations.
The Congress, by Public Law 101-468, has designated the w eek beginning
February 17, 1991, as “National Visiting Nurse Associations Week" and has
authorized and requested the President to issue a proclamation in observance
of this week.
NOW, THEREFORE, I, GEORGE BUSH, President of the United States of
America, do hereby proclaim the w eek beginning February 17, 1991, as
National Visiting Nurse Associations Week. I invite all Americans to observe
this w eek with appropriate programs, ceremonies, and activities.
IN WITNESS WHEREOF, I have hereunto set my hand this fifth day of
February, in the year of our Lord nineteen hundred and ninety-one, and of the
Independence of the United States of America the two hundred and fifteenth.

[FR Doc. 91-3097
Filed 2-5-91; 2:16 pm)
Billing code 3195-01-M

4929

Rules and Regulations

Federal Register

Vol. 56, No. 26
Thursday, February 7, 1991

This section of the FED ER A L REGISTER
contains regulatory documents having
general applicability and legal effect, most
of which are keyed to and codified in
the Code of Federal Regulations, which is
published under 50 titles pursuant to 44
U.S.C. 1510.
The Code of Federal Regulations is sold
by the Superintendent of Documents.
Prices of new books are listed in the
first FED ER A L REGISTER issue of each
week.

OFFICE OF PERSONNEL
MANAGEMENT
5 CFR Parts 831 and 842
Retirement Coverage for NAF
Employees

Office of Personnel
Management.
a c t i o n : Interim rule with request for
comments.
agency:

SUMMARY: The Office of Personnel
Management (OPM) is issuing interim
rules and requesting comments on the
rules governing retirement coverage
under the Portability of Benefits for
Nonappropriated Fund Employees Act
of 1990. These regulations are necessary
to implement the retirement provisions
of the A c t They establish rules
governing elections available to certain
employees who may elect to continue
retirement coverage under the Civil
Service Retirement System, Federal
Employees Retirement System, or a
retirement system for employees of a
nonappropriated fund instrumentality
when they first move to employment
covered by a different retirement
system.
d a t e s : Interim rules effective November
5,1990; comments must be received on
or before April 8,1991.
a d d r e s s e s : Send comments to Andrea
Minniear Farran, Assistant Director for
Retirement and Insurance Policy;
Retirement and Insurance Group; Office
of Personnel Management; P.O. Box 57;
Washington, DC 20044; or deliver to
OPM, room 4351,1900 E S treet NW.,
Washington, DC.
FOR FURTHER INFORMATION CO N TA CT:

Harold L Siegelman, (202) 606-0775,
extension 207.
SUPPLEM ENTARY INFORMATION: The
Portability of Benefits for
Nonappropriated Fund Employees Act
of 1990 w as enacted as Section 7202 of

the Omnibus Budget Reconciliation Act
of 1990, Public Law 100-508. It provides
that certain employees of
nonappropriated fund (NAF)
instrumentalities in the Department of
Defense and Coast Guard may retain
coverage under a retirement system for
NAF employees when they are moved
into civil service jobs, and that certain
employees with civil service jobs may
retain retirement coverage under the
Civil Service Retirement System (CSRS)
or the Federal Employees Retirement
System (FERS) when they move into
jobs with NAF instrumentalities. These
regulations establish the process for
electing to continue coverage.
The first time the employee moves
from NAF employment to civil service
after becoming a vested participant in a
NAF retirement plan, the employee gets
his or her only opportunity to retain
coverage under die retirement system
for NAF employees for all future service.
The first time the employee moves from
civil service to NAF employment after
performing 5 years of creditable civilian
service under CSRS or FERS, the
employee gets his or her only
opportunity to elect to retain his or her
retirement coverage under CSRS or
FERS for all future service.
For example, w hen a Coast Guard
employee who has performed 5 years of
creditable civilian service under FERS
moves to NAF employment with the
Coast Guard, the employee has a one­
time opportunity to elect to continue
FERS coverage. If the employee elects to
continue FERS coverage, the employee
may never acquire service credit under
a retirement system for NAF employees
and all future service in NAF or civil
service positions that are not excluded
from FERS coverage (such as service
under temporary or intermittent
appointments) will earn FERS cred it
Such an employee would have no
further election rights.
Continuing the same example, if the
employee did not elect to retain FERS
coverage, the employee begins coverage
under the retirement system for NAF
employees. The employee will have no
further right to elect FERS coverage for
periods of NAF employment. If the
employee continues NAF employment
long enough to become a vested
participant in the retirement system for
NAF employees and thereafter moves to
a civil service position with the Coast
Guard, the employee has a one-time

opportunity to elect to remain under the
retirement system for NAF employees. If
the employee elects to continue
coverage under the retirement system
for NAF employees, the employee may
never acquire service credit under CSRS
or FERS and all future service in NAF or
civil service positions that are not
excluded from coverage under the
retirement system for NAF employees
will earn credit under the retirement
system for NAF employees. If the
employee does not elect to retain
coverage under the retirement system
for NAF employees, for all future service
the employee will be covered by the
retirement system that normally covers
his or her position as would have
happened prior to enactment of the
Portability of Benefits for
Nonappropriated Fund Employees Act
of 1990.
For an employee to have the right to
an election, the move must be within the
Department of Defense or within the
Coast Guard. For example, an employee
of a NAF instrumentality in the
Department of Defense who moves to a
civil service position in the Department
of Defense has an election right, but if
the move were to a Coast Guard civil
service position, he or she would have
no election right. If the employee is later
employed by a different nonDepartmenf of Defense agency, after
having made an election to remain in the
NAF plan, he or she would remain under
that plan.
Generally, the election must be made
within 30 days (computed under
§ 831.107 or 5 841.109 of Title 5, Code of
Federal Regulations) after the move.
However, the regulations contain two
exceptions to the general rule. The time
limit for making an election is 180 days
after enactment of the Act for
employees whose election opportunity
would ordinarily expire before the 180th
day after enactment. Since that day
(May 4,1991) is a Saturday, the deadline
stated in the regulation is the following
Monday.
The regulations also provide an
ongoing exception to the 30-day time
limit for employees who exercise due
diligence but are prevented by
circumstances beyond their control from
making a timely election. The
regulations authorize the employing
agencies to establish the meaning of due
diligence and circumstances beyond the
employee’s control and the procedures

4930

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Rules and Regulations

for applying this exception. The
regulations prohibit the use of employee
grievance procedures because OPM has
consistently taken the position that
retirement matters are strictly controlled
by statute and must remain
nonnegotiable. [See 5 U.S.C. 7121(c)(2).)
Waiver of Notice of Proposed
Rulemaking
Under 5 U.S.C. 553 (b)(3)(B) and (d)(3),
I find that good cause exists for waiving
the general notice of proposed
rulemaking and making these
regulations effective in less than 30
days. Delaying the effective date of
these regulations would be contrary to
the public interest The Portability of
Benefits for Nonappropriated Fund
Employees Act of 1990 gave certain
employees the right to elect continuation
of retirement coverage effective
November 5,1990. These regulations are
necessary to establish the election
procedures. Delaying the effective date
of these regulations beyond the
statutory effective date would require
employees to w ait to make elections
that the law provided would be
immediately available.

2. In § 831.201, paragraph (h) is added
to read as follows:
§ 831.201 Exclusions from retirement
coverage.

#
.*
*
* .
(h)
Employees who have elected
coverage under another retirement
system in accordance with § 831.204 are
excluded from subchapter III of chapter
83 of title 5, United States Code, during
that and all subsequent periods of
service (including service as a
reemployed annuitant).
3. Section 831.204 is added to read as
follows:
*'

§ 831.204 Elections of retirement
coverage under the Portability o f Benefits
for Nonappropriated Fund Em ployees A ct
o f 1990.

(a) An employee of the Department of
Defense or die Coast Guard who ha$ 5
years of civilian service creditable
under CSRS, who has not made an
election under this section, who has not
had an opportunity to make an election
pf retirement coverage under this
paragraph, and who moves, without a
break in service of more than 3 days, to
employment as an employee of an
instrumentality described in section
E .0 .12291, Federal Regulation
2105(c) of title 5, United States Code, in
I
have determined that this is not a
the Department of Defense (if the
major rule as defined under section 1(b)
employment covered by CSRS
of E .0 .12291, Federal Regulation.
immediately prior to the move w as with
the Department of Defense) or the Coast
Regulatory Flexibility Act
Guard (if the employment covered by
I
certify that this regulation will not CSRS immediately prior to the move
have a significant economic impact on a
w as with the Coast Guard) may elect to
substantial num ber of small entities
remain covered by CSRS. An employee
because the regulation will only affect
who elects to remain covered by CSRS
retirement coverage of Federal
under this paragraph will be covered by
employees.
CSRS (or FERS, if the employee
subsequently transfers to FERS under
List of Subjects in 5 CFR Parts 831 and
part 846 of this chapter) during all
842
periods of future service not excluded
Administrative practice and
from coverage by CSRS, including any
procedure, Claims, Disability benefits,
periods of service with an
Firefighters, Government employees,
instrumentality described in section
Income taxes, Intergovernmental
21D5(c) of title 5, United States Code. An
relations, Law enforcement officers,
election under this paragraph is
Pensions, Retirem ent
irrevocable when received by the
employing agency.
U.S. Office of Personnel Management.
(b) An employee of an instrumentality
Constance Berry Newman,
described in section 2105(c) of title 5,
Director.
United States Code, who is a vested
Accordingly, OPM is amending 5 CFR
participant in a retirement system
parts 831 and 842 as follows:
established for such employees (as the
term “vested participant” is defined by
PART 831— RETIREMENT
that retirement system), who has not
made an election under this section,
Subpart B— Coverage
who has not had an opportunity to make
1.
The authority citation for subpart B an election of retirement coverage under
of part 831 is revised to read as follows:
this paragraph, who moves without a
break in service of more than 3 days, to
Authority: 5 U.S.C. 8347; 8 831.204 also
employment covered by CSRS in the
issued under section 7202(m)(2) of the
Department of Defense (if the
Omnibus Budget Reconciliation Act of 1990,
Pub. L 101-508.
employment immediately prior to the

move w as with a nonappropriated fund
instrumentality of the Department of
Defense) or the Coast Guard (if the
employment immediately prior to the
move was with a nonappropriated fund
instrumentality of the Cost Guard), and
who is excluded from coverage, under
FERS by section 8402(b) of title 5, United
States Code, may elect to remain
cpvered by the retirement system for
such employees. An employee who
makes an election under this paragraph
is excluded from coverage under CSRS
or FERS during that and all subsequent
periods of employment, including any
periods of service as a reemployed
annuitant An election under this
paragraph is irrevocable when received
by the employing agency.
(c) The Department of Defense will ;
establish procedures for agencies to
withhold and submit retirement
contributions to the retirement systems
for employees of instrumentalities
described in section 2105(c) of title 5,
United States Code, who have elected to
be covered by a retirement system for
such employees under paragraph (b) of
this section and who are later employed
by another agency.
(d) Except as provided in paragraph
(e) of this section—
(1) If thè move pausing the opportunity
to make an election under paragraph (a)
or paragraph (b) of this section occurs
on or after April 7,1991, the time limit
for making the election is 30 days after
the effective date of the move,
(2) If the move causing the opportunity
to make an election under paragraph (a)
or paragraph (b) of this section occurs
before April 7,1991, the time limit for
making the election is May 6,1991.
(e) The Departments of Defense and
Transportation may waive the time
limits under procedures which they
establish. An agency decision to grant or
to deny a waiver of the time limit is final
and not appealable to OPM. In
establishing procedures for waiver of
the time limits, the Departments of
Defense and Transportation must
observe the following restrictions:
(1) The time limits may be waived
only if the employee acted with due
diligence but w as prevented bj
circumstance beyond his or he. control
from making an election within the time
lim it The Departments of Defense and
Transportation are responsible for
determining w hat constitutes due
diligence and circumstances beyond the
employee’s control.
(2) The procedures must not allow
review under any employee grievance „
procedures, including those established
by chapter 71 of title 5, United States

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Rules and Regulations
Code; and part 771 of title 5, Code of
Federal Regulations.
PART 842— FED ERAL EM PLOYEES
RETIREMENT SYSTEM — BASIC
ANNUITY
4. An authority citation for part 842 is
added as set forth below, and all
subpart authorities are removed:
Authority: 5 U.S.C. 8461(g); § § 842.104 and
842.106 also issued under 5 U.S.C. 8461(n);
§ 842.105 also issued under 5 U.S.C.
8402(c)(1); $ 842.106 also issued under Section
7202(m)(2) of the Omnibus Budget
Reconciliation Act of 1990, Pub. L. 101-508;
§§ 842.604 and 842.611 also issued under 5
U.S.C. 8417; $ 842.607 also issued under 5
U.S.C 8416 and 8417; 8 842.614 also issued
under 5 U.S.C. 8419; 8 842.615 also issued
under 5 U.S.C. 8418; subpart H also issued
under 5 U.S.C. 1104.

Subpart A— Coverage

5. In § 842.102, the definition of "NAF
employee” is added in alphabetical
order to read as follows:
8842.102

*

Definitions.

*

•

*

-

*■

NAF employee means an employee of
an instrumentality described in section
2105(C) of title 5, United States Code.
*
*.
*
*
•
6. In § 842.104, paragraph (g) is added
to read as follows:
§ 842.104

*

Exceptions and options.

♦

*
#
*
(g)
An employee who has elected
coverage under a retirement system for
NAF employees in accordance with
8 842.106 is excluded from FERS during
that and all subsequent periods of
service (including service as a
reemployed annuitant).
7. Section 842.106 is added to read as
follows:
§ 842.106 Elections of retirement
coverage under the Portability of Benefits
for Nonappropriated Fund Em ployees A ct
of 1990.

(a)
An employee of the Department
Defense or die Coast Guard who has 5
years of civilian service creditable
under FERS, who has not made an
election under this section, who has not
had an opportunity to make an election
of retirement coverage under this
paragraph and who moves, without a
break in service of more than 3 days, to
employment as a NAF employee in the
Department of Defense (if the
employment covered by FERS
immediately prior to the move w as with
the Department of Defense) or the Coast
Guard (if the employment covered by
FERS immediately prior to the move
w as with the Coast Guard) may elect to

remain covered by FERS. An employee
who elects to remain covered by FERS
under this paragraph will be covered by
FERS during all periods of future service
in a position not excluded from coverage
by FERS, including any periods of
service as a NAF employee. An election
under this paragraph is irrevocable
when received by the employing agency.
(b) A NAF employee who is a vested
participant in a retirement System
established for NAF employees (as the
term “vested participant” is defined by
that retirement system), who has not
made an election under this section,
who has not had an opportunity to make
an election of retirement coverage under
this paragraph, and who moves without
a break in service of more than 3 days,
to employment covered by FERS in die
Department of Defense (if the
employment immediately prior to the
move w as with a nonappropriated fund
instrumentality of the Department of
Defense) or the Coast Guard (if the
employment immediately prior to the
move w as with a nonappropriated fund
instrumentality of the Coast Guard) may
elect to remain covered by the
retirement system for NAF employees.
An employee who makes an election
under this paragraph is excluded from
coverage under CSRS or FERS during
that and all subsequent periods of
employment, including any periods of
service as a reemployed annuitant. An
election under this paragraph is
irrevocable when received by the
employing agency.
(c) The Department of Defense will
establish procedures for agencies to
withhold and submit retirement
contributions to the retirement systems
for NAF employees who elect to be
covered by a retirement system for NAF
employees under paragraph .(b) of this
section and who are later employed by
another agency.
(d) Except as provided in paragraph
(e) of this section—
(1) If the move causing the opportunity
to make an election under paragraph (a)
of or paragraph (b) of this section occurs
on or after April 7,1991, the time limit
for making die election is 30 days after
the effective date of the move.
(2) If the move causing the opportunity
to make an election under paragraph (a)
or paragraph (b) of this section occurs
before April 7,1991, the time limit for
making the election is May 6,1991.
(e) The Departments of Defense and
Transportation may waive the time
limits under procedures which they
establish. An agency decision to grant or
to deny a waiver of the time limit is final
and not appealable to OPM. In
establishing procedures for waiver of
the time limits, the Departments of

4931

Defense and Transportation must
observe the following restrictions:
(1) The time limits may be waived
only if the employee acted with due
diligence but w as prevented by
circumstance beyond his or her control
from making an election within the time
limit. The Departments of Defense and
Transportation are responsible for
determining w hat constitutes due
diligence and circumstances beyond the
employee's control.
(2) The procedures must not allow
review under any employee grievance
procedures, including those established
by chapter 71 of title 5, United States
Code, and part 771 of title 5, Code of
Federal Regulations.
[FR Doc. 91-2868 Filed 2-G-91; 8:45 am]
BILLING CODE 6325-01-M

DEPARTMENT OF AGRICULTURE
Animal and Plant Health Inspection
Service
7 CFR Part 301
[Docket No. 90-242]

Oriental Fruit Fly; Removal of
Regulations

Animal and Plant Health
Inspection Service, USDA.
a c t i o n : Affirmation of interim rule.

AG EN CY:

We are affirming without
change an interim rule that removed the
Oriental fruit fly regulations that
designated a portion of Los Angeles
County in California as a quarantined
area and imposed restrictions on the
interstate movement of regulated
articles from that area. The regulations
were established to prevent the spread
of the Oriental fruit fly into noninfested
areas of the United States. We have
determined that the Oriental fruit fly has
been eradicated from Lb's Angeles
County, California, and that the
regulations are no longer necessary.
EFFECTIVE DATE: March 11,1991.
SUMM ARY:

FOR FURTHER INFORMATION CO N TACT:

Milton C. Holmes, Senior Operations
Officer, Domestic and Emergency
Operations, Plant Protection and
Quarantine, APHIS, USDA, room 642,
Federal Building, 6505 Belcrest Road,
Hyattsville, MD 20782, 301-436-8247.
SUPPLEM ENTARY INFORMATION:

Background
In an interim rule effective September
28,1990, and published in the Federal
Register on October 3,1990 (55 FR
40375-40376, Docket No. 90-193), we

4932

Federal Register / Vol. 56, No. 26 / T h u rsd ay , F eb ru ary 7, 1991 / R ules a n d R egulations

amended the "Domestic Quarantine
Notices” in 7 CFR part 301 by removing
the Oriental fruit fly regulations (7 CFR
30i.93 through 301-93-10, referred to
below as the regulations). The
regulations quarantined an area of Los
Angeles County, California—in the W est
Covina area—and imposed restrictions
on the interstate movement of regulated
articles from the quarantined area to
prevent the spread of the Oriental fruit
fly into noninfested areas of the United
States. The regulations also designated
soil, and a large number of fruits, nuts,
Vegetables, and berries, as regulated
»’•tides.
We have determined that Oriental
fruit fly has been eradicated from Los
Angeles County, California, and that the
regulations are no longer necessary.
Comments on the interim rule were
required to be received on or before
December 3,1990. We did not receive
any comments. The facts presented in
the interim rule still provide a basis for
the rule.
Executive Order 12291 and Regulatory
Flexibility Act
We are issuing this rule in
conformance with Executive Order
12291, and we have determined that it is
not a "major rule." Based on information
compiled by the Department, we have
determined that this rule will have an
effect on the economy of less than $100
million; will not cause a major increase
in costs or prices for consumers,
individual industries, F ederal State, or
local government agencies, or
geographic regions; and will not cause a
significant adverse effect on
competition, employment, investm ent
productivity, innovation, or on the
ability of United States-based
enterprises to compete with foreignbased enterprises in domestic or export
markets.
For this action, the Office of
Management and Budget has waived the
review process required by Executive
Order 12291.
This regulation affects the interstate
movement of previously regulated
articles from a portion of Los Angeles
County, California. The small entities
that may be affected by this regulation
are approximately 120 fruit/produce
markets, 20 nurseries, and 146 retail
fruit/produce vendors. These entities
comprise less than 1 percent of the total
number of similar enterprises operating
in the State of California.
It appears that most of these small
entities sold previously regulated
articles primarily for local intrastate, not
interstate markets. The sale of these
articles will therefore remain unaffected
by the regulatory provisions we have

removed. Also, many of these entities
sold other items in addition to the
previously regulated articles so that the
effect, if any, of this regulation on these
entities will be minimal.
The effect of this regulation on those
entities that did move previously
regulated articles interstate was
minimized by the availability of various
treatments specified in the Plant
Protection and Quarantine Treatment
Manual, incorporated by reference in
the regulations. The specified
treatments, in most cases, allowed these
small entities to move previously
regulated articles interstate with very
little additional co st
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.
Paperwork Reduction Act
This rule contains no new information
collection or recordkeeping
requirements under the Paperwork
Reduction Act of 1980 (44 U.S.C. 3501 et
seq.).
Executive Order 12372
This program/activity is listed in the
Catalog of Federal Domestic Assistance
under No. 10.025 and is subject to
Executive Order 12372, which requires
intergovernmental consultation with
State and local officials. (See 7 CFR part
3015, subpart V.)
List of Subjects in 7 CFR Part 301
Agricultural commodities,
Incorporation by reference, Oriental
fruit fly, Plant diseases, Plant pests,
Plants (Agriculture), Quarantine,
Transportation.
PART 301— DOMESTIC QUARANTINE
NOTICES

Accordingly, we are adopting as a
final rule, without change, the interim
rule amending 7 CFR 301.93 et seq. that
was published a t 55 FR 40375-40376 on
October 3,1990.
Authority: 7 U.S.C. 150bb, 150dd, ISOee,
150ff; 161,162, and 164-167; 7 CFR 2.17, 2.51,
and 371.2(e).
Done in Washington, DC. this 1st day of
February 1991.
James W. Glosser,

Administrator, Animal and Plant Health
Inspection Seryice.
(FR Doc. 91-2795 Filed 2-6-91; 8:45 amj
BILLING! CODE 3410-34-M

7 CFR Part 301

[Docket No. 90-244]
Witchweed Regulated Areas
AGENCY: Animal

and Plant Health
Inspection Service, USDA.
a c t io n : Affirmation of interim rule.
We are affirming without
change an interim rule that amended the
list of suppressive areas under the
witchweed quarantine and regulations
by adding and deleting areas in North
Carolina and South Carolina. The
change affects 13 counties in North
Carolina and 3 counties in South
Carolina. This action was necessary in
order to impose certain restrictions on
the interstate movement of regulated
articles to prevent the artificial spread
of witchweed and to delete unnecessary
restrictions on the interstate movement
of regulated articles.
EFFECTIVE DATE: March 11,1991.
su m m a r y :

FOR FURTHER INFORMATION CONTACT:

Mr, Thomas G. Flanigan, Operations
Officer, Domestic and Emergency
Operations, PPQ, APHIS, USDA, room
646, Federal Building, 6505 Belcrest
Road, Hyattsville, MD 20782, {301) 4368247.
SUPPLEMENTARY INFORMATION:

Background
In an interim rule published in the
Federal Register and effective on
October 17,1990 (55 FR 41983-41987,
Docket Number 90-092), we amended
the witchweed quarantine and
regulations by adding areas in Craven,
Duplin, Greene, Lenoir, Pender, and Pitt
Counties in North Carolina, and areas in
Florence and Horry Counties in South
Carolina to the list of suppressive areas
in § 301.80-2a of the regulations.
We also amended the list of
suppressive areas by removing areas in
Columbus, Craven, Cumberland, Duplin,
Greene, Harnett, Hoke, Lenoir, Pender,
Richmond, Sampson, and Wayne
Counties in North Carolina, and areas in
Florence, Horry, and Marlboro Counties
in South Carolina from § 3G1.80-2a of
the regulations. As a result of these
actions, there are no longer any
regulated areas in Hoke and Richmond
Counties, North Carolina, or in Marlboro
County, South Carolina.
Comments on the interim rule were
required to be received on or before
December 17,1990. We did not receive
any comments. The facts presented in
the interim rule still provide a basis for
the rule.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Rules and Regulations
Executive O rder 12291 and Regulatory
Flexibility Act
W e are issuing this rule in
conformance with Executive Order
12291, and we have determined that it is
not a “major rule.” Based on information
compiled by the Department, we have
determined that this rule will have an
estimated annual effect on the economy
of less than $100 million; will not cause
a major increase in costs or prices for
consumers, individual industries,
Federal, State, or local government
agencies, or geographic regions; and will
not cause a significant ad v en e effect on
competition, employment, investment,
productivity, innovation, or on the
ability of United States-based
enterprises to compete with foreignbased enterprises in domestic or export
markets.
For this action, the Office of
Management and Budget has waived the
review process required by Executive
Order 12291.
This action affects the interstate
movement of regulated articles from
specified areas in North Carolina and
South Carolina. Based on information
compiled by the Department, we have
determined that approximately 281,000
small entities move these articles
interstate from North Carolina and
South Carolina. However, this action
affects only 67 of these entities, by
removing 50 entities from regulation and
placing 9 new entities under regulation.
We have determined that the 50
deregulated entities will realize
combined annual sayings of
approximately $3,350, or an average of
$67.00 each, in regulatory and control
costs. W e estimate that the 9 newly
regulated entities will need to invest
approximately $135 each, per year, in
order to comply with our regulations.
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.
Paperwork Reduction Act
This interim rule contains no
information collection or recordkeeping
requirements under the Paperwork
Reduction Act of 1980 (44 U.S.C. 3501 e t
seq.).
Executive Order 12372
The program/activity is listed in the
Catalog of Federal Domestic Assistance
under No. 10,025 and is subject to
Executive Order 12372, which requires
intergovernmental consultation with
State and local officials . (See 7 CFR
part 3015, subpart V.) :

lis t of Subjects in 7 CFR Part 301
Agricultural commodities, Plant pests,
Plants (Agriculture), Quarantine,
Transportation, Witchweed.
PART 301— DOMESTIC QUARANTINE
NOTICES

Accordingly, we are adopting as a
final rule, without change, the interim
rule amending 7 CFR 301.80-2a that w as
published at 55 FR 41983-41987 on
October 17,1990.
Authority: 7 US.C. 150bb, 150dd, 150ee,
lSOff, 161,162 and 164-167; 7 CFR 2.17, 2.61,
and 371.2(c).
Done in Washington, DC, this 1st day of
February 1991.
James W. Glosser,
Administrator, Animal and Plant Health
Inspection Service.
[FR Doc. 91-2796 Filed 2-8-91; 8:45 am]
BlUiNO CODE 3410-34-M

7 CFR Part 301
[D ocket No. 90-249]

Imported Fire Ant Regulated Areas
AGENCY: Animal and Plant Health
Inspection Service, USDA.
ACTION: Interim rule.
S u m m a r y : We

are amending the
imported fire ant quarantine and
regulations by designating all or
portions of the following as generally
infested areas: 1 county in Alabama, 1
county in Arkansas, 14 counties in North
Carolina, 1 county in Oklahoma, 2
counties in South Carolina, and 1 county
in Texas. This action expands the
regulated areas and imposes certain
restrictions on the interstate movement
of regulated articles from those areas.
This action is necessary to prevent the
artificial spread of the imported fire ant.
We are also correcting an editorial error
that inadvertently caused a portion of
Mason County in Texas to be listed as a
generally infested area.
DATES: Interim rule effective February 7,
1991. Consideration will be given only to
comments received on or before April 8,
1991.
a d d r e s s e s : T o help ensure that your
comments are considered, send an
original and three copies to Chief,
Regulatory Analysis and Development,
PPD, APHIS, USDA, Room 866, Federal
Building, 6505 Belcrest Road,
Hyattsville, MD 20782. Please state that
your comments refer to Docket Number
90-249. Comments received may be
inspected at USDA, Room 1141, South
Building, 14th Street and Independence
Avenue, SW., Washington, DC, between

4933

8 a.m. and 4:30 p.m., Monday through
Friday, except holidays.
FOR FURTHER INFORMATION CONTACT:

Milton C. Holmes, Senior Operations
Officer, Domestic and Emergency
Operations, PPQ, APHIS, USDA, Room
642, Federal Building, 6505 Belcrest
Road, Hyattsville, MD 20782,301-4368247.
SUPPLEMENTARY INFORMATION:

Background
The imported fire ant quarantine and
regulations (contained in 7 CFR 301.81 e t
seq., and referred to below as the
regulations) restrict the interstate
movement of regulated articles from
regulated areas in designated States to
prevent the artificial spread of the
imported fire ant. The imported fire ant
[Solenopsis spp.) is an insect that
interferes with farming operations, can
cause damage to certain crops, and is a
pest of livestock, pets, and people in
rural and urban areas. The quarantined
States include Alabama, Arkansas,
Florida, Georgia, Louisiana, Mississippi,
North Carolina, Oklahoma, Puerto Rico,
South Carolina, Tennessee« and Texas.
Under the regulations, an area is
designated as a regulated area if the
imported fire ant has been found there,
or if reason exists to believe the
imported fire ant is present there.
Regulated areas are designated as
eithei* generally infested areas or
suppressive areas. Suppressive areas
are those areas where eradication of the
imported fire ant is being undertaken as
an objective. Generally infested areas
are all other regulated areas.
Restrictions are imposed on the
interstate movement of regulated
articles from regulated areas to prevent
the artificial movement of the imported
fire ant into noninfested areas, and to
prevent further infestation of
suppressive areas.
We are amending § 301.81-2a by
designating all or portions of the
following counties as generally infested
areas: Madison County in Alabama;
Jefferson County in Arkansas; Anson,
Cumberland, Duplin, Hoke, Hyde,
Lenoir, Martin, Pitt, Richmond, Robeson,
Sampson« Scotland, Tyrrell, and
Washington Counties in North Carolina;
Love County in Oklahoma; Abbeville
and Union Counties in South Carolina;
and W ebb County in Texas.
See the rule portion of this document
for specific descriptions of the newly
designated infested areas.
This action is necessary because
surveys Conducted by inspectors of the
United States Department of Agriculture
and officials of State agencies have

4934

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Rules and Regulations

established that the imported fire ant
has spread to these areas. Eradication of
the imported fire ant is not being
undertaken as an objective in these
areas, and therefore, as an emergency
measure, we are adding them to the list
of imported fire ant generally infested
areas.
Miscellaneous
We are correcting an editorial error
that, inadvertently caused a portion of
Mason County in Texas to be listed as a
generally infested area.
Emergency Action
James W. Glosser, Administrator of
the Animal and Plant Health Inspection
Service, has determined that a situation
exists that w arrants publication of this
rule without prior opportunity for public
com m ent Because the imported fire ant
has been found in additional areas of
the United States and could be spread
artificaQy from these areas to
noninfested areas of the United States, it
is necessary to act immediately to
control its spread.
Since prior notice and other public
procedures with respect to this interim
rule are impracticable and contrary to
the public interest under these
conditions, there is good cause under S
U.S.C. 553 for making it effective upon
publication in the Federal Register. We
will consider comments received within
60 days of publication of this rule. After
the comment period closes, we will
publish another document in the Federal
Register, including a discussion of any
comments we receive and any
amendments we make to the rule as a
result of the comments.
Executive Order 12291 and Regulatory
Flexibility Act
We are issuing this rule in
conformance with Executive Order
12291, and we have determined that it is
not a “major rule.” Based cm information
compiled by the Department, we have
determined that this rule will have an
effect on the economy of less than $100
million; will not cause a major increase
in costs or prices for consumers,
individual industries, Federal, State, or
local government agencies, or
geographic regions; and will not cause a
significant adverse effect on
competition, employment, investment,
productivity, innovation, or on the
ability of United States-based
enterprises to compete with foreignbased enterprises in domestic or export
markets.
For this action, die Office of
Management and Budget has waived its
review process required by Executive
Order 12291.

This action affects the interstate
movement of regulated articles from
specified areas in Alabama, Arkansas,
North Carolina, Oklahoma, South
Carolina, and Texas. Thousands of
small entities move these articles
interstate from these States, and many
more thousands of small entities move
these articles interstate from other
States.
However, based on information
compiled by the Department, we have
determined that approximately 149
small entities within the newly regulated
areas move articles interstate from the
specified areas in those States. Further,
the overall economic impact from this
action is estimated to be approximately
$ 20,000.

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.
Executive Order 12372
This program/activity is listed in the
Catalog of Federal Domestic Assistance
under No. 10.025 and is subject to
Executive Order 12372, which requires
intergovernmental consultation with
State and local officials. {See 7 CFR part
3015, subpart V.)
Paperwork Reduction Act
This interim rule contains no new
information collection or recordkeeping
requirements under the Paperwork
Reduction Act of 1980 (44 U.S.C. 3501 et
seq.).
List of Subjects in 7 CFR Part 301
Agricultural commodities, Imported
fire a n t Plant diseases, Plant pests,
Plants (Agriculture), Quarantine,
Transportation.
PART 301— DOMESTIC QUARANTINE
NOTICES

Accordingly, 7 CFR 301.81 is amended
as follows:
1. The authority citation for part 301
continues to read as follows:
Authority: 7 U.S.C. 150bb, 150dd, 150ee.
150ff, 161,162, and 164-167; 7 CFR 2.17, 2.51.
and 371.2(c).
§ 301.81-2a

[Am ended]

2. Section 301.81-2a is amended by
adding, in alphabetical order, die
following counties in North Carolina,
Oklahoma, South Carolina, and Texas:
§ 301.81-2a Regulated areas; suppressive
and generally Infested areas.

*

*

+

*

*

North Carolina
(1) Generally infested areas.
*

*

*

.

*

*

Cumberland County. That portion of the
county hounded by a line beginning at the
intersection of the South River and the
Ciunberland-Bladen County line; then west
along this county line to its intersection with
the Cape Fear River; then north along this
river to its intersection with U.S. Highway
301; then south along this highway to its
intersection with State Secondary Road 1007
(Owens Drive); then northwest along this
road to its intersection with UJS. Highway
401; dien west along this highway to its
intersection with the Cumberland-Hoke
County line, dien northwest along this county
line to its intersection with the Fort Bragg
Military Reservation; then northeast along
this line to its intersection with State
Secondary Road 1610; then east along this
road to its intersection with Uü. Highway
401; then north along this road to its
intersection with State Secondary Road 1112;
dien southeast along this road to its merger
with State Secondary Road 2807; then east
along this road to its intersection with the
Cape Fear River; then following a straight
line from this intersection to the intersection
of State Secondary Road Road 1720 and State
Secondary Road 1710; then northeast and
southeast along State Secondary Road 1719
to its intersection with US. Highway 301;
then south along this highway to its
intersection with State Secondary Road 1863;
then east along this road to its intersection
with Interstate 95; then east on US. Highway
13 to its intersection with State Secondary
Road 1818; then southeast along this road to
its intersection with State Secondary Road
1006; then northeast along this road to its
intersection with the South River; then
southeast along this river to the point of
beginning.
*
*
*
*
*
Hoke County. That portion of the county
bounded by a line beginning at the
intersection of the Lumber River and State
Secondary Road 1203; then east along this
road to its intersection with State Secondary
Road 1202; then northeast along this road to
its intersection with North Carolina Highway
211; then southeast along this highway to its
junction with U.S. Highway 401 Business;
then east along this highway to its junction
with North Carolina Highway 20; then
southeast along this highway to its
intersection with the Hoke-Robeson County
line; then southwest along this county line to
its intersection with the Lumber River; then
north along this river to the point of
beginning.
* .' *
*
*
*
Martin County. That portion of the county
bounded by a line beginning at the
intersection of State Secondary Road 1001
and the Beaufort-Martin County line; then
northeast along this county line to its junction
with State Secondary Road 1114; then east
along this road to its intersection with State
Secondary Road 1516; then northeast along
this road to its junction with U.S. Highway
64; then east along this highway to its
junction with the Washington-Martin County

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Rules and Regulations
line; then south along this county line to its
junction with the Beaufort-Martin County
line; then west along this county Une to the
point of beginning.
*
*
*
*.
*
Pitt County. That portion of the county
bounded by a Une beginning at the
intersection of the Greene-Pitt County line
and State Secondary Road 1110; then east
along this road to its junction with State
Secondary Road 1113; then east along this
road to its intersection with State Highway
11; then north along this highway to its
intersection with State Highway 102; then
east along this highway to its junction with
State Secondary Road 1723; then north along
this road to its junction with State Secondary
Road 1700; then northeast along this road to
its junction with State Highway 33; then west
along this highway to its junction with U.S.
Highway 13; then north along this highway to
its junction with State Highway 903; then east
along this highway to its junction with State
Secondary Road 1517; then east along this
road to its junction with State Secondary
Road 1538; then north along this road to its
junction with State Secondary Road 1542;
then east along this road to its junction with
State Highway 30; then south along this
highway to its junction with State Secondary
Road 1555; then east along this road to its
junction with State Secondary Road 1550;
then north along thi9 road to its junction with
State Secondary Road 1552; then east along
this road to its junction with the Beaufort-Pitt
County line; then south along this county Une
to its intersection with the Craven-Pitt
County line; then west along this county line
to its intersection with the Lenoir-Pitt County
line; then west along this county line to its
intersection with the Greene-Pitt County line;
then north along this county line to the point
of beginning.
•

*

*

*

' *

County line; then west along this county line
to the point of beginning.
*
*
*
*
*
Oklahoma
(1) Generally infested areas.
*
*
*
*
*
Love County. The entire county.
#
*
'*
*‘ *
South Carolina
(1) Generally infested areas.
Abbeville County. That portion of the
county bounded by a line beginning at the
intersection of the Abbeville-McCormick
County line and South Carolina Primary
Highway 28; then north along this highway to
its intersection with the Abbeville-Anderson
County line; then southwest along this county
line to its junction with the Georgia State
line; then southeast along this State Une to its
junction with the Abbeville-McCormick
County line; then northeast and east along
this county line to the point of beginning.
*
*
*
*
*
Texes
(1) Generally infested areas
*
#
«
tr
*
Webb County. That portion of the county
lying within the corporate city limits of the
city of Laredo.
*

*

*

§ 301.81-2a

*-

*

.

[Am ended]

Section 301.81-2a is amended
further by revising the entries for the
following counties in Alabama,
Arkansas, North Carolina, South
Carolina, and Texas under paragraph
to read as follows:
*
*
A
*
*
3.

(1)

-

Tyrrell County. That portion of the county
bounded by a line beginning at the
intersection of the Washington-Tyrrell
County line and U.S. Highway 64; then east
along this highway to its intersection with the
Dare-TyrreU County line; then south along
this county line to its junction with the HydeTyrrell County line; then west and south
along this county Une to its junction with die
Washington-Tyrrell County line; then north
along this county tine to the point of
beginning.
*
.*
*
*
é
Washington County. That portion of the
county bounded by a line beginning at the
intersection of the Beaufort/Martin/
Washington County lines; then northeast
along the Martin-Washington County Une to
its intersection with U.S. Highway 64; then
east along this highway to its junction with
State Secondary Road 1126; then east along
this road to its junction with State Secondary
Road 1155; then east along this road to its
junction with State Secondary Road 1161;
then east along this road to its intersection
with the TyrreU-Washington County line;
then south along this county line to its
junction with the Hyde-Washington County
line; then west along this county line to its
junction with the Beaufort-Washington

Alabama
(1) Generally infested areas.
The entire State.

*

*

*

*

*

Arkansas
(1) Generally infested areas.
*
«
*
*
*
Jefferson County. That portion of the
county bounded tty a line beginning at the
intersection of the )efferson-Grant County
line and the southern boundary line of T. 5 S4
then east along this township line to its
intersection with U.S. Highway 79; then
northeast along this highway to its junction
with State Highway 88; then southeast along
this highway to its intersection with the
eastern boundary Une of R. 7 W.; then south
along this range line to its junction with the
Jefferson-Lincoln County line; then south and
west along this county Une to the JefferscnCleveland County line; then west along this
county line to the Jefferson-Grant County
line; then north along this county line to the
point of beginning. The incorporated city
limits of Pine Bluff and Alteimer are included.
f t ' * . - . * -

*

.*

North Carolina
(1] Generally infested areas.

4935

Anson County. That portion of the county
bounded by a line beginning at the
intersection of the Pee Dee River and State
Secondary Road 1756; then southwest along
this road to its intersection with State
Secondary Road 1744; then south along this
road to its intersection with State Secondary
Road 1730; then west along this road to its
intersection with State Secondary Road 1801;
then1south along this road to its intersection
with U.S. Highway 74; then west along this
highway to its intersection with the AnsonUnion County line; then south along this
county line to the North Carolina-South
Carolina State line; then east along this State
line to its intersection with the Pee Dee River;
then north along this river to the point of
beginning.
*

.*

*

*

*

Duplin County. That portion of the county
bounded by a line beginning at the
intersection of the Sampson-Duplin County
line and State Secondary Road 1335; then
east: along this road to its junction with State
Secondary Road 1301; then southeast along
this road to its junction with State Secondary
Road 1300; then east along this road to its
junction with State Secondary Road 1004;
then north along this road to its junction with
State Secondary Road 1511; then northeast
along this road to its junction with State
Secondary Road 1306; then northeast along
this road to its junction with State Highway
903; then north along this highway to its
junction with the Lenoir-Duplin County line;
then south along this county line to its
junction with the Jones-Duplin County line;
then south along this county line to its
junction with the Onslow-Duplin County line;
then south along this county line to the
Pender-Duplin County line; then west along
this county line to the Sampson-Duplin
County line; then north along this county line
to the point of beginning.
Hyde County. The entire county.
*

*

*

*•

*

Lenoir County. That portion of the county
bounded by a line beginning at the
intersection of the Duplin-Lenoir County line
and State Highway 903; then north along this
highway to its junction with State Highway
1151; then northeast along this highway to its
junction with State Highway 55; then east
along this highway to its intersection with
State Secondary Road 1152; then north along
this road to its junction with State Secondary
Road 1308; then northeast along this road to
its junction with State Secondary Road 1307;
then northeast along this road to its junction
with State Secondary Road 1324; then east
along this road to its junction with U.S.
Highway 70; then east along this highway to
its junction with State Secondary Road 1546;
then north along this road to its junction with
State Secondary Road 1545; then north along
thisroad to its junction with State Secondary
Road 1544; then northwest along this road to
its junction with State Secondary Road 1555;
then northeast along this road to its junction
with State Route 1001; then east along this
route to its junction with U.S. Highway 258;
then north along this highway to its
intersection with the Greene-Lenoir County
line; then east along this county line to the
Pitt-Lenoir County line; then southeast along

4936

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Rules and Regulations

this county line to the Craven-Lenoir County
line; then southwest along this county line to
its junction with the Jones-Lenoir County line;
then southwest along this county line to the
Duplin-Lenoir County line; then north along
this county line to the point of beginning.
*
*
*
*
*
Richmond County. That portion of the
county bounded by a line beginning at the
junction of the Little River and the Pee Dee
River; then northeast along the Little River to
its junction with State Secondary Road 1148;
then south along this road to its junction with
State Secondary Road 1151; then northeast
along this road to its junction with North
Carolina Highway 73; then Southeast along
this highway to its junction with Ü.S.
Highway 220; then south along this highway
to its junction with U.S. Highway 74; then
southeast along this highway to; its junction
with the Richmond-Scotland County Une;
then south along this county line to its
junction with the North Carolina-South
Carolina State line; then west along this State
line to its junction with the Pee Dee River;
then north along this river to the point of
beginning.
Robeson County. That portion of the :
county bounded by a line beginning at the
intersection of the Hoke-Robeson County line
and U.S. Highway 20; then east and northeast
along this highway to its intersection with the
Robeson-Bladen County line; then south
along this county line to its junction with the
Robeson-Columbus County line; then south
along this county line to its junction with the
North Caroline-South Carolina State line;
then west along this State line to its junction
with the Robeson-Scotland County line; then
north and west along this comity line to its
junction with the Robeson-Hoke County line;
then northeast and north along this county
line to the point of beginning.
Sampson County. That portion of the
county bounded by a line beginning at the
intersection of the Cumberland-Sampson
County line and State Secondary Road 1006;
then east along this road to its intersection
with State Secondary Road 1832; then
southeast along this road to its junction with
U.S. Highway 421; then south along this
highway to its junction with State Highway
24; then east along this highway to its
junction with U.S. Highway 701; then north
along this highway to its junction with State
Highway 403; then east along this highway to
its intersection with the Duplih-Sampson
County line; then south along this county line
to its junction with the Pender-Sampson
County line; then west along this county line
to its junction with the Bladen-Sampson
County line; then north along this county line
to its junction with the Cumberland-Sampson
County line; then north along this county line
to the point of beginning.
Scotland County. That portion of the
county bounded by a line beginning at the
intersection of the Scotland-Richmond
County line and U.S. Highway 74; then
southeast along this highway to its junction
with Statè Secondary Road 1319; then
northeast along this road to its junction with
State Secondary Road 1324; then north and
east along this road to its junction with State
Secondary Road 1412; then north along this
road to its junction with the Sbotland-Hoke

County line; then south along this county line
to its junction with the Scotland-Robeson
County line; then southwest along this county
line to its junction with the North CarolinaSouth Carolina State line; then northwest
along this State line to its junction with the
Richmond-Scotland County line; then north
along this county line to the point of
beginning.
*
*
*
*
*
South Carolina
(1) Generally infested areas.
* * * * *
Union County. The entire county.
*

*

*

*

*

Texas
(1) Generally infested areas.
* "*
*
*
•*
Mason County. That portion of the county
bounded by a line beginning at the
intersection of Texas Ranch Road 152 and the
Mason-Llano County line; then south along
this county line to its junction with the
Mason-Gillespie County line; then west along
this county line to its junction with Texas
Ranch Road 783; then north along this road to
its junction with U.S. Highway 87; then
southeast along this highway to its
intersection with Texas Ranch Road 152; then
north along this road to the point of
beginning.
*

*

*

*

*

Done in Washington, DC, this 1st day of
February 1991.
James W. Glosser,
Administrator, Animal and Plant Health
Inspection Service.
[FR Doc. 91-2794 Filed 2-&-91; 8:45 am]
BILLING CODE 3410-34-M

9 CFR Part 78
[Docket No. 90-241]

Validated Brucellosis-Free States

Animal and Plant Health
Inspection Service, USDA.
a c t io n : Affirmation of interim rule.
ag en cy:

We are affirming without
change an interim rule that amended die
brucellosis regulations concerning the
interstate movement of swine by adding
North Carolina to the list of validated
brucellosis-free States. We have
determined that North Carolina meets
the criteria for classification as a
validated brucellosis-free State. This
action relieves certain restrictions on
moving breeding swine from North
Carolina.
EFFECTIVE DATE: March 11,1991.
Su m m ar y:

FOR FURTHER INFORMATION CONTACT:

Dr. Delorias M. Lenard, Senior Staff
Veterinarian, Swine Diseases Staff, VS,
APHIS, USDA, Room 735, Federal
Building, 6505 Belcrest Road,
Hyatt8ville, MD 20782, (301) 436-7767.

SUPPLEMENTARY INFORMATION:

Background
In an interim rule published in the
Federal Register and effective October
17,1990 (55 FR 41994-41995, Docket
Number 90-162), we amended the
regulations in 9 CFR part 78 that
prescribe conditions for the interstate
movement of cattle, bison, and swine,
by adding North Carolina to the list of
validated brucellosis-free States in
§ 78.43.
Comments on the interim rule were
required to be received on or before
December 17,1990. We did not receive
any comments. The facts presented in
the interim rule still provide a basis for
the rule.
Executive Order 12291 and Regulatory
Flexibility Act
We are issuing this rule in
conformance with Executive Order
12291, and we have determined that it is
not a “major rule.” Based on information
compiled by the Department, we have
determined that this rule will have an
effect on the economy of less than $100
million; will not cause a major increase
in costs or prices for consumers,
individual industries, Federal, State, or
local government agencies, or
geographic regions; and will not cause a
significant adverse effect on
competition, employment investment,
productivity,, innovation, or on the
ability of United States-based
enterprises to compete with foreignbased enterprises in domestic or export
markets.
For this action, the Office of
Management and Budget has waived the
review process required by Executive
Order 12291.
Herd owners in North Carolina are
affected by this action, which allows
breeding swine to be moved interstate
from North Carolina without being
tested for brucellosis. Approximately
1,100 sows are tested annually for
brucellosis, at an average cost to the
seller of $5.00 per test, in order to be
eligible for interstate movement from
North Carolina. Using these numbers,
we estimate that removing the testing
requirement will result in a potential
annual savings of $5,500 for swine herd
owners in North Carolina. Of the
approximately 3,000 swine herd owners
nationwide who regularly ship breeding
swine interstate, 92 regularly ship
breeding swine interstate from North
Carolina. All of these herd owners
would be considered small entities.
Under these circumstances* the
Administrator of the Animal and Plant
Health Inspection Service has

Federal Register / Voi. 58, No, 26 / T h u rsd ay , F eb ru ary 7, 1991 / R ules a n d R egulations
determined that this action will not have
a significant economic impact on a
substantial number of small entities.

Building, 6505 Belcrest Road,
Hyattsviile, MD 20782, (301) 436-7767:

Paperwork Reduction Act
This rule contains ho information
collection or recordkeeping
requirements Under the Paperwork
Reduction Act of 1980 (44 U.S.C. 3501 et
seq.)

Background

Executive Order 12372
This program/activity is listed in the
Catalog of Federal Domestic Assistance
under No. 10.025 and is subject to
Executive Order 12372, which requires
intergovernmental consultation with
State and local officials. (See 7 CFR part
3015, subpart V.)
List of Subjects in 9 CFR Part 78
Animal diseases, Brucellosis, Cattle,
Hogs, Quarantine, Transportation.
PART 78— BRUCELLOSIS

Accordingly, we are adopting as a
final rule, without change, the interim
rule amending 9 CFR 78.43 that was
published at 55 FR 41994-41995 on
October 17,1990.
Authority: 21 U.S.C. lll-114a-l, 114g. U5,
117,120,121, .123-126,134b, 134f; 7 CFR 2.17,
2.51. and 371.2(d).
Done in Washington, DC, this 1st day of
February 1991.
James W. Closser,
Administrator, Animal and Plant Health
Inspection Service.
[FR Doc. 91-2797 Filed 2-6-91: 8:45 amj
BILLING CO PE 3410-34-M

9 CFR Part 78
(Docket 90-243}

Validated Brucellosis-Free States

Animal and Plant Health
Inspection Service, USDA.
ACTION: Affirmation of interim rule.

agency:

s u m m a r y : W e are affirming without
change an interim rule that amended the
brucellosis regulations concerning the
interstate movement of swine by
removing New Jersey from the list of
validated brucellosis-free States. We
have determined that New Jersey does
not meet the criteria for classification as
a validated brucellosis-free State. This
action imposes certain restrictions on
the interstate movement of breeding
swine from New Jersey.

EFFECTIVE

d ate:

M a rch 11,1991.

FOR FURTHER INFORMATION CO N TACT:

Dr. Delorias M. Lenard, Senior Staff
Veterinarian, Swine Diseases Staff, VS,
APHIS, USDA, Room 735, Federal

SUPPLEMENTARY INFORMATION:

In an interim rule published in the
Federal Register and effective October
19,1990 (55 FR 42353-42354, Docket
Number 90-161), we amended the
regulations in 9 CFR part 78 that
prescribe conditions for the interstate
movement of cattle, bison and swine, by
removing New Jersey from the list of
validated brucellosis-free States in
§ 78.43.
Comments on the interim rule were
required to be received on or before
December 18,1990. We did not receive
any comments. The facts presented in
the interim rule still provide a basis for
the rule.
Executive Order 12291 and Regulatory
Flexibility Act
We are issuing this rule in
conformance with Executive Order
12291, and we have determined that it is
not a “major rule.“ Based on information
compiled by the Department, we have
determined that this rule will have an
effect on the economy of less than $100
million: will not cause a major increase
in costs or prices for consumers,
individual industries, Federal, State, or
local government agencies, or
geographic regions,* and will not cause a
significant adverse effect on
competition, employment, investment,
productivity, innovation, or on the
ability of United States-based
enterprises to compete with foreignbased enterprises in domestic or export
markets.
For this action, the Office of
Management and Budget has waived the
review process required by Executive
Order 12291.
Herd owners in New Jersey are
affected by this action. The termination
of validated brucellosis-free status
means that breeding swine must be
tested for brucellosis prior to being
allowed to move from New Jersey.
Approximately 90 sows will be tested
for brucellosis annually in order to be
eligible for interstate movement from
New Jersey at an average cost to the
seller of $4.75 per test. Using these
numbers, we estimate that the testing
requirement will result in an
approximate cost of $427.50 for swine
herd owners in New Jersey. Of the
approximately 3,000 swine herd owners
nationwide who regularly ship breeding
swipe interstate, 20 herds owners
regularly ship breeding swine interstate
from New Jersey. All 20 herd owners
would be considered small entities.

4937

Under these circumstances, the
Administrator of the Animal and Plant
Health Inspection Service has
determined that this action will not ha ve
a significant economic impact on a
substantial number of small entities.
Paperwork Reduction Act
This rule contains no information
collection or recordkeeping
requirements under the Paperwork
Reduction Act of 1980 (44 U.S.C. 3501 et
seq.).
Executive Order 12372
This program/activity is listed in the
Catalog of Federal Domestic Assistance
under No. 10.025 and is subject to
Executive Order 12372, which requires
intergovernmental consultation with
State and local officials. (See 7 CFR part
3015, subpart V.)
List of Subjects in 9 CFR Part 78
Animal diseases, Brucellosis, Cattle,
Hogs, Quarantine, Transportation.
PART 78— BRUCELLOSIS

Accordingly, we are adopting as a
final rule, without change, the interim
rule amending 9 CFR 78.43 that was
published at 55 FR 42353-42354 on
October 19,1990.
Authority: 21 U.S.C. lll-114a-l, 114g, 115,
117,120,121,123-126,134b, 134f; 7 CFR 2.17,
2.51, and 371.2(d).
Done in Washington, DC this 1st day of
February 1991.
James W. Glosser,
Administrator, Animal and Plant Health
Inspection Service.
[FR Doc. 91-2798 Filed 2-6-91; 8:45 am]
BILLING CODE 3410-34-M

9 CFR Part 78
[Docket No. 90-246]

Brucellosis in Cattle; State and Area
Classifications

Animal and Plant Health
Inspection Service, USDA.
a c t i o n : Affirmation of interim rule.
ag en cy:

We are affirming without
change an interim rule that amended the
brucellosis regulations concerning the
interstate movement of cattle by
changing the classification of Arkansas
from Class B to Class A. We have
determined that Arkansas meets the
standards for Class A status. This action
relieves certain restrictions on the
interstate movement of cattle from
Arkansas.
e f f e c t i v e p a t e : March 11,1991.
SUMMARY:

4933

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Rules and Regulations

FOR FURTHER INFORMATION CO N TA CT:

Dr. John D. Kopec, Senior Staff
Veterinarian, Cattle Diseases and
Surveillance Staff, VS, APHIS, USDA,
room 729, Federal Building, 6505 Belcrest
Road, Hyattsville, MD 20782, (301) 4366188.
SUPPLEM ENTARY INFORMATION:

Background
In an interim rule effective October 19,
1990, and published in the Federal
Register on October 25,1990 (55 FR
42954-42956, Docket Number 90-210),
we amended the regulations in 9 CFR
part 78 that provide a system for
classifying States or portions of States
according to the rate of brucella
infection present and the general
effectiveness of a brucellosis control
and eradication program. W e removed
Arkansas from the list of Class B States
in § 78.41(c) and added it to the list of
Class A States in § 78.41(b).
Comments on the interim rule were
required to be received on or before
December 24,1990. W e did not receive
any comments. The facts presented in
the interim rule still provide a basis for
the rule.
Executive Order 12291 and Regulatory
Flexibility Act
W e are issuing this rule in
conformance with Executive Order
12291, and we have determined that it is
not a ‘’major rule." Based on information
compiled by the Department, we have
determined that this rule will have an
effect on the economy of less than $100
million, will not cause a major increase
in costs or prices for consumers,
individual industries, Federal, State, or
local government agencies, or
geographic regions; and will not cause a
significant adverse effect on
competition, employment, investment,
productivity, innovation, or on the
ability of United States-based
enterprises to compete with foreignbased enterprises in domestic or export
markets.
For this action, the Office of
Management and Budget has waived its
review process required by Executive
Order 12291.
Cattle moved interstate are moved for
slaughter, for use as breeding stock, or
for feeding. Changing the status of
Arkansas from Class B to Class A
reduces certain testing and other
requirements governing the interstate
movement of cattle from Arkansas.
However, cattle from certified
brucellosis-free herds moving interstate
are not affected by this change.
The principal group affected would be
the owners of noncertified herds in

A rkansas not known to be affected with
brucellosis who seek to sell cattle.
There are an estimated 34,000 herds in
Arkansas, most of which are owned by
small entities that potentially would be
affected by this rule. During fiscal year
1989 Arkansas tested 226,394 eligible
cattle at saleyards. We estimate that
approximately 12 percent of this testing
w as done to qualify cattle for interstate
movement for purposes other than
slaughter. This testing costs
approximately $3.50 per head. Since
herd sizes vary, larger herds will
accumulate more savings than smaller
herds. Also, not all herd owners will
choose to market their cattle in a way
that accrues these cost savings. The
overall effect of this rule on small
entities should be to provide very small
economic benefit.
Therefore, we believe that changing
A rkansas’ brucellosis status will not
significantly affect market patterns, and
will not have a significant economic
impact on the small entities affected by
this rule.
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.
Paperwork Reduction Act
This rule contains no information
collection or recordkeeping
requirements under the Paperwork
Reduction act of 1980 (44 U.S.C. 3501 e t
seq.).
Executive Order 12372
This program/activity is listed in the
Catalog of Federal Domestic Assistance
under 10.025 and is subject to Executive
Order 12372, which requires
intergovernmental consultation with
State and local officials. (See 7 CFR part
3015, subpart V.)
List of Subjects in 9 CFR Part 78
Animal diseases, Brucellosis, Cattle,
Hogs, Quarantine, Transportation.
PART 78— BRUCELLOSIS

Accordingly, we are adopting as a
final rule, without change, the interim
rule amending 9 CFR 78.41 (a) and (b)
that w as published at 55 FR 42954-42958
on October 25,1990.
Authority: 21 U.S.C. I l l —114a-l, 114g, 115,
117,120,121,123-126,134b, 134f; 7 CFR 2.17,
2.51, and 371.2(d).

Done in Washington, DC, this 1st day of
February 1091.
James W. Glosser,
Administrator, Animal and Plant Health
Inspection Service.
(FR Doc. 91-2799 Filed 2-6-91; 8:45 am]
BILLING CODE S410-34-M

SECURITIES AND EXCHANGE
COMMISSION
17 CFR Part 211
(Release No. SAB 90]

Staff Accounting Bulletin No. 90
: Securities and Exchange
Commission.
ACTION: Publication of staff accounting
______
bulletin.
"
agency

The Commission has
authorized the staff to publish this staff
accounting bulletin which sets forth staff
interpretations on various matters
relating to Laventhol & Horwath
(‘‘L&H”), a public accounting firm, Which
filed for bankruptcy on November 21,
1990 and ceased to perform audit and
accounting services. These
interpretations are intended to provide
guidance as to the disclosure to be
provided by, and the relief to be granted
to, registrants who are former clients of
L&H. As a result of L&H’s actions, a
number of public reporting audit clients
will be unable to file a manually signed
audit report pursuant to Rule 2-02 of
Regulation S-X and, in connection with
registered public securities offerings, a
manually signed accountants’ consent
pursuant to section 7 of the Securities
Act of 1933 and Rule 436 of Regulation C
thereunder.
D ATES: January 31,1991.

sum m ary:

FOR FURTHER INFORMATION CO N TACT:

Teresa E. Iannaconi, Division of
Corporation Finance (202-272-2553);
John M. Riley, Office of the Chief
Accountant (202-272-2130); or Lawrence
A. Friend, Division of Investment
Management (202-272-7716), Securities
and Exchange Commission, 450 Fifth
Street NW., Washington, DC 20549.
SUPPLEM ENTARY INFORMATION: The
Commission has authorized the staff to
issue this staff accounting bulletin
setting forth interpretations and
practices to be followed by the Division
of Corporation Finance, the Office of the
Chief Accountant and, the Division of
Investment Management in
administering the disclosure
requirements of the Federal Securities
law s with respect to registrants who are
former clients of Laventhol & Horwath,

fed eral Register / Vol. 56, No. 26 / Thursday, February 7, 1991 /, Rules and Regulation?
a public accounting firm that filed a
bankruptcy petition on November 21,
1990, and ceased to perform audit and
accounting services.
Dated: January 31,1991.
Margaret H. McFarland,
Deputy Secretary.
PART 211— [AMENDED]

Accordingly, part 211 of title 17 of the
Code of Federal Regulations is amended
by adding Staff Accounting Bulletin No.
90 to the table found in subpart B.
Staff Accounting Bulletin No. 90
The staff hereby adds section L to
Topic 1 of the staff accounting bulletin
series. Topic 1 ^ indicates the
disclosure to be m ade end relief that
may be sought by registrants who are
former clients of Laventhol & Horwath,
a public accounting firm, which filed a
bankruptcy petition on November 21,
1990.
L Specific M atters Relating to the
Bankruptcy o f an Accounting Firm
Which H ad Public Company Clients
Facts: On November 21,1990,
Laventhol & Horwath (“L&H”), a
certified public accounting firm
organized under Pennsylvania law in the
form of a general partnership, filed in
the. United States Bankruptcy Court,
Southern District of New York, a
bankruptcy petition under Chapter 11 of
the United States Code (the “Bankruptcy
Code”). The firm no longer employs any
certified public accountants and has
stopped performing any audit and
accounting services. As a result of these
actions, L&H is unable to manually sign
the audit report required to be included
in filings with the Commission. Further,
L&H, since that date, no longer performs
the subsequent events audit procedures
normally undertaken in connection with
reissuance of an auditor's report and
execution of an accountant’s consent
required by section 7 of the Securities
Act of 1933 (“Securities Act") and Rule
436 of Regulation C thereunder.
Question 1: W hat disclosure should a
registrant provide in registration
statements under the Securities Act of
1933 that contain an L&H audit report?
In w hat documents must such disclosure
appear?
Response 1. General Statement:
Although the responsibility for full and
complete disclosure of the material facts
concerning an issuer, and the contents
of the disclosure, will be the
responsibility of each issuer, the staff
will be available to answ er inquiries
regarding other registrants who have
addressed these matters, an d the staff
intends to make public, as a supplement

4939

to this Bulletin, responses to such
< 2. The effect of the L&H bankruptcy
inquiries. Further, while the exact
; on investors' rights of action, if any,
content of the disclosure may yary
against L&H, including the potential far
depending on facts and circumstances
claims to be barred under the
applicable to each of the firm’s former
Bankruptcy Code regardless of the
public company audit clients, the
merits;
>
■
following is intended to provide
3. The bankruptcy court’s jurisdiction ■
companies guidance in meeting their
over investors’ legal actions, if any,
disclosure obligations under the federal
against L&H and the requirements to file
securities laws.
claims within a specified time period;
Response 2. Registration Statem ents
4. Ranking of investors’ claims, if any,
and Post-Effective Amendments which .
under
the Bankruptcy Code; and
Became E ffective Prior to N ovem ber 21,
5.
The
liability, if any, of individual
i990, the D ate L&H F iled its Bankruptcy
Petition and Contain Both an L&H A udit general partners to investors, as well as
any limitations on such liability due to
Report (P hysically or Through
bankruptcy or other equitable laws, and
Incorporation b y Reference) For the
Pennsylvania general partnership law.
M ost Recent Fiscal Year and Consent:
The top margin of the front page of the
Response 3. Registration Statem ents
latest dated prospectus or supplement to and Post-Effective Amendments Filed
be used in connection with a securities
Prior to N ovem ber21,1990, the D ate o f
offering should prominently set forth
the L&H Bankruptcy Filing, Which
summary disclosure to investors
Become E ffective A fter N ovem ber 21,
concerning the L&H bankruptcy and its
1990 and Contain Both an L&H A udit
effect on investors (“summary
Report (P hysically or Through
disclosure“). The summary disclosure on Incorporation b y Reference) fo r the
the cover page should be clearly
M ost R ecent Fiscal Year and Consent:
highlighted and set off from other
The top margin of the front page of the
disclosure contained on such page. For
prospectus should prominently set forth
example, the summary disclosure may
summary disclosure to investors
be printed within a distinctive border.
concerning the L&H bankruptcy and its
W here the prospectus is subsequently
effect on investors (“summary
reprinted, this summary disclosure also
disclosure’’); The summary disclosure on
should be set forth (1) in the
the cover page should be clearly
presentation of summary financial
highlighted and set off from other
information in the prospectus; (2) oh the:
disclosure contained on such page. For
L&H audit report page; and (3) where the example, the summary disclosure may
registration statement permits financial
be printed within a distinctive border.
Statements to be incorporated by
The summary disclosure also should be
reference, in the prospectus section
set forth (1) in the presentation of
incorporating the financial statem ents
summary financial information in the
covered by the L&H audit report.
prospectus; (2) on the L&H audit report
The summary should advise investors
page; and (3) where the registration , ’
of L&H’s bankruptcy on November 21,
statement permits financial statements
1990, and its discontinuance of audit and to be incorporated by reference, in the
accounting services. As part of the
.
prospectus section incorporating the
summary registrants also should
financial statements covered by the L&H
consider advising investors of the effect
audit report. If the prospectus is
of the bankruptcy filing on investors’
subsequently updated by means of a
rights to sue and recover damages from
supplement, the summary disclosure
L&H for m aterial misstatements or
should be set forth on the top margin of
omissions, if any, in the registration
the latest dated supplement.
statem ent and prospectus, including the
The summary should advise investors
financial statements. Consideration also
of L&H’s bankruptcy on November 21, '
should be given to including a cross
1990, and its discontinuance of audit and
reference in the summary to a
accounting services. The summary also
discussion of the L&H bankruptcy filing
should advise of the effect of the
and its effect on investors.
bankruptcy filing on investors’ rights to
Consideration should be given to
addressing the matters outlined below in sue and recover damages from L&H for .
material misstatements or omissions, if
the discussion of the L&H bankruptcy.
any, in the registration statement and
This discussion may be set forth in a
supplement to a prospectus already in ? prospectus, including the financial
statements. The summary should cross
use.
1.
The fact of the L&H bankruptcy, the reference to a discussion of the L&H
bankruptcy filing and its effect on
withdrawal of substantially all the
investors.
partners, and the consequent
discontinuance of L&H’s audit and
The discussion of the L&H bankruptcy
accounting services;
should include the matters listed below; ■

4940

Federal Register / Vol. 56, No, 26 / Thursday, February 7, 1991 / Rules and Regulations

1. The fact of the L&H bankruptcy, the
w ithdraw al of substantially all the
partners, and the consequent
discontinuance of L&H’s audit and
accounting services;
2. Nonperformance of subsequent
events audit procedures subsequent to
the date of the L&H consent;
3. The effect of the L&H bankruptcy
on investors’ rights of action, if any,
against L&H, including the potential for
claims to be barred under the
Bankruptcy Code regardless of the
merits;
4. The bankruptcy court’s jurisdiction
over investors’ legal actions, if any,
against L&H and the requirements to file
claims within a specified time period;
5. Ranking of investors’ claims, if any,
under the Bankruptcy Code; and
6. The liability, if any, of individual
general partners to investors, as well as
any limitations on such liability due to
bankruptcy or other equitable laws, and
Pennsylvania general partnership law.
Response 4. Registration Statem ents
and Post-Effective Amendments
Updating Financial Statem ents Filed
A fter N ovem ber21,1990, the D ate o f the
L&H Bankruptcy Filing, that Contain a
Copy o f an L&H A udit Report
(P hysically or Through Incorporation b y
Reference) fo r the M ost Recent Fiscal
Year: The top margin of the front page of
the prospectus should prominently set
forth summary disclosure to investors
concerning the L&H bankruptcy and its
effect on investors (’’summary
disclosure"). The summary disclosure on
the cover page should be clearly
highlighted and set off from other
disclosure contained on such page. For
example, the summary disclosure may
be printed within a distinctive border.
The summary disclosure also should be
set forth (1) in the presentation of
summary financial information in the
prospectus; (2) on the L&H audit report
page; and (3) where the registration
statem ent permits financial statements
to be incorporated by reference, in the
prospectus section incorporating the
financial statements covered by the L&H
audit report. If the prospectus is
subsequently updated by means of a
supplement, the summary disclosure
should be set forth on the top margin of
the latest dated supplem ent
The summary should advise investors
of L&H’s bankruptcy on November 21,
1990, and its discontinuance of audit and
accounting services. The summary also
should advise investors of the effect of
the bankruptcy filing on investors’ rights
to sue and recover damages from L&H
for material m isstatements or omissions,
if any, in the registration statem ent and
prospectus, including the financial
statements. Further, the summary should

advise that L&H has not consented to
the use of its audit report and the
consequent limitations on investors’
rights to sue L&H under section 11 of the
Securities Act for false and misleading
financial statements, if any, and the
effect, if any, of the lack of an L&H
consent on the due diligence defense of
directors and officers. The summary
should cross reference to a discussion of
the L&H bankruptcy filing and its effect
on investors.
The discussion of the L&H bankruptcy
should include the matters listed below:
1. The fact of the L&H bankruptcy, the
withdrawal of substantially all the
partners, and the consequent
discontinuance of L&H’s audit and
accounting services;
2. Limitations on investors’ rights to
sue L&H under section 11 of the
Securities Act and the effect, if any, of
the lack of an L&H consent on the due
diligence defense of directors and
officers;
3. Nonperformance of subsequent
events audit procedures subsequent to
the date of the L&H audit report;
4. The effect of the L&H bankruptcy
on investors’ rights of action, if any,
against L&H, including the potential for
claims to be barred under die
Bankruptcy Code regardless of the
merits;
5. The bankruptcy court’s jurisdiction
over investors’ legal actions, if any,
against L&H and the requirements to file
claims within a specified time period;
6. Ranking of investors’ claims, if any,
under the bankruptcy code; and
7. The liability, if any, of individual
general partners to investors, as well as
any limitations on such liability due to
bankruptcy or other equitable laws, and
Pennsylvania general partnership law.
Response 5. R egistration Statem ents,
Post-Effective Amendments and
Prospectuses Where L&H is not the
Accountant fo r the M ost Recent Fiscal
Year Ended, but Has A udited One or
M ore o f the Prior F iscal Years: In the
presentation of summary financial
information in the prospectus, on the
L&H audit report, and where the
registration statement permits financial
statem ents to be incorporated by
reference, in the prospectus section
incorporating the financial statements
covered by die L&H audit report, there
should be prominendy set forth
summary disclosure advising investors
of L&H’s bankruptcy on November 21,
1990, and its discontinuance of audit and
accounting services. The summary also
should advise of the effect of the
bankruptcy filing on investors’ legal
rights to sue and recover damages from
L&H for material misstatements or
omissions, if any, in the registration

statement and prospectus, including the
financial statements. Where L&H has
not consented to the use of its audit
report, the summary should advise of
the limitations on investors’ rights to sue
L&H under section 11 of the Securities
Act for false and misleading financial
statements, if any, and the effect, if any,
of the lack of an L&H consent on the due
diligence defense of directors and
officers.
With respect to registration
statements and post-effective
amendments that became effective prior
to November 21,1990 and contain an
L&H audit report for one or more prior
fiscal years, the summary disclosure
should be set froth on the top margin of
the front page of the latest dated
prospectus or supplement. Where the
prospectus is subsequently reprinted,
the summary disclosure also should be
included in the presentation of summary
financial information, on the L&H audit
report, and where the registration
statement permits financial statements
to be incorporated by reference, in the
prospectus section incorporating the
financial statements covered by the L&H
audit report.
Question 2: W hat disclosure should a
registrant provide in filings under the
Securities Exchange Act of 1934 that
contain an L&H audit report? In what
documents must such disclosure appear?
Response 1. General Statem ent:
Although the responsibility for full and
complete disclosure of the material facts
concerning an issuer, and the contents
of the disclosure, will be the
responsibility of each issuer, the staff
will be available to answ er inquiries
regarding other registrants who have
addressed these matters, and the staff
intends to make public, as a supplement
to this Bulletin, responses to such
inquiries. Further, while the exact
content of the disclosure may vary
depending on facts and circumstances
applicable to each of the firm’s former
public company audit clients, the
following is intended to provide
companies guidance in meeting their
disclosure obligations under the federal
securities laws.
Response 2. Item 4 to a Current
Report on Form 8-K; Item 9 to an
Annual Report on Form 10-K; and Item 9
o f Schedule 14A: All registrants subject
to the reporting requirements of section
13(a) or section 15(d) and required to file
an Item 4 to Form 8-K, should include in
response to Item 304(a)(l)(i) of
Regulation S-K disclosure of the L&H
bankruptcy, the withdrawal of
substantially all L&H’s general partners
and the firm's cessation of audit and
accounting services. Similar disclosure

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Rides and Regulations
also should be provided, pursuant to
Instruction 1 to Item 304, in response to
Item 9 of Schedule 14A and, unless
“previously reported” (as that term is
defined in Rule 12b-2 under the
Exchange Act), in response to Item 9 of
Form 10-K.
Response 3. Transactional Documents
Filed Subsequent to N ovem ber 21,1990
(the D ate L&H Filed its Bankruptcy
Petition) that Contain an L&H A udit
Report: Transactional documents (e.g.,
proxy statem ents including financial •
statem ents required by Item 13 or Item
14 to Schedule 14A) containing an L&H
audit report filed under the Exchange
Act after November 21,1990 should
contain prominent disclosure advising
investors of L&H’s bankruptcy on
November 21,1990, and its
discontinuance of audit and accounting
services. The disclosure also should
advise investors of the effect of the
bankruptcy filing on investors’ rights to
sue and recover damages from L&H for
material misstatements or omissions, if
any, in the documents filed, including
the financial statements. The disclosure
should be set forth on the page of the
L&H audit report, and in the section of
the document that incorporates by
reference the company's financial
statements covered by the L&H audit
report.
Response 4. Annual Reports on Form
N-SAR: Investment companies filing
reports on Form N-SAR should report
L&H’s bankruptcy, the withdrawal of
substantially all L&H’s general partners
and the firm’s cessation of audit and
accounting services on their next
regularly filed N-SAR.
Question 3: Prior to filing for
bankruptcy on November 21,1990, L&H
may not have completed its audit and
issued its audit report with respect to
clients with fiscal year ends between
August 31 and November 30,1990.
Because these former L&H audit clients
will have to engage a new independent
accounting firm, there may be
insufficient time before the filing
deadline for the new accountants to
complete their engagement and sign the
audit report required to be included in
Commission filings. These filings would
include annual reports on Form 10-K,
Rule 14a-3 annual reports, Item 7 Form
8-K current reports, Item 77 Form N SARs, as well as post-effective
amendments updating financial
information under the Securities Act;
Will the staff grant relief where L&H’s
bankruptcy precludes the timely filing of
audited financial statements?
Response 1¡ Generally, filings must
comply with the audited financial
statement requirements prescribed by

the applicable Securities Act or
Exchange Act form (usually three years).
However, the staff will grant
registrant submissions to substitute
temporarily unaudited financial
statem ents for the most recent fiscal
year under Rule 3-13 of Regulation S-X
due to a company’s inability to file
timely audited financial statements and
the independent accountant’s audit
report, where the company represents
that, solely by reason of the L&H
bankruptcy and cessation of audit and
accounting services, the company was
unable to timely file the audited
financial statements and audit report
without unreasonable effort or expense.
As part of the submission, a company
must undertake to file the report timely
with unaudited year end financials and
to file the required audited financial
statem ents and audit report on or before
the date specified in the request, but no
later than March 31,1991. If a company
or its agent delivers the document
containing unaudited financial
statem ents to investors for any reason, a
company also must undertake to deliver
the audited financial statem ents and
related financial information if such
audited financial statem ents and related
financial information differ materially
from the information previously
furnished.
In any document in which unaudited
financial statem ents are included for the
latest fiscal year pursuant to staff action
under Rule 3-13 of Regulation S-X, the
registrant should disclose at the
beginning of the unaudited financial
statem ents for such period that the
audited financial statem ents for the
latest fiscal year are not currently
available, and will be filed by
amendment no later than March 31,
1991.
Submissions for additional extensions
of time will be considered where the
audit cannot be reasonably completed
within the time period specified in the
initial request
Submissions by companies should be
directed to Teresa E. Iannaconi, Deputy
Chief A ccountant Division of
Corporation Finance, or, with respect to
investment companies, Lawrence A.
Friend, Chief Accountant, Division of
Investment Management, Securities and
Exchange Commission, 450 5th Street
NW., W ashington DC 20549.
Response 2. Annual Reports on Form
10-K or Form 20-F: Where it is
impractical to obtain the required
audited financial statements to permit
timely filing of Annual Reports on Form
10-K or Form 20-F, the staff will permit
the financial statements for the most
recent fiscal year to be filed on an

4941

unaudited basis, but not beyond March
31,1991, provided that unaudited
financial statem ents are filed by the due
date of the Form 10-K or Form 20-F and
the audited financial statements and
audit report for at least the most recent
fiscal year ended are filed as soon as
obtained but not later than the period
specified in the staff’s response.
Response 3. Annual Reports on Form
N -SAR : The Division of Investment
Management will grant similar relief for
investment companies filing annual
reports on Form N-SAR for fiscal years
ending between August 31,1990 and
November 30,1990.
Response 4. Securities A ct Section
10(a)(3) Post-Effective Amendments'.
Where it is im practical to obtain the
required audited financial statements to
permit timely updating under section
10(a)(3), the staff will permit the
financial statements for the most recent
fiscal year end to be updated on an
unaudited basis, provided that (1) the
audited financial statements and related
audit report are filed not later than the
extended period for amending the
issuer’s Form 10-K or Form 20-F granted
under the Rule 3-13 submission, and in
no event beyond March 31,1991r and (2)
the unaudited financial statements for
the latest fiscal year contained in the
post-effective amendment are timely
filed.
Resource 5. Post-Effective
Amendments Required b y the Guide 5
Undertakings: Where it is impractical to
obtain the required audited financial ,
Statements of acquired properties to
permit timely updates under the Guide 5
undertakings, the staff will permit the
financial statements to be temporarily
updated on an unaudited basis,
provided that (1) the audited financial .
statements and related audit report are
filed not later than March 31,1991; and
(2) the Guide 5 information including the
unaudited financial statements are
timely filed.
Response 6. A utom atically Effective
Registration Statem ents: New
registration statements that become
effective automatically under the
Committee’s rules and regulations will
be permitted to go effective on the same
basis as post-effective amendments
discussed above in R esponses, that is
initially with unaudited financial
statements for the latest fiscal year,
amended to include audited statements
not later than the extended period for
amending the registrant’s Form 10-K or
Form 20-F granted under the Rule 3-13 »
submission. Non-reporting companies
would be treated in the same manner
provided that the registration statement
is amended to include audited

4942

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Rules and Regulations

statem ents not later than March 31,
1991.
These filings include employee benefit
plans (General Instruction D to Form S 8), dividend reinvestment plans (General
Instruction III to Form S-3 and Form F 3), and one bank or S&L holding
company reorganizations (General
Instruction G to Form S-4).
Response 7. Post-Effective
Amendments F iled Pursuant to Rule 485
o f Regulation C: These amendments will
be permitted to become effective on the
same basis as post-effective
amendments discussed in Response 4
above, that is initially with unaudited
financial statem ents for fiscal years
ended between August 31 and
November 30,1990, amended not later
than March 31,1991 to include audited
financial statements.
Response 8. Annual R eports to
Shareholders: With respect to the
annual report furnished to
securityholders pursuant to Rule 14a-3
of the proxy rules, unaudited financial
statem ents would be acceptable for the
most recent fiscal year for solicitations
occurring during any extended period
for amending the issuer’s Form 10-K or
Form N-SAR granted by the staff under
Rule 3-13 (see Responses 2 and 3
above).
Response 9. E ligibility to Use Forms
S-2, S-3, F-2 and F-3: W here the staff
grants a Rule 3-13 submission permitting
a registrant to substitute temporarily
unaudited financial statem ents for
audited financials in an issuer’s Form
10-K or Form 20-F, such registrant will
be deemed to have timely filed for
purposes of qualifying for the use of
registration statem ents on Forms S-2, S 3, F-2 and F-3, provided it complies with
the terms of the Rule 3-13 relief. No
additional w aiver request will be
required.
Response 10. Compliance with Rule
144(c), Rule 144A(d), Rule 252(f) o f
Regulation A and Rule 502(b) o f
Regulation D: W here the staff grants a
Rule 3-13 submission permitting a
registrant to substitute temporarily
unaudited financial statem ents for
audited financials in an issuer’s
Exchange Act reports, such registrant
will be deemed to be current in its
Exchange Act filings for at least the
extended period and may so indicate on
the cover page of its Form KMC, Form
20-F and, provided that the company
complies with the terms of the Rule 3-13
relief, subsequently filed Forms 10-Q.
With respect to a reporting company’s
compliance with the informational
requirements of these rules, unaudited
financial statem ents would be
acceptable for the most recent fiscal
year for purposes of satisfying such

requirements with respect to offers or
sales occurring during any extended
period for amending die issuer’s Form
10-K or Form 20-F granted by the staff
under Rule 3-13 (see Response 2 above).
Question 4: Is an issuer whose
financial statem ents are audited, in
whole or in part, by L&H, precluded
from registering securities transactions
under the Securities Act or updating an
existing registration statem ent because
of the inability to obtain an L&H
consent?
Response: Most issuers will not be
precluded from registering transactions
under the Securities Act or updating an
existing registration statem ent due to
the inability to file an L&H consent
unless the registrant has engaged a new
auditor that is a “successor” to the firm
(see below for a discussion of the term
“successor”).
Prior to effectiveness of a registration
statem ent (whether by lapse of time or
acceleration), companies will be
required to submit an application to
waive L&H’s consent under Rule 437 of
Regulation C. Solely for purposes of
determining w hether the Rule 437
procedure is permissible under section 7
of the Securities Act, a company must
represent in its application that the L&H
audit w as not undertaken solely for
inclusion in the registration statem ent
(e.g., compliance with credit agreements
or other contractual agreements). Where
this and the other conditions of the Rule
are met, the staff, acting pursuant to
delegated authority, will waive the L&H
consent required under section 7 of the
Securities Act and Rule 436 of
Regulation C, unless the new auditor is
a successor to the firm. An auditor will
be presumed to be a successor to L&H,
where there is both a continuity of
association with the prior audit and
accounting services and substantial
participation of Firm partners in the new
auditor (20% or more of partners or
equity).
As a condition of the staff’s granting
an application for waiver of L&H’s
consent to the use of its audit report for
the company’s latest fiscal year, the
registrant will be required to undertake
to deliver to investors prospectuses
containing the L&H disclosure at least 48
hours prior to mailing the confirmation.
If no confirmation is delivered promptly
to investors, such as may occur in
connection with certain employee
benefit plans, then the prospectus
containing die L&H disclosure should be
delivered 48 hours prior to the sale.
W ith respect to employee benefit plans,
companies may notify plan participants
by letter, memorandum or other written
document designated as part of the
prospectus as provided by the recent

revisions to the Form S-8 registration
and prospectus procedures adopted by
the Commission in Release No. 33-6867
(June 6,1990).
Question 5: Where audited financial
statements of a significant acquiree with
fiscal year ends between August 31 and
November 30,1990 are required to be
provided in a registration statement,
proxy statement, information statement,
tender offer documents, or in a Form 8K and the audit of those financial
statements either w as performed by
L&H or completion of the audit has been
delayed as a result of the L&H
bankruptcy filing, w hat disclosure
should a registrant provide and will the
staff grant any relief with respect to the
requirements to provide such audited
financial statements?
Response 1. D isclosure O bligations:
W here a registrant acquires or proposes
to acquire a significant business which
w as audited by L&H for any year for
which audited financial statements are
required to be filed, the registrant should
provide the disclosures outlined in
response to Question 1 with respect to
Securities Act filings, and Question 2
with respect to Exchange Act and
Williams Act filings.
Response 2. Filing o f A udited
Financial Statem ents: Where the audit
of the target w as not completed by L&H
and the registrant represents that, by
reason of the L&H bankruptcy and
cessation of the firm’s audit and
accounting services, it w as unable to
meet the applicable filing requirements,
the staff will grant Rule 3-13
submissions (see responses to Question
3 above) for temporary substitution of
unaudited financial statements provided
that (1) the investment, asset, and
income tests contained in the Rule 1 02(v) definition of “significant
subsidiary” do not exceed 50%; (2) the
audited financial statem ents are filed in
a post-effective amendment not later
than March 31,1991; (3) the unaudited
financial statements are timely filed;
and (4) the registrant undertakes to
deliver the audited financial statements
and related financial information
(including pro forma financial
information) if such audited financial
statements and related financial
information differ materially from the
information previously furnished.
Further requests for extensions of time
will be considered where the audit
cannot be reasonably completed within
the time period specified in the initial
submission.
Question ft* Rule 2-02(a) of Regulation
S-X sets forth technical requirements
applicable to the preparation of audit
reports contained in documents filed

Federal Register / Vol. 56» No. 26 / Thursday, February 7, 1991 / Rides and Regulations
with, or in the case of annual reports
covered by Rule 14a-3(b) of Regulation
14A, furnished to the Commission.
Among other requirements, Ride 2-02(a)
requires that each audit report by
manually signed. Will the staff grant
former L&H audit clients relief w ith
respect to their inability to obtain a
manually signed L&H audit report as a
result of the L&H bankruptcy and its
discontinuance of audit and accounting
services?

Response 1. Annual Reports on Form
10-K: Former L&H audit clients who are
unable to satisfy the technical
requirements of Rule 2-02(a) should
include in the document a copy of the
latest signed and dated audit report
issued by L&H. Prominent disclosure
that the report is a copy of the
previously issued L&H audit report, of
L&H*s bankruptcy on November 21,1990
and of the firm’s discontinuance of audit
and accounting services should be set
forth on the L&H audit report page.

Response 2. Annual Reports to
Shareholders: Note 1 to Rule 14a~3(b)(l)
permits a registrant to omit the separate
audit report issued by a former
accountant provided enumerated
conditions are satisfied, including the
condition that the registrant obtains a
reissued audit report covering the prior
period presented. Former L&H audit
clients who are unable to obtain a
reissued L&H report should include in
the annual report a copy of the latest
signed and dated audit report issued by
L&H. Prominent disclosure that the
report is a copy of the previously issued
L&H audit report, of L&H’s bankruptcy
on November 21,1990, and of the firm’s
discontinuance of audit an d accounting
services should be set forth on the L&H
audit report page.
Question 7: Section 32(a) of the
Investment Company Act of 1940
prohibits registered management
companies or registered face amount
certificate companies from filing with
the Commission any financial statem ent
signed or certified by an independent
public accountant unless the selection
of the accountant has been submitted
for ratification or rejection a t the next
succeeding meeting, if such meeting is
held. However, this section provides an
exception that allows a vacancy
occurring betw een annual meetings, due
to the death or resignation of the
accountant, to be filled by the vote of a
majority of the members of the board of
directors who are not interested persons
of the registered company. Will die staff
interpret the bankruptcy or dissolution
of the accountant to come within this
exception?
Response: The staff will interpret the
bankruptcy and dissolution of L&H as a

resignation. Investment companies may
select a new accountant to replace L&H
in accordance with section 32(a) without
calling a special meeting of stockholders
or scheduling an annual meeting when
one would not otherwise be required.
[FR Doc. 91-2957 Filed 2-6-91; 8:45 am]
BILLING CODE 8010-01-M

DEPARTMENT OF JUSTICE
28 CFR Part 14
[Order No. 1471-911

Administrative Claim s Under the
Federal Tort Claims Act; Delegation o f
Authority

Department of Justice.
Final rule.

A G EN CY:
ACTION:

s u m m a r y : This Order delegates
authority to die Secretary of Defense to
settle adm inistrative claims presented
pursuant to the Federal Tort Claims Act
where the amount of the setdement does
not exceed $100,000. The Order
implements Public Law 101-552. This
Order will alert the general public to the
Secretary’s new authority, and is being
codified in the CFR to provide a
permanent record of this delegation.
EFFECTIVE D A T E : February 7,1991.

FOR FURTH ER INFORMATION CO N TACT:

Jeffrey Axelrad. Director, Torts Branch,
Civil Division, U.S. Department of
Justice. W ashington, DC 20530, (202)
501-7075.
SUPPLEM ENTARY INFORMATION: This
Order has been issued to delegate
settlem ent authority and is a matter
solely related to division of
responsibility between the Department
o f Justice and the Department of
Defense. It does not have a significant
economic impact on a substantial
number of small entities. 5 U.S.C. 605(b).
It is not a major rule within the meaning
of Executive Order No. 12291.
List of Subjects hi 28 CFR Part 14
Authority delegations (government
agencies). Claims.
By virtue of the authority vested in
me, including 28 U.S.C. 509, 510, 5 U.S.C.
301, and 38 U.S.C. 223(a), title 28 of the
Code of Federal Regulations is revised
as follows:
PART 14— [AMENDED]

1.
The authority citation for part 14
continues to read as follows;
Authority: 5 U.S.C. 301; 28 U.S.C. 509.510.
2872; 38 U.S.C. 223(a).

4943

Appendix—[Amended)
2.
Part 14 is amended by adding a ne w
provision at the end of the appendix to
part 14 to read as follows:
Delegation of Authority to the Secretary of
Defense
Section 1. Authority to compromise tort
claims.
(a) The Secretary of Defense shall have the
authority to adjust, determine, compromise
and settle a claim involving the Department
of Defense under section 2672 of title 28,
United States Code, relating to the
administrative settlement of federal tort
claims, if the amount of the proposed
adjustment, compromise, or award does not
exceed $100,000. When the Secretary believes
a claim pending before him presents a novel
question of law or of policy, he shall obtain
the advice of the Assistant Attorney General
in charge of the Civil Division.
(b) The Secretary may redelegate in writing
the settlement authority delegated to him
under this section.
Section 2. Memorandum.
Whenever the Secretary settles any
administrative claim pursuant to the
authority granted by section 1 for an amount
in excess of $50,000 and within the amount
delegated to him under section 1, a
memorandum fully explaining the basis for
the action taken shall be executed. A copy of
this memorandum shall be sent to the
Director, FTCA Staff, Torts Branch of the
Civil Division.
Dated: January 31,1991.
Dick Thornburgh,
Attorney General.
[FR Doc. 91-2912 Filed 2-6-91; 8:45 am)
BILU N G CODE 4410-01-11

DEPARTMENT OF TRANSPORTATION
Coast Guard
33 CFR Part 165
[CO TP W ilmington Regulation (05-91-003)]

Security Zone Regulations: Cape Fear
River, North Carolina State Ports
Authority, Wilmington, NC
agency

ACTION:

Coast Guard, DOT.
Emergency rule.

:

The Coast Guard is
establishing a temporary security zone
in the Cape Fear River in the vicinity of
North Carolina State Ports Authority
(NCSPA) consisting of the Cape Fear
River near Wilmington, NC, from a point
1000 yards (925 meters) south of the
Cape Fear Memorial Bridge to Cape
Fear River Channel Light 53 (LLNR
28675), the land and w ater areas within
1000 yards to the west of the Fourth East
Jetty Range and Between Channel, and
the land and w ater areas within 200
SUMM ARY:

4944

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Rules and Regulations

yards (182 meters) to the east of the
Fourth East )etty Range and Between
Channel. This security zone is.
established at the request of the United
States Army and Navy andi is needed to
safeguard vessels and property at
NCSPA, and other government property
essential to the national security from
sabotage or other subversive acts,
accidents, criminal actions, or other
causes of a similar nature. Entry into
this zone is prohibited unless authorized
by the Captain of the Port, Wilmington,
North Carolina.
EFFECTIVE DATE: This regulation
becomes effective at 1 p.m. January 18,
1991. It terminates on the completion of
Operation DESERT STORM unless
sooner terminated by the Captain of the
Port. A notice will be published in the
Federal Register announcing termination
of the rule.
FOR FURTHER INFORMATION CONTACT:

LCDR P.A. Richardson, USCG, c/o U.S.
Coast Guard Captain of the Port, 272
North Front Street, Suite 500,
Wilmington, NC 28401-3907; telephone
(919) 343-4881.
SUPPLEMENTARY INFORMATION: In
accordance with 5 U.S.C. 553, a notice of
proposed rulemaking (NPRM) w as not
published for this regulation and good
cause exists for making it effective in
less than 30 days after Federal Register
publication. Publishing an NPRM and
delaying its effective date would be
contrary to the public interest since
immediate action is necessary to
prevent damage to vessels at NCSPA,
government property, or delay to
defense operations, essential to the
national security.

Drafting Information
The Drafters of this regulation are
LCDR P.A. Richardson, project officer
for the Captain of the Port, and Capt
M.K. Cain, project attorney, Fifth Coast
Guard District Legal Office.
Discussion of the Regulation
The events requiring this regulation
will begin at 1 p.m. January 18,1991.
These operations are essential to the
national security of the United States,
and damage to vessels or equipment
involved or delay to the operation would
seriously damage the security and
interests of the United States.
This regulation is issued pursuant to
33 U.S.C. 1225 and 1231 as set out in the
authority citation for all of part 165.
List of Subjects in 33 CFR Part 165

Harbors, Marine Safety, Navigation
(water), Security measures, Vessels,
Waterways

Regulation
In consideration of the foregoing,
subpart C of part 165 of Title 33, Code of
Federal Regulations, is amended as
follows:
PART 165— [AMENDED]

1. The authority citation for part 165
continues to read as follows:
Authority: 33 U.S.C. 1225 and 1231: 50
U.S.C. 191:49 CFR 1.46 and 33 CFR 1.05-l(g),
6.04-1,6.04-6, and 160.5.
2. In part 165, a new § 165.T05-91-003
is added, to read as follows:
§ 165.T05-91-003—Security Zone: Cape
Fear River In Vicinity of North Carolina
State Ports Authority, Wilmington, N C
(a) Ideation. The following área is a
security zone: The Cape Fear River in
the vicinity of North Carolina State
Ports Authority (NCSPA) consisting of
the Cape Fear River from a point 1000
yards (925 meters) south of the Cape
Fear Memorial Bridge to Cape Fear
River Channel lig h t 53 (LLNR 28675), the
land and w ater areas within 1000 yards
to the w est of the Fourth East Jetty
Range and Between Channel, and the
land and w ater areas within 200 yards
(182 meters) to the east of the Fourth
East Jetty Range and Between Channel.
(b) E ffective Date. This regulation is
effective at 1:00 p.m. January 18,1991. It
terminates on the completion of
Operation DESERT STORM unless
sooner terminated by the Captain of the
Port, A notice will be published in the
Federal Register announcing termination
of the rule.
(c) Regulations.
(1) In accordance w ith the general
regulations in Section 165.33 of this part,
entry into this zone is prohibited unless
authorized by the Captain of the Port,
Wilmington, NC.
(2) Persons or vessels requiring entry
into or passage through the security
zone may request authorization from the
Captain of the Port or his designated
representative by telephone at (919) 3434881 or by contacting a Coast Guard
vessel patrolling the security zone.
(3) All vessels entering the security
zone may be boarded and examined by
the Coast Guard under existing
regulations, prior to entry, to ensure
compliance with safety and navigation
regulations, and to ensure compliance
with the general regulations in § 165.33.
(4) Public notice of this regulation will
be made by issuing periodic Mariné
Safety Information Broadcast Notice to
Mariners to notify the maritime
community of the existence of the
security zone.

(5)
Section 165.33 also contains other
general requirements.
(d)
Effective Date. This regulation is
effective on 1 p.m. January 18,1991. It
terminates on the completion of
Operation DESERT STORM or unless
sooner terminated by the Captain of the
Port. A notice will be published in the
Federal Register announcing termination
of the rule.
Dated: January 18,1991.
P.J. Pluta,

Captain, U.S. Coast Guard, Captain of the
Port, Wilmington, North Carolina,
[FR Doc, 91-2935 Filed 2-6-91; 8:45 am]
BiULINQ CODE «910-14-1»

ENVIRONMENTAL PROTECTION
AGENCY
40 CFR Part 52
[FRL-3903-1]

Prevention of Significant
Deterioration; Delegation of Authority;
Bay Area Air Quality Management
District

Environmental Protection
Agency (EPA).
AGENCY:
a c t io n :

Delegation of authority.

The Regional Administrator
for EPA Region 9, San Francisco, has
amended the agreement delegating full
authority to the Bay Area Air Quality
Management District to implement and
enforce the Federal Prevention of
Significant Deterioration (PSD) Program.
DATES: The effective date of the initial
delegation w as April 23,1986. The
effective date of the revised delegation
is January 4,1991.
ADDRESSES: Bay Area Air Quality
Management District, 939 Ellis Street,
San Francisco, California 94109.
sum m ary:

FOR FURTHER INFORMATION CONTACT:

Deborah Jordan, New Source section
(A-3-1), Air Operations Branch, Air and
Toxics Division, U.S. Environmental
Protection Agency, 75 Hawthorne Street,
San Francisco, California 94105,
Telephone: (415) 744-1257.
SUPPLEMENTARY INFORMATION: The
Environmental Protection Agency has
delegated under die provisions which
are found in 40 CFR 52.21(u), to the Bay
Area Air Quality Management District:
(A) Authority over all sources in that
District subject to review for the
prevention of significant deterioration of
air quality, pursuant to part C, 100-169
of title I of the Clean Air Act as
amended August 7,1977 and the
requirements promulgated in the July 1,
1980 under authority of sections 101,110

Federal Register / VoL 56, No. 26 / Thursday, February 7, 1991 / Rules and Regulations
and 160-169 of the Clean Air Act; and
(B) authority to review, administer, and
enforce throughout the District the PSD
requirements imposed by the Clean Air
Act sections 101* 110 and 160-169, and
40 CFR 52.21 as amended August 7,1980.
information on this delegation
together with a copy of the delegation is
provided below:
Delegation of authority for PSD w as
granted on April 23,1986. The delegation
was amended on December 28,1990,
and the amended delegation became
effective on January 4,1991. The
following letter and attached agreement
represent the terms and conditions of
the amended delegation.
January 8,1991
Milton Feldstein
Air Pollution Control Officer, Bay Area Air
Quality, Management District, 939Ellis
Street, San Francisco, CA 94109
Dear Mr. Feldstein: I am pleased to
transmit the amended EPA-BAAQMD *
Prevention of Significant Deterioration (PSD}
delegation agreement. The agreement
extends the Distrct’s PSD permitting authority
to include the federal PMi« and NO*
provisions added since the original
agreement of April 23,1986.
EPA remains committed to providing any
guidance or technical assistance that may be
needed In the Distrct’s implementation of this
agreement. We look forward to a continuing
partnership in the permitting program.
Sincerely,
Darnel W. McGovern
Regional Administrator
Enclosure
U.S. EPA-Bay Area AQMD Agreement
for Delegation of Authority for
Prevention of Significant Deterioration
of Air Quality (40 CFR 52.21)
The undersigned, on behalf of the Bay
Area Air Quality Management District
(BAAQMD) and the United States
Environmental Protection Agency (U.S.
EPA), hereby agree to the delegation of
authority of the administrative and
enforcement elements of the stationary
source review provisions of 40 CFR
52.21, Prevention of Significant
Deterioration (PSD) from the U.S. EPA to
the BAAQMD, subject to the terms and
conditions below, EPA has determined
that the PSD portion of the District Rule
2 of Regulation 2 (adopted March 7,
1984, with minor revisions adopted
subsequently, as amended on November
1,1989) generally meets the
requirements of § 52.21; therefore.
District Authorities to Construct (ATCs
or permits) issued in accordance with
the provisions of Rule 2 of BAAQMD
Regulation 2 will be deemed to be
Federal PSD permits pursuant to the
provisions of this delegation agreement.
This delegation is executed pursuant to
40 CFR 52^1(u), Delegation of Authority,

and supersedes the agreement dated
April 23,1986.
Permits
1. District permits issued pursuant to
this Agreement must meet the
requirements of District Rule 2 of
Regulation 2. District Authorities to
Construct must be issued prior to the
beginning of actual construction, as that
term is defined at 40 CFR 52.21(b)(ll), as
required by 40 CFR 52.21{i)(l).
2. EPA reserves permitting authority
for PSD sources with stack heights
greater than 65 meters or sources which
use a dispersion technique as defined by
EPA, unless the District permits would
comply with EPA’s final stack height
regulation (50 FR 44878, July 8,1985).
3. EPA reserves authority for
performing the review of the visibility
impacts of new or modified major
stationary sources that may adversely
impact visibility in mandatory Class I
areas unless the District permits would
comply with EPA's final regulations
regarding visibility review (50 FR 28544,
July 12,1985).
4. It is the understanding of the parties
that, consistent with the provisions of
Rule 2 of Regulation 2 and pursuant to
section 41700 of the California Health
and Safety Code, actual emission
decreases are creditable only to the
extent that the reductions have
approximately the same qualitative
significance for public health and
welfare as that attributed to the increase
from the particular change.
5. The District will request EPA
guidance on any matter involving the
interpretation of sections 160-169 of the
Clean Air Act or 40 CFR 52.21 to the
extent that implementation, review,
administration or enforcement of these
sections has not been covered by
determinations or guidance sent to the
District.
6. Pursuant to its authority under the
Clean Air Act and upon reasonable
notice, EPA may review the permits
issued by the District under this
agreement to ensure that the District’s
implementation of Rule 2 of Regulation 2
is consistent with the contemporaneous
time frame and actual emissions
baseline requirements of federal
regulations (40 CFR 52.21(b)(3)).
7. Pursuant to provisions of section
7(a) of the Endangered Species Act of
1973 (16 U.S.C. 1536(a)), EPA may not
delegate and hereby retains its
responsibilities to ensure that PSD
permitting actions by the District are not
likely to jeopardize the continued
existence of endangered or threatened
species, or adversely modify their
critical habitats.

4945

8. Pursuant to the provisions of 40 CFR
52.21(u)(2), the District shall consult with
the appropriate State or local agency
primarily responsible for managing land
use prior to making any determinations
under this Agreement
9. The District shall conduct an annual
review of the NO* increment status for
each section 107 area designated as
attainment over which it has jurisdiction
and shall prepare a summary report of
that review. Such review shall be made
in accordance with current U.S. EPA
guidance as provided to the District.
Emissions from the following sources
consume NCfe increment: (1) Any new
major stationary source or modification
of a m ajor stationary source on which
construction begins after February 8,
1968; and (2) minor, area, and mobile
sources, after the minor source baseline
date as defined by 40 CFR 52.21. The
initial review of the NO* increment
status shall address the consumption of
NO* increment between February 8,
1988, and the effective date of this
Agreement
10. District permits issued pursuant to
this agreement which meet the
requirements of 40 CFR 52.21 will be
considered valid by EPA. The
determination of compliance or
noncompliance with 40 CFR 52.21 shall
be made by EPA. The District shall issue
a permit to applicants using District
regulations and authority.
11. The primary responsibility for
enforcement of the PSD regulations in
the District will rest with the District.
The District will enforce the provisions
that pertain to the PSD program, except
in those cases where the rule and policy
of the District are more stringent. It that
case, the District may elect to implement
the more stringent requirements.
Nothing in this agreemènt shall prohibit
EPA from enforcing the PSD provisions
of the Clean Air Act, the PSD
regulations or any PSD permit issued by
the District pursuant to this agreement.
In the event that the District is unwilling
or unable to enforce a provision of this
delegation with respect to a source
subject to the PSD regulations, the
District will immediately notify the
Regional Administrator. Failure to notify
the Regional Administrator does not
preclude EPA from exercising its
enforcement authority.
General Conditions
1.
This delegation may be amended at
any time by the formal written
agreement of both the BAAQMD and
the U S. EPA including amendments to
add, change, or remove conditions or
terms of this Agreement.

4946

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Rules and Regulations

2. If the District adopts revisions to
Rule 2 of Regulation 2, EPA may take
steps to revoke the delegation in whole
or in part pursuant to condition 3 below
or the parties may amend the agreement
pursuant to condition 1 above. Any
amendments to Rule 2 of Regulation 2
which are adopted by the District, shall
not be applied under this agreement
until this agreement is amended so to
provide.
3. If the U.S. EPA determines that the
BAAQMD is not implementing the PSD
program in accordance with the terms
and conditions of this delegation, the
requirements of 40 CFR 52.21,40 CFR
part 124, or the Clean Air A c t this
delegation, after consultation with the
BAAQMD, may be revoked in whole or
in part. Any such revocation shall be
effective as of the date specified in a
Notice of Revocation to the BAAQMD.
4. The permit appeal provisions of 40
CFR part 124 shall apply to all appeals
to the Administrator on permits issued
by the BAAQMD under this delegation.
For purposes of implementing the
federal permit appeal provisions under
this delegation, if there is a public
comment requesting a change in a draft
preliminary determination or draft
permit conditions, the final permit
issued by the BAAQMD shall contain a
statem ent that for Federal PSD purposes
and in accordance with 40 CFR 124.15
and 124.19, (1) the effective date of the
permit is 30 days after the date of the
final decision to issue, modify, or revoke
and reissue thé permit; and (2) if an
appeal is made to the Administrator, the
effective date of the permit is suspended
until such time as the appeal is resolved.
The BAAQMD shall inform EPA Region
IX in accordance with conditions of this
delegation when there is public
comment requesting a change in the
preliminary determination or in a draft
permit condition. Failure by the
BAAQMD to comply with the terms of
this paragraph shall render the subject
permit invalid for Federal PSD purposes.
5. This delegation of authority shall
terminate upon the date EPA
promulgates final approval or
disapproval of District Rule 2 of
Regulation 2 as it applies to PSD
implementation.
6. This delegation of authority
becomes effective upon the date of the
signatures of both parties to this
Agreement.
Date: 12-2&-90—M ilton Feldstein, Bay
Area Air Quality Management
District
Date: 1-4-91—D aniel W. McGovern,
U.S. Environmental Protection
Agency
The Regional Administrator finds
good cause for foregoing prior public

notice and for making this delegation
effective immediately in that it is an
administrative change and not one of
substantive content No additional
substantive burdens are imposed on the
parties affected. This delegation become
effective on April 23,1988; therefore, it
serves no purpose to delay this technical
revision, adding the District's address to
the Code of Federal Regulations.
A copy of the request for delegation of
authority is available for public
inspection at the U.S. Environmental
Protection Agency, Region 9 Office, Air
and Toxics Division, Air Operations
Branch, 75 Hawthorne Street, San
Francisco, California 94105.
List of Subjects in 40 CFR Part 52
Air pollution control, Ozone, Sulfur
oxides, Nitrogen dioxide, Lead,
Particulate matter, Carbon monoxide,
Hydrocarbons, Intergovernmental
relations.
Authority: 42 U.S.C. 7401-7501.
Dated: January 29,1991.
Jerry Clifford,
Acting Regional Administrator.
[FR Doc. 91-2934 Filed 2-6-91; 8:45 am)
BILLING CODE 6560-50-M

40 CFR Part 180
[OPP-3Q072H; FR L 3844-3]

agricultural commodities. Section 408(o)
requires that the Agency collect fees as
will, in the aggregate, be sufficient to
cover the costs of processing petitions
for pestiqide products, i. e., that the
tolerance process be as self-supporting
as possible. The current fee schedule for
tolerance petitions (40 CFR 180.33) was
published in the Federal Register on
February 14,1990 (55 FR 5217) and
became effective on March 16,1990. At
that time the fees were increased 3.6
percent in accordance with a provision
in the regulation that provides for
automatic annual adjustments to the
fees based on annual percentage
changes in Federal salaries. The specific
language in the regulation is contained
in paragraph (o) of § 180.33 and reads in
part as follows:
(oj This fee schedule will be changed
annually by the same percentage as the
percent change in the Federal General
Schedule (GS) pay scale * * *. When
automatic adjustments are made based on
the GS pay scale, the new fee schedule will
be published in the Federal Register as a final
rule to become effective 30 days or more after
publication, as specified in the rule.
The pay raise in 1991 for Federal
General Schedule employees is 4.1
percent; therefore* the tolerance petition
fees are being increased 4.1 percent The
entire fee schedule, § 180.33, is
presented for the reader’s convenience.
(All fees have been rounded to the
nearest $25.00.)

Tolerance Processing Fees

List of Subjects in 40 CFR Part 180

Environmental Protection
Agency (EPA).
a c t i o n : Final rule.

Administrative practice and
procedures, Agricultural commodities,
Pesticides arid pests, Reporting and
recordkeeping requirements.

AG ENCY:

This rule increases fees
charged for processing tolerance
petitions for pesticides under the
Federal Food, Drug, and Cosmetic Act
(FFDCA). The change in fees reflects a
4.1 percent increase in pay for civilian
Federal General Schedule (GS)
employees in 1991.
EFFECTIVE DATE: March 11,1991.
FOR FURTHER INFORMATION CO N TACT: By
mail: Ken Wetzel, Program Management
and Support Division (H7502C), Office of
Pesticide Programs, Environmental
Protection Agency, 401 M St., SW.,
Washington, DC 20460. Office location
and telephone number: Rm. 1002-E, CM
# 2,1921 Jefferson Davis Highway,
Arlington, VA (703-557-1128).
SUPPLEM ENTARY INFORMATION: The EPA
is charged with administration of
section 408 of the Federal Food, Drug,
and Cosmetic Act (FFDCA). Section 408
authorizes the Agency to establish
tolerance levels and exemptions from
the requirements for tolerances for raw
sum m ary:

Dated: January 29,1991
Douglas D. Campt
Director, Office ofPesticide Programs.
Therefore, 40 CFR part 180 is amended
as follows:
PART 180— [AMENDED]

1. The authority citation for part 180
continues to read as follows:
Authority: 21 U.S.C. 346a and 371.
2. Section 180.33 is revised to read as
follows:
§ 180.33

Fees.

(a)
Each petition or request for the
establishment of a new tolerance or a
tolerance higher than already
established, shall be accompanied by a
fee of $52,000, plus $1,300 for each raw
agricultural commodity more than nine
on which the establishment of a
tolerance is requested, except as

Federal Register / Vol. 56, No. 28 / T h u rsd ay , F e b ru ary 7, 1991 / Rules and Regulations
provided in paragraphs, (b), (d), and (h)
of this section.
(b) Each petition or request for the
establishment of a tolerance at a lower numerical level or levels than a
tolerance already established for the
same pesticide chemical, or for the
establishment of a tolerance on
additional raw agricultural commodities
at the same numerical level as a
tolerance already established for the
same pesticide chemical, shall be
accompanied by a fee of $11,900 plus
$825 for each raw agricultural
commodity on which a tolerance is
requested.
(c) Each petition or request for an
exemption from the requirement of a
tolerance or repeal of an exemption
shall be accompanied by a fee of $9,575.
(d) Each petition or request for a
temporary tolerance or a temporary
exemption from the requirement of a
tolerance shall be accompanied by a fee
of $20,775 except as provided in
'
paragraph (e) of this section. A petition
or request to renew or extend such
temporary tolerance o r temporary
exemption sh allb e accompanied by a
fee of $2,950.
(e) A petition or request for a
temporary tolerance for a pesticide
chemical which has a tolerance for other
uses at the same numerical level o r a
higher numerical level shall be
accompanied by a fee of $10,375 plus
$825 for each raw agricultural
commodity on which the temporary
tolerance is sought. •
(f) Eaeh petition or request for repeal
of a tolerance shall be accompanied by
a fee of $6,500. Such fee is not required
when, in connection with the change
sought under this paragraph, a petition
or request is filed for the establishment
of new tolerances to take the place of
those sought to be repealed and a fee is
paid as required by paragraph (a) of this
section.
(g) If a petition or a request is not
accepted for processing because it is
technically incomplete, the fee, less
$1,300 for handling and initial review,
shall be returned. If a petition is
withdrawn by the petitioner after initial
processing, but before significant
Agency scientific review has begun, the
fee, less $1,300 for handling and initial
review, shall be returned. If an
unacceptable or withdrawn petition is
resubmitted, it shall be accompanied by
the fee that would be required if it were
being submitted for the first time;
(h) Each petition or request for a crop
group tolerance, regardless of the
number of raw agricultural commodities
involved, shall be accompanied by a fee
equal to the fee required by the
analogous category for a single

tolerance that is not a crop group
tolerance, i.e., paragraphs (a) through (f)
of this section, without a charge for each
commodity where that would otherwise
apply.
(1) Objections under section 408(d) (5)
of the Act shall be accompanied by a
tiling fee of $2,600.
(j)
(l) In the event of a referral of a
petition or proposal under this section to
an advisory committee, the costs shall
be borne by the person who requests the
referral of the data to the advisory
committee.
(2) Costs of the advisory committee
shall include compensation for experts
as provided in § 180.11(c) and the
expenses of the secretariat, including
the costs of duplicating petitions and
other related material referred to the
committee.
(3) An advance deposit shall be made
in the am ount of $25,950 to cover the
costs of the advisory committee. Further
advance deposits of $25,950 each shall be made upon request of the
Administrator when necessary to
prevent arrears in the payment of such
costs. Any deposits in excess of actual
expenses will be refunded to the
depositor.
(k) The person who files a petition for
judicial review of an order under section
408 (d) (5) of (e) of the Act shall pay the
costs of preparing the record on which
the order is based unless the person has
no financial interest in the petition for
judicial review.
(l) No fee under this section will be
imposed on the Inter-Regional Research
Project Number 4 (IR-4 Program).
(m) The Administrator may waive or
refund part or all of any fee imposed by
this section if the Administrator .
determines in his or her sole discretion
that such a waiver or refund will
promote the public interest or that
payment of the fee would work an
unreasonable hardship on the person on
whom the fee is imposed. A request for:
waiver of refund of a fee shall be
submitted in writing to the
Environmental Protection Agency,
Office of Pesticide Programs,
Registration Division (H7505C),
Washington, DC 20460. A fee of $1,300
shall accompany every request for a
waiver or refund, except that the fee
under this sentence shall not be imposed
on any person who has no financial
interest in any action requested by such
person under paragraphs (a) through (k)
of this section. The fee for requesting a
waiver or refund shall be refunded if the
request is granted.
(n) All deposits and fees required by
the regulations in this part shall be paid
by money order, bank draft, or certified
check drawn to the order of the

4947

Environmental Protection Agency. All
deposits and fees shall be forwarded to
the Environmental Protection Agency,
Headquarters Accounting Operations
Branch, Office of Pesticide Programs
(Tolerance Fees), P.O. Box 360277M,
Pittsburgh, PA 15251. The payments
should be specifically labeled
“Tolerance Petition Fees” and should be
accompanied only by a copy of the letter
or petition requesting the tolerance. The
actual letter or petition, along with
supporting data, shall be forwarded
within 30 days of payment to the
Environmental Protection Agency,
Office of Pesticide Programs,
Registration Division, (H7504C)
Washington, DC 20460. A petition will
not be accepted for processing until the
required fees have been submitted. A
petition for which a waiver of fees has
been requested will not be accepted for
processing until the fee has been waived
or, if the waiver has been denied, the
proper fee is submitted after notice of
denial. A request for waiver or refund
will not be accepted after scientific
review has begun on a petition.
(o)
This fee schedule will be changed
annually by the same percentage as the
percent change in the Federal General
Schedule (GS) pay scale. In addition,
processing costs and fees will
periodically be reviewed and changes
will be made to the schedule as
necessary. W hen automatic adjustments
are made based on the GS pay scale, the
new fee schedule will be published in
the Federal Register as a Final Rule to
become effective 30 days or more after
publication, as specified in the rule.
W hen changes are made based on
periodic reviews, the changes will be
subject to public comment,
[FR Doc. 91-2963 Filed 2-6-91; 8:45 am]
BILLING CODE 6560-50-F

GENERAL SERVICES
ADMINISTRATION
41 CFR Parts 201-4,201-9,201-18,
201-20,201-23,201-24, and 201-39
Implementation of the FIRMR
Improvement Project; Correction
AGENCY: Information Resources
Management Service, GSA.
ACTION: Final rule; correction.

S u m m a r y : This

document implements
certain technical corrections to a final
rule regarding republication of the
Federal Information Resources
Management Regulation (FIRMR), 41
CFR chapter 201, that began on page

4948

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Rules and Regulations

53386 in the Federal Register of Friday,
December 28,1990, (55 FR 53386).
EFFECTIVE D A TE: April 29,1991.
FOR FURTHER INFORMATION CONTACT:

Paul Whitson, GSA, Office of
Information Resources Management
Policy, telephone (202) 501-3194 or FTS
241-3194 (v) or (202) 501-0657 or FTS
241-0857 (tdd).
In 41 CFR chapter 201 Implementation
of the FIRMR Improvement Project;
Final Rule, Republication of Chapter (FR
Doc. 90-30137), beginning on page 53386
in the issue of Friday, December 28,
1990, make the following corrections.
PART 201-4— [Corrected]
§201-4.001

[Corrected]

1. On page 53390, in the third column,
in § 201-4.001, the definition “Capability
validation“, on the tenth line, is
corrected to add a period after the word
“validation”.
§201-4.001

[Corrected]

2. On page 53391, in the third column,
in § 201-4.001, the definition
“Information Systems Security
(INFOSEC)“, on the fourteenth line, is
corrected to add a comma after the
word “process”.
§201-4.001

[Corrected]

3. On page 53393, in the first column,
in § 201-4.001 in the definition
“Surplus”, “Surplus” should be in italics.
PART 201-9— [CORRECTED]
§201-9.200

[Corrected]

4. On page 53395, in the third column,
in § 201-9.200 introductory text, on the
first line, “part" is corrected to read
"subpart”.

8. On page 53401, m the third column,
in § 201-20.305-l(a)(l) introductory text,
in the second line die reference'“ 1” to
the footnote and the footnote are
removed.

“(c) Soliciting and evaluating optional
quantities, optional contract periods,
and optional FIP resources can be an
effective method to achieve competition
for the options and to prevent the
possibility of a contractor “buying-in”.”

§201-20.305-1

§ 201-39.1701-3

§201-20305-1

[Corrected]

[Corrected]

9. O n the same page, in the same
column, in § 201-20.305-l(a)(l)
introductory text, in the last line, "the
following applies:” is corrected to read
“following applies:”.
PART 201-23— [CORRECTED]
§ 201-23.003

[Corrected]

10. On page 53407, in the second
column, in § 201-23.003(d), in the ninth

PART 201-24— [CORRECTED]

§ 201-39.5202-1

11. On page 53407, in the third column,
in part 201-24, in die table of contents,
“201-24.107 Financial Management
Systems Software (FMSS)” is corrected
to read “Financial Management Systems
Software (FMSS) Multiple Awards
Schedule (MAS) Contracts Program”.

19. On page 53419, in the second
column, in § 201-39.5202-1, in the title of
the clause, "FIRMR Applicability (Oct 89
FIRMR)” is corrected to read “FIRMR
Applicability (Oct 90 FIRMR)”.

§201-24.107

[Corrected]

12. On page 53409, in the third column,
in § 201-24.107, the heading “Financial

Management System Software (FMSS)”
is corrected to read “Financial
Management Systems Software (FMSS)
Multiple Awards Schedule (MAS)
Contracts Program”.
§201-24.107

[Corrected]

13. On the same page, in die same
column, in § 201-24.107{a), in the sixth

§ 201-18.002

PART 201-39— [CORRECTED]

PART 201-20— [CORRECTED]

§201-39.106-4

[Corrected]

6. On page 53399, in the second
column, in § 201-20.103-7(c), in the
second and third lines, “Bulletin C-8” is
corrected to read “Bulletins C-8 and C 10” .
§201-20.203-1

[Corrected]

7. On page 53399, in the third column,
in § 201-20.203-l(a)(3), in the fpurth and
fifth lines, “those programs” is corrected
to read “these programs”.

[Corrected]

14. On page 53413, in the first column,
in § 201-39.106-4(c)(2), in the third line,
"when any" is corrected to read “if
any”.
§ 201-39.1501-1

§201-20.103-7

[Corrected]

line, "but screening” is corrected to read
"but screening by GSA of exchange/sale
transactions with an OAC per
component of $1 million or more”.

PART 201-18— [CORRECTED]
[Corrected]

§ 201-39.1701-3

18. On the same page, in the same
column, in § 201-39.1701-3(c), in the
second line, “periods or quantities” is
corrected to read “periods, quantities or
optional FIP resources”.

line, "FMSS multiple award schedule
(MAS)” is corrected to read “FMSS
MAS”.

5. On page 53398, in the first column,
in § 201-18.002(c), in the fourth line,
“Bulletin C-8” is corrected to read
“Bulletins C-8 and C-10".

[Corrected]

17. On the same page, in the same
column, in § 201-39.1701-3 introductory
text, in the fourth and fifth lines,
“performance or to acquire additional
quantities may be used when—” is
corrected to read “performance or to
acquire additional quantities or optional
FIP resources may be used when—”.

[Corrected]

15. On page 53418, in the first column,
in § 201-39.1501-l(a)(l), in the second
and third lines, “and all optional
quantities and contract periods” is
corrected to read “and optional
quantities, basic and optional contract
periods, and optional FIP resources”..
§201-39.1701-1

[Corrected]

16. On the same page, in the second
column, in § 201-39.1701-1(c) the
paragraph is corrected to read:

§201-39.5202-2

[Corrected]

[Corrected]

20. O n the same page, in the third
column, in § 201-39.5202-2, in the third
line of die title of the provision, “(Oct 89
FIRMR)” is corrected to read “(Oct 90
FIRMR)”.
§ 201-39.5202-3

[Corrected]

21. On the same page, in the same
column, in § 201-39.5202-3, in the title of
the clause, "Procurement Authority (Oct
89 FIRMR)” is corrected to read
“Procurement Authority (Oct 90
FIRMR)”.
§ 201-39.5202-4

[Corrected]

22. On the same page, in the same
column, in § 201-39.5202-4, in the title of
the provision, “Evaluation of Options—
FIP Resources (Oct 69 FIRMR)” is
corrected to read “Evaluation of
Options—FIP Resources (Oct 90
FIRMR)”.
§201-39.5202-5

[Corrected]

23. On page 53420, in the first column,
in § 201-39.5202-5, in the title of the
clause, "Privacy or Security safeguards
(Oct 89 FIRMR)” is corrected to read
“Privacy or Security Safeguards (Oct 90
FIRMR)”.
§ 201-39.5202-6

[Corrected]

24. On the same page, in the third
column, in § 201-39.5202-6, in the title of
the clause "W arranty Exclusion and
Limitation of Damages (Oct 89 FIRMR)”
is corrected to read "W arranty

Federal Register / V o l 56, Np. 26 / Thursday, F ebruary 7, 1991 / Rules an d Regulations
Exclusion and Limitation of Damages
(Oct 90 FIRMR)”.
FIRMR index

[Corrected]

25. On the same page, in the FIRMR
Index, in the entry for “ADP", “201 .4.002, 201-20.003” is corrected to read
“201-4.002, 201-20.303”.
FIRMR Index

[Corrected]

Washington, DC. The complete text of
this decision may also be purchased
from the Commission’s copy contractors,
International Transcription Service,
(202) 857-3800, 2100 M Street, NW., Suite
140, Washington, DC 20037.
l i s t o f Su b jects in 47 CFR Part 73

Radio broadcasting.

26. On page 53421, in the FIRMR
Index, in the entry for “Disability(ies)”
the right-hand column is removed and
corrected to read “Disability(ies) (See
Employees with disabilities)”.

1. The authority citation for part 73
continues to read as follows:
Authority: 47 U.S.C. 154, 303.

FIRMR index

§73.292

[Corrected]

27. On page 53422, in the FIRMR
Index, the entry for “Employees with
disabilities” is corrected to read as
follows: “Employees with disabilities
* * * 201-3.402, 201-17.001, 201-18.001,
201-20.103-7, 201-21.603, Bulletin C-8,
Bulletin C-9, Bulletin C-10.”
Dated: January 25,1991.
Margaret Truntich,
Chief, Regulations Branch,

PART 73— [AMENDED]

[Am ended]

2. Section 73.202(b), the Table of FM
Allotments under Michigan is amended
by removing Channel 255A and adding
Channel 254A at Grand Rapids.
Fédéral Communications Commission.
Andrew J. Rhodes,
Acting Chief Allocations Branch, Policy and
Rules Division, Mass Media Bureau.
[FR Doc. 91-2922 Filed 2-6-91; 8:45 am]
BILLING CODE 8712-01-M

[FR Doc. 91-2785 Filed 2-6-91; 8:45 am]
BILLING CODE 6820-25-M

47 CFR Part 73
FEDERAL COMMUNICATIONS
COMMISSION
47 CFR Part 73
[MM Docket No. 90-441; RM-7210]

Radio Broadcasting Services; Grand
Rapids, Ml

Federal Communications
Commission.
a c t i o n : Final rule.
agency:

s u m m a r y : This document substitutes
Channel 254A for Channel 255A at
Grand Rapids, Michigan, in response I
a petition filed by Haith Broadcasting
Corporation. See 55 FR 42587, Octobei
22,1990. We shall also modify the
construction permit for Station WXJI,
Channel 255A, to specify operation on
Channel 254A. Canadian concurrence
has been obtained for Channel 254A a
coordinates 43-01-36 and 85-41-28.
EFFECTIVE DATE: March 18,1991.

FOR FURTHER INFORMATION CO N TACT:

Kathleen Scheuerle, Mass Media
Bureau, (202) 834-6530.
s u p p l e m e n t a r y i n f o r m a t i o n : This is
synopsis of the Commission’s Report
and Order, MM Docket No. 90-441,
adopted January 24,1991, and releasee
February 1,1991. The full text of this
Commission decision is available for
inspection and copying during normal
business hours in the FCC Dockets
Branch (room 230), 1919 M Street, NW.

[MM Docket No. 90-513; RM-7388]

Radio Broadcasting Services;
Campbell, MO

Federal Communications
Commission.
a c t i o n : Final rule.
agency:

This document substitutes
Channel 298C3 for Channel 298A and
modifies the construction permit for
Station KKJJ to specify operation on the
higher class channel at Campbell,
Missouri, in response to a petition filed
by Jack G. Hunt. See 55 FR 47345,
November 11,1990. Coordinates for
Channel 298C3 at Campbell are 36-29-42
and 89-51-17.
EFFECTIVE D ATE: March 18,1991.
SUM M ARY:

FOR FURTHER INFORMATION CONTACT:

Kathleen Scheuerle, Mass Media
Bureau, (202) 634-6530.
SUPPLEM ENTARY INFORMATION: This is a
synopsis of the Commission’s Report
and Order, MM Docket No. 90-513,
adopted January 24,1991, and released
February 1,1991. The full text of this
Commission decision is available for
inspection and copying during normal
business hours in the FCC Dockets
Branch (Room 230), 1919 M Street NW.,
Washington, DC. The complete text of
this decision may also be purchased
from the Commission’s copy contractors,
International Transcription Service,
(202) 857-3800, 2100 M Street NW., Suite
140, Washington, DC 20037.

4949

List o f Subjects in 47 CFR Part 73

Radio broadcasting.
PART 73— [AMENDED]

1. The authority citation for part 73
continues to read as follows:
Authority: 47 U.S.C. 154, 303.
§ 73.202

[Am ended]

2. Section 73.202(b), the Table of FM
Allotments under Missouri, is amended
by removing Channel 298A and adding
Channel 298C3 at Campbell.
Federal Communications Commission. Andrew J. Rhodes,
Acting Chief Allocations Branch, Policy and
Rules Division, Mass Media Bureau.
[FR Doc. 91-2923 Filed 2-6-91; 8:45 am]
BILUNG CODE 6712-01-M

47 CFR Part 73
[MM Docket No. 90-470; RM-7374]
Radio Broadcasting Services; Laurel,
MT
: Federal Communications
Commission.
ACTION: Final rule.
agency

SUMM ARY: This document allots Channel
269C to Laurel, Montana, as that
community’s first FM service in
response to a petition filed by Jubilee
Radio Network of Montana. See 55 FR
45624, October 30,1990. The coordinates
for Channel 269C are 45-40-24 and 10846-18.
EFFECTIVE D ATE: March 18,1991; the
window period for filing applications for
channel 269C at Laurel, Montana will
open on March 19,1991, and close on
April 18,1991.
FOR FURTHER INFORMATION CONTACT:

Kathleen Scheuerle, Mass Media
Bureau, (202) 634-6530.
SUPPLEM ENTARY INFORMATION: This is a
synopsis of the Commission’s Report
and Order, MM Docket No. 90-470,
adopted January 22,1991, and released
February 1,1991. The full text of this
Commission decision is available for
inspection and copying during normal
business hours in the FCC Dockets
Branch (Room 230), 1919 M Street, NW.,
Washington, DC. The complete text of
this decision may also be purchased
from the Commission’s copy contractors,
International Transcription Service,
(202) 857-3800, 2100 M Street, NW., Suite
140, Washington, DC 20037.
List o f Subjects in 47 CFR Part 73

Radio broadcasting.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Rules and Regulations

4950

PART 7 3-{ AMENDED]

1. The authority citation for part 73
continues to read as follows:
Authority: 47 U.S.C. 154, 303.
§73.202 [Amended]

2. Section 73.202(b), the Table of FM
Allotments under Montana, is amended
by adding Channel 269C, Laurel.
Federal Communications Commission.
Andrew ]. Rhodes,

Acting Chief, Allocations Branch, Policy and
Rules Division, Mass Media Bureau.
[FR Doc. 91-2924 Filed 2-8-91; 8:45 am]
BILLING CODE 6712-01-11

47 CFR Part 73
[MM Docket No. 90-487; RM-7390]
Radio Broadcasting Services;
Tishomingo, OK

Federal Communications
Commission.
ACTION: Final rule.

agency

:

SUMM ARY: The Commission, at the
request of Ballard Broadcasting
Company of Oklahoma, Inc., substitutes
Channel 259C3 for Channel 292A at
Tishomingo, Oklahoma, and modifies its
construction permit for Station KTSHFM to specify operation on the higher
powered channel. Channel 259C3 can be
allotted to Tishomingo in compliance
with the Commission’s minimum
distance separation requirements and
can be used at the transmitter site
specified in the station’s construction
permit. The coordinates for Channel
259C3 at Tishomingo are North Latitute
34-11-15 and W est Longitude 98-43-28.
With this action, this proceeding is
terminated.
EFFECTIVE D A TE: March 18,1991.
FOR FURTHER INFORMATION CO N TACT:

Leslie K. Shapiro, Mass Media Bureau,
(202) 634-8530.
SUPPLEM ENTARY INFORMATION: This is a
synopsis of the Commission’s Report
and Order, MM Docket No. 90-487,
adopted January 22,1991, and released
February 1,1991. The full text of this
Commission decision is available for
inspection and copying during normal

business hours in the FCC Dockets
Branch (Room 230), 1919 M Street NW.,
Washington, DC. The complete text of
this decision may also be purchased
from die Commission’s copy contractor,
International Transcription Service,
(202) 857-3800,2100 M Street NW., Suite
140, Washington, DC 20037.
List of Subjects in 47 CFR Part 73
Radio broadcasting.
PART 73— [AMENDED]

1. The authority citation for part 73
continues to read as follows:
Authority: 47 U.S.C. 154, 303.
§73.202 [Amended]

2. Section 73.202(b), the Table of FM
Allotments under Oklahoma, is
amended by removing Channel 292A
and adding 259C3 at Tishomingo.
Federal Communications Commission.
Andrew J. Rhodes,

Acting Chief, Allocations Branch, Policy and
Rules Division, Mass Media Bureau,
[FR Doc. 91-2925 Filed 2-8-91; 8:45 am]
BILUNG CODE 6712-01-M

4951

Proposed Rules

Federal Register
Vol. 56, No. 26
Thursday, February 7, 1991

This section of the FED ER A L REGISTER
contains notices to the public of the
proposed issuance of rules and
regulations. The purpose of these notices
is to give interested persons an
opportunity to participate in the rule
making prior to the adoption of the final
rules.

DEPARTMENT O F AGRICULTURE
Agricultural Marketing Service
7 CFR Part 58
[DA-90-013]

Grading and Inspection, General
Specifications for Approved Plants
and Standards for Grades of Dairy
Products; Proposed Revision of the
United States Standards for Grades of
Dry Sweetcream Buttermilk and
Proposed Amendments to the General
Specifications for Dairy Plants
Approved for USDA Inspection and
Grading Service
agency:

Agricultural Marketing Service,

USDA.
ACTION:

Proposed rule.

s u m m a r y : This document proposes a
revision of the United States Standards
for Grades of Dry Sweetcream
Buttermilk. In addition to redesignating
this product as dry buttermilk, this
proposal would expand the scope of the
current standards by including criteria
which evaluate the quality of dry
buttermilk product The proposal also
would broaden the application of these
standards, to more clearly reflect
current industry processing practices
and marketing needs, by providing for
buttermilk derived from the churning of
butter obtained from a variety of cream
sources. These changes were initiated at
the request of the American Dairy
Products Institute.
d a t e s : Comments must be received on
or before April 8,1991.
a d d r e s s e s : Comments should be sent
to: Director, USDA/AMS/Dairy
Division, room 2968-S, P.O. Box 96456,
Washington, DC 20090-6456. All
comments made pursuant to this notice
will be available for public inspection in
room 2750r-S between 8 a.m. and 4:30
p.m.

FOR FURTHER INFORMATION C O N TA CT:

Duane R. Spomer, Head, Dairy
Standardization Section, USDA/AMS/

Dairy Division, room 2750-S, P.O. Box
96456, Washington, DC 20090-6456;
telephone: (202) 447-7473.
SUPPLEM ENTAR Y INFORMATION: This
proposed rule has been reviewed under
USDA procedures implementing
Executive Order 12291 and
Departmental Regulation 1512-1 and has
been classified as a “non-major” rule
under the criteria contained therein.
The proposed rule also has been
reviewed in accordance with the
Regulatory Flexibility Act, 5 U.S.C. 601
e t seq. The Administrator, Agricultural
Marketing Service, has determined that
the proposed rule, if promulgated, would
not have a significant economic impact
on a substantial number of small entities
because use of the standards is
voluntary and the revisions would not
increase costs to those utilizing the
standards.
USDA grade standards are voluntary
standards that are developed pursuant
to the Agricultural Marketing Act of
1946 (7 U.S.C. 1621 e t seq.) to facilitate
the marketing process. Such standards
for dairy products identify the degree of
quality in the various products. Quality
in general refers to usefulness,
desirability, and value of the product—
its marketability as a commodity.
Manufacturers of dairy products are
free to choose whether or not to use
these grade standards. W hen products
are officially graded, the USDA
regulations and standards governing the
grading of manufactured or processed
dairy products are used. These
regulations also require a charge for the
grading service provided by USDA.
In accordance with the United States
Department of Agriculture policy for
regulatory review, the Dairy
Standardization Section conducted a
review of the United States Standards
for Grades of Dry Sweetcream
Buttermilk and the Department’s
informal Specification for Dry
Buttermilk Product The objective of the
review w as to obtain both current and
historical information relating to an
industry proposal to revise the current
standards for dry buttermilk and to
formalize quality grade standards for
dry buttermilk product.
The review involved the collection
and evaluation of information from the
Department’s Dairy Grading Section and
representatives of the American Dairy
Products Institute. It w as determined
that the current definition for dry

buttermilk requires that the liquid
buttermilk be derived from the churning
of butter m ade entirely from
sweetcream. Buttermilk derived from the
churning of butter which contains cream
from sources other the sweetcream are
specifically excluded in the USDA grade
standard. Current industry practices,
however, utlize cream from a variety of
sources in the manufacture of butter.
These sources include cream separated
from whole milk, cream separated from
whey, which is a co-product of the
cheese making process, and cultured
cream, which encourages the
proliferation of lactic-acid-producing
bacteria to provide a cultured flavor in
butter. Buttermilk obtained from these
sources may be further processed into
dry buttermilk and dry buttermilk
product.
The proposal would provide a broader
definition of dry buttermilk, change the
nomenclature of dry sweetcream
buttermilk to dry buttermilk, and expand
the scope of the standard to incorporate
quality criteria for dry buttermilk
product eligible for USDA grading
service.
The primary property which
differentiates the value and usability of
dry buttermilk and dry buttermilk
product is the protein content. The
proposal would establish a minimum *
protein content for dry buttermilk. To
achieve this minimum the dry buttermilk
must be obtained from a cream source
which has a composition sufficiently
high in protein to meet the standard
requirem ent
This proposal would also incorporate
quality criteria for dry buttermilk
product. Dry buttermilk product is
considered to be a commodity of lesser
economic value and may be obtained
from a cream source which has a
variable protein content. The resulting
dry product will not meet the minimum
protein content for dry buttermilk.
Corollary changes are also provided,
in part 58, subpart B, entitled General
Specifications for Dairy Plants
Approved for USDA Inspection and
Grading Service, to conform the
definitions of dry buttermilk and dry
buttermilk product set forth therein with
the proposed United States Standards
for Grades of Dry Buttermilk and Dry
Buttermilk Product.

4952

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules

List of Subjects in 7 CFR Part 58
Dairy products, Food grades and
standards, Food labeling, Reporting and
recordkeeping requirements.
For the reasons set forth in the
preamble, it is proposed that 7 CFR part
58 be amended as follows:

(a)* * *
(2)
All buttermilk to be used in the
manufacture of dry buttermilk or dry
buttermilk product shall be pasteurized
prior to condensing at a temperature of
161 #F for 15 seconds or its equivalent in
bacterial destruction.

PART 58—[AMENDED]

5. In subpart B, § 58.251 is revised to
read as follows:
.

1. The authority citation for 7 CFR
part 58 continues to read as follows:
Authority: Secs. 202-208, 60 Stat. 1087, as
amended; 7 U.S.C. 1621-1627, unless
otherwise noted.

2. In subpart B, § 58.205, paragraph (d)
is revised and paragraph (e) is added to
read as follows:
§ 58.205

Meaning of words.

* ' '*
*
*
*
(d) D ry butterm ilk. The product
resulting from drying liquid buttermilk
that w as derived from the churning of
butter and pasteurized prior to
condensing at a temperature of 161 °F for
15 seconds or its equivalent in bacterial
destruction. Dry buttermilk shall have a
protein content of not less than 30.0
percent. Dry buttermilk shall not contain
or be derived from nonfat dry milk, dry
whey, or products other than buttermilk,
and shall not contain any added
preservative, neutralizing agent, or other
chemical.
(e) D ry butterm ilk product. The
product resulting from drying liquid
buttermilk that w as derived from the
churning of butter and pasteurized prior
to condensing at a temperature of 161°F
for 15 seconds or its equivalent in
bacterial destruction. Dry buttermilk
product has a protein content less than
30.0 percent. Dry buttermilk product
shall not contain or be derived from
nonfat dry milk, dry whey, or products
other than buttermilk, and shall not
contain any added preservative,
neutralizing agent, or other chemical.
3. In subpart B, § 58.234 is revised to
read as follows:
§ 58.234

Buttermilk.

Buttermilk for drying as dry buttermilk
or dry buttermilk product shall be fresh
and derived from the churning of butter,
with or without the addition of harmless
lactic culture. No preservative,
neutralizing agent or other chemical may
be added. Fluid buttermilk, unless
cultured, shall be held at 45°F or lower
unless processed within 2 hours.
4. In subpart B, § 58.236 is amended by
revising paragraph (a)(2) to read as
follows:
§ 58.238 Pasteurization and heat
treatm ent

*

*

w

*

*

,

♦

•

A.

A

A

A

§ 58.251 Dry buttermilk and dry buttermilk
produ ct

The quality requirements for dry
buttermilk or dry buttermilk product
bearing an official identification shall be
in accordance with the U.S. Standards
for Grades of Dry Buttermilk and Dry
Buttermilk Product.
6. Subpart Q—United States
Standards for Grades of Dry
Sweetcream Buttermilk is revised to
read as follows:
Subpart Q— United States Standards for
Grades of Dry Buttermilk and Dry
Buttermilk P ro d u ct1

Definitions
Sec.

58.2651 Dry buttermilk and dry buttermilk
product.

U.S. Grades.
58.2652 Nomenclature of U.S. grades.
58.2653 Basis for determination of U.S.
grades.
58.2654 Specifications for U.S. grades.
58.2655 U.S. grade not assignable.
58.2656 Test methods.

Explanation of Terms
58.2657 Explanation of terms.....
Subpart Q— United States Standards
for Grades of Dry Buttermilk and Dry
Buttermilk Product

or products other than buttermilk, and
shall not contain any added
preservative, neutralizing agent, or other
chemical.
(b)
D ry butterm ilk product (made by
the spray process or the atmospheric
roller process) is the product resulting
from drying liquid buttermilk that w as
derived from the churning of butter and
w as pasteurized prior to condensing at a
temperature of 161 °F for 15 seconds or
its equivalent in bacterial destruction
Dry buttermilk product has a protein
content less than 30.0 percent. Dry
buttermilk product shall not contain or
be derived from nonfat dry milk, dry
whey, or products other than buttermilk,
and shall not contain any added
preservative, neutralizing agent, or other
chemical.
U.S. Grades
§ 58.2652

Nom enclature o f U.S. grades.

The nomenclature of U.S. grades is as
follows:
((a) U.S. Extra.
(b) U.S. Standard.
§ 58.2653
grades.

B a sis fo r determ ination o f U.S.

(a) The U.S. grades of dry buttermilk
and dry buttermilk product are
determined on the basis of flavor,
physical appearance, bacterial estimate
on the basis of standard plate count,
milkfat, moisture, scorched particles,
solubility index, titratable acidity, and
protein content.
(b) The final U.S. grade shall be
established on the basis of the lowest
rating of any one of the quality
characteristics.
§ 58.2654

Specifications for U.S. grades.

(a)
U.S. Extra Grade. U.S. Extra Grade
Authority: Agricultural Marketing Act of
dry buttermilk and U.S. Extra Grade dry
1946, Secs. 203 and 205, 60 Stat. 1087, as
buttermilk product shall conform to the
amended, and 1090, as amended; 7 U.S.C.
following requirements (See Tables I, II,
1622 and 1624.
III, and IV):
Definitions
(1) Flavor (applies to the reconstituted
product). Shall be sweet and pleasing,
§ 58.2651 Dry buttermilk and dry
and has no unnatural or offensive
buttermilk produ ct
(a)
D ry butterm ilk (made by the spray flavors.
(2) P hysical appearance. Shall
process or the atmospheric roller
possess a uniform cream to light brown
process) is the product resulting from
color, be free from lumps except those
drying liquid buttermilk that was
that readily break up with slight
derived from the churning of butter and
pressure,
and be practically free from
pasteurized prior to condensing at a
visible dark particles.
temperature of 161 °F for 15 seconds or
(3) B acterial estim ate. Not more than
its equivalent in bacterial destruction.
50.000 per gram standard plate count.
Dry buttermilk shall have a protein
(4) M ilkfat content. Not less than 4.5
content of not less than 30.0 p ercent Dry
percent
buttermilk shall not contain or be
(5) M oisture content. Not more than
derived from nonfat dry milk, dry whey,
4.0 percent
(8) Scorched particle content. Not
1 Compliance with these standards does not
more than 15.0 mg. for spray process and
excuse failure to comply with the provisions of the
Federal Food, Drug, and Cosmetic Act.
22:5 mg. for roller process.

Federal Register / Vol. 56, No. 28 / Thursday, February 7, 1991 / Proposed Rules
(7) Solubility index. Not more than
1.25 ml. for spray process and 15.0 ml.
for roller process.
(8) Titratable acidity. Not less than
0.10 percent nor more than 0.18 percent.
$ ) Protein content (dry butterm ilk
only). Not less than 30.0 percent.
(10) Protein content (dry butterm ilk
product only). Not less than 30.0 percent
(b) U.S. Standard Grade. U.S.
Standard Grade dry buttermilk and U.S.
Standard Grade dry buttermilk product
shall conform to the following
requirements (see Tables I, Q, III, and
IV):
(1) Flavor (applies to the reconstituted
product). Should possess a fairly
pleasing flavor, but may possess slight
unnatural flavors and has no offensive
flavors.
(2) P hysical appearance. Shall
possess a uniform cream to light brown
color, be free from lumps except those
that readily break up w ith moderate
pressure, and be reasonably free from
visible dark particles.
(3) B acterial estim ate. Not more than
200.000 per gram standard plate count.
(4) M ilkfat content. Not less than 4.5
percent.
(5) M oisture content. Not more than
5.0
percent.
(6) Scorched particle content. Not
more than 22.5 mg. for spray process and
32.5 mg. for roller process.
(7) Solubility index. Not more than 2.0
ml. for spray process and 15.0 ml. for
roller process.
(8) Titratable acidity. Not less than
0.10 percent nor more than 0.20 percent.
(9) Protein content (dry butterm ilk
only). Not less than 30.0 percent
(10) Protein content (dry butterm ilk
product only). Less than 30.0 percent.
Table I.— Classification of Flavor
Flavor
characteristics

U.S. extra
grade

U.S. standard
grade

Unnatural.............. None..... ............. Slight.
Offensive.............. None.................. None.

Table II.—»Classification of Physical
Appearance
Physical
appearance
characteristics

U.S. extra
grade

U.S. standard
grade

Lumpy................... SBghf..........
Moderate.
Visible dark
Practically free... Reasonably
particles.
free.

Table III.— Classification According to
Laboratory Analysis
Laboratory tests

U.S. extra
grade

Bacterial estimate:
standard plate count
per gram (Max.)..........
Milkfat contents:
p ercen t (M ax.)............

U.S.
standard
grade

50,000

200,000

4.5

4.5

4.0

5.0

15.0

22.5

22.5

32.5

Moisture content
p ercen t (M ax.)............

Scorched particle
content mg.
Spray process
(Max.)___________
Roller process
(M a x ).....................

Solubility index: ml.
Spray process
(M a x )......................

1.25

2.0

Roller process
(Max.)......................
Titratable acidity:

15.0

15.0

p e rce n t...... .................

0.10-0.18

0.10-0.20

Table IV.— Classification According to
Protein
Product

U.S. extra
grade

Dry Buttermilk percent
(Min.)..........................
Dry Buttermilk Product
percent (Less than)...

§ 58.2655

U.S.
standard
grade

30.0

30.0

30.0

30.0

U.S. grade not assignable.

Dry buttermilk or dry buttermilk
product shall not be assigned a U.S.
grade for one or more of the following
reasons:

(a) Fails to meet the requirements for
U.S. Standard Grade.
(b) Is produced in a plant found on
inspection to be using unsatisfactory
manufacturing practices, equipment, or
facilities, or to be operating under
unsanitary plant conditions.
(c) Is produced in a plant which is not
USDA approved.
§ 58.2656

T e s t m ethods.

All required tests shall be performed
in accordance with "Instructions for
Resident Grading Quality Control
Service Programs and Laboratory
Analysis,” DA Instruction No. 918-RL,
Dairy Grading Section, Dairy Division,
Agricultural Marketing Service, U.S.
Department of Agriculture, Washington,
DC 20090-6456; and "Official Methods of
Analysis of the Association of Official
Analytical Chemists,” 15th Ed. or latest
revision.

4953

Explanation of Terms
§ 58.2657

Explanation o f terms.

(a) With respect to flavor: (lj Slight.
Detectable only upon critical
examination.
(2) Offensive. Those that are
obnoxious and cause displeasure when
tasted or smelled.
(3) Unnatural. Those that are
abnormal to the characteristic flavor of
the product.
(b) W ith respect to ph ysical
appearance. (1) P ractically free. Present
only upon very critical examination.
(2) Reasonably free. Present only
upon critical examination.
(3) Slight pressure. Only sufficient
pressure to disintegrate the lumps
readily. '
(4) M oderate pressure. Only enough
pressure to disintegrate the lumps
easily.
(5) Lumpy. Loss of powdery
consistency but not caked into hard
chunks.
(6) V isible dark particles. The
presence of scorched or discolored
specks.
Signed at Washington, DC on February 4,
1991.

Daniel Haley,
Administrator.
[FR Doc. 91-2975 Filed 2-6-91; 8:45 am]
BILLING CODE 3410-02-M

7 CFR Part 915
[Docket No. FV-91-226PR]

Avocados Grown in South Florida;
Proposed Establishment of Grade and
Container Lot Marking Requirements
agency:

Agricultural Marketing Service,

USDA.
a c t io n :

Proposed rule.

This rule proposes
establishing a minimum grade
requirement of U.S. No. 2 and container
lot marking requirements for Florida
avocados handled to points within the
production area (South Florida). This
proposed action is expected to result in
the shipment of better quality avocados
to the fresh market within the
production area and improve program
compliance in the interest of growers,
handlers, and consumers.
sum m ary:

d a t e s : Comments must be received by
March 11,1991.
AD D R ESSES: Interested persons are
invited to submit written comments
concerning this rule to: Docket Clerk,
Fruit and Vegetable Division, AMS,

4954

Federal Register / Vol. 56, No. 26 / T h u rsd ay , F e b ru a ry 7, 1991 / P ro p o sed R ules

USDA, P.O. Box 96458, room 2525-S,
Washington. DC 20090-6456. Three
copies of all written material shall be
submitted, and they will be made
available for public inspection at the
office of the Docket Clerk during regular
business hours. The written comments
should reference the docket number,
date, and page number of this issue of
the Federal Register.
FOR FURTHER INFORMATION CO N TACT:

Gary D. Rasmussen, Marketing
Specialist, Marketing Order
Administration Branch, Fruit and
Vegetable Division, AMS, USDA, P.O.
Box 96456, room 2525-S, Washington,
DC 20090-6456, telephone (202) 4753918.
SUPPLEM ENTARY INFORMATION: This
proposed rule is issued under the
Marketing Agreement and Marketing
Order No. 915, as am ended (7 CFR part
915), regulating the handling of
avocados grown in South Florida. The
agreement and order are effective under
the Agricultural Marketing Agreement
Act of 1937, as amended (7 U.S.C. 601674), hereinafter referred to as the Act.
This proposed rule has been reviewed
by the Department in accordance with
Departmental Regulation 1512-1 and the
criteria contained in Executive Order
12291 and has been determined to be a
“non-major” rule.
Pursuant to requirements set forth in
the Regulatory Flexibility Act (RFA), the
Administrator of the Agricultural
Marketing Service (AMS) has
considered the economic impact of this
proposed action on small entities.
The purpose of the RFA is to fit
regulatory actions to the scale of
business subject to such actions in order
that small businesses will not be unduly
or disproportionately burdened.
Marketing orders issued pursuant to the
Act and rules issued thereunder are
unique in that they are brought about
through group action of essentially small
entities acting on their own behalf.
Thus, both statutes have small entity
orientation and compatibility.
There are about 42 handlers of Florida
avocados subject to regulation under
Marketing Order No. 915, and about 300
avocado producers in the production
area (South Florida). Small agricultural
producers have been defined by the
Small Business Administration (13 CFR
121.601) as those having annual receipts
of less than $500,000, and small
agricultural services firms are defined as
those whose annual receipts are less
than $3,500,000. The majority of the
avocado handlers and producers may be
classified as small entities.
The Avocado Administrative
Committee (committee) met November

7,1990, and recommended this proposed
rule. The committee wo,rks with the
Department in administering the
marketing agreement and order. The
committee meets prior to and during
each session to consider
recommendations for modification,
suspension, or termination of the
regulatory requirements for Florida
avocados. Committee meetings are open
to the public and interested persons may
express their views at these meetings.
The Department reviews committee
recommendations, information
submitted-by the committee and other
information, and determines whether
modification, suspension, or termination
of the regulatory requirements would
tend to effectuate the declared policy of
the Act. !
The proposed rule would change the
current grade and container lot marking
regulations for Florida avocados by
revising paragraphs (a) and (b) of
§ 915.306 (7 CFR 915.306) to require all
Florida avocados handled to grade at
least U.S. No. 2 and be in containers
marked with a Federal-State Inspection
Service lot stamp number. Currently,
only avocados handled to points outside
the production area and those in
containers authorized under § 915.305
must meet these grade and container lot
marking requirements. Avocados which
are imported into the United States
under 7 CFR 944.28 are already required
to grade U.S. No. 2 and, therefore, the
régulations concerning the grade of
imported avocados shall remain
unchanged.
M aturity requirements for Florida
avocados handled to points both within
and outside the production area are
specified in § 915.332. These
requirements, based on minimum
weights and diameters, would remain in
effect and unchanged by this proposed
action.
About 12 percent of Florida’s fresh
avocado shipments in 1989-90 were to
production area markets, of which
slightly over one-half were inspected
and certified as meeting both grade and
maturity requirements, with the
remainder meeting m aturity
requirements only. The committee
recommended this proposed rule to
improve the quality of avocados shipped
to markets within the production area.
The committee reported that shipments
of poor quality avocados to markets
within the production area have
depressed prices for better quality
avocados and resulted in lower overall
returns to producers. The proposed
grade and lot marking requirements are
designed to strengthen market
conditions for shipments within South

Florida in the interest of growers,
handlers, and consumers.
This proposed action also is expected
to improve compliance with order
requirements within South Florida, since
lot stamping provisions make it easier to
determine the handler of a particular lot
of avocados and if such lot was
inspected and certified as meeting
marketing order requirements. This
should help prevent violative shipments
of substandard avocados within the
production area.
Although compliance with these grads
and lot stamping requirements will
affect costs to handlers, these costs
would be offset by the benefits of
providing the trade and consumers with
better quality avocados.
Based on the above, the Adminstrator
of the AMS has determined that this
proposed action would not have a
significant economic impact on a
substantial number of small entities.
List of Subjects in 7 CFR Part 915
Avocados, Marketing agreements,
Reporting and recordkeeping
requirements.
For the reasons set forth in the
preamble, 7 CFR part 915 is proposed to
be amended as follows:
PART 9 1 5 — AVOCADOS GROWN IN
SOUTH FLORIDA

1. The authority citation for 7 CFR
part 915 continues to read as follows:
Authority: Secs. 1-19, 48 Stat 31. as
amended; 7 U.S.C. 601-674.

2. Section 915.306 is amended by
revising paragraphs (a) and (b) to read
as follows:
§ 915.306 Florida avo ca d o grade, pack,
and container m arking regulation.

(a)
No handler shall handle any
variety of avocados grown in the
production area unless:
(1) Such avocados grade at least U.S
No. 2.
(2) Such avocados are in containers
marked with a Federal-State Inspection .
Service lot stamp number.
(3) Such avocados handled to points
outside the production area are in
containers authorized under § 915.305.
(4) Such avocados when handled in
containers authorized under § 915.305
are packed in accordance with standard
pack.
(5) Such avocados when handled in
containers authorized under § 915.305,
except for those to export destinations,
are marked with the grade of the fruit in
letters and numbers at least one inch in
height on the top and two sides of the lid
of the container, effective each fiscal

Federal Register / Vol. 56, No. 26 / Thursday,' February 7, 1991 / Proposed Rules
year from the first Monday after July 15
until the first Monday after January 1.
(bj The provisions of paragraphs
(a)(2), (a)(3), (a)(4), and (a)(5) of this
section shall not apply to individual
packages of avocados weighing four
pounds or less, net weight, in m aster
containers.
*
*
*
*
*
Dated: February 4,1991.

Robert C. Keeney,
Deputy Director, Fruit and Vegetable
Division.
[FR Doc. 91-2974 Filed 2-6-91; 8:45 am]
BILUNG CODE 3410-02-M

7 CFR Parts 1001 and 1002
[DA-91-001]

Milk In the New England and New
York-New Jersey Marketing Areas;
Notice of Proposed Suspension of
Certain Provisions of the Orders
AG ENCY:

Agricultural Marketing Service,

USDA.
a c tio n :

Proposed suspension of rule.

This notice invites written
comments on a proposal to suspend
certain provisions of the New England
and New York-New Jersey milk orders.
The suspension actions were requested
by seven cooperative associations
representing producers who provide
much of the milk supply for die two
markets.
The proposed suspension actions
would suspend the seasonal production
incentive payment provisions of the two
orders for 1991. The cooperatives’
request states that the suspensions are
necessary to ameliorate the impending
collapse of farm-level milk prices in the
two marketing areas by eliminating the
deductions from producer prices in the
months of March through June that
would be made under die orders’
seasonal incentive payment plans. The
suspensions would also eliminate the
fall incentive payments for the fall
months of 1991.
d a t e s : Comments are due no later than
February 21,1991.
AD D RESSES: Comments (four copies)
should be filed with the USDA/AM S/
Dairy Division, Order Formulation
Branch, room 2968, South Building, P.O.
Box 96456, Washington, DC 20090-6456.
sum m ary:

FOR FURTHER INFORMATION CONTACT:

Constance M. Brenner, Marketing
Specialist, USDA/AMS/Dairy Division,
Order Formulation Branch, room 2968,
South Building, P.O. Box 96456,
Washington, DC 20090-6456, (202) 4477183.

SUPPLEM ENTARY INFORMATION: The
Regulatory Flexibility Act (5 U.S.C. 601612) requires the Agency to examine the
impact of a proposed rule on small
entities. Pursuant to 5 U.S.C. 605(b), the
Administrator of the Agricultural
Marketing Service has certified that this
proposed action would not have a
significant economic impact on a
substantial number of small entities.
Such action would lessen the regulatory
impact of the order on dairy farmers and
would have no impact on regulated
handlers.
This proposed rule has been reviewed
by the Department in accordance with
Departmental Regulation 1512-1 and the
criteria contained in Executive Order
12291 and has been determined to be a
“non-major” rule.
Notice is hereby given that, pursuant
to the provisions of the Agricultural
Marketing Agreement Act of 1937, as
amended (7 U.S.C. 601-674), the
suspension of the following provisions
of the orders regulating the handling of
milk in.the New England and New YorkNew Jersey marketing areas is being
considered for the months of March
through November 1991;
1. In § 1001.61, suspension of the
paragraphs (c) and (d).
2. In § 1002.71, suspension of
paragraphs (c) and (d).
All persons who w ant to send written
data, views of arguments about the
proposed suspension should send four
copies of them to the USDA/AMS/Dairy
Division, Order Formulation branch,
room 2968, South Building, P.O. Box
96456, Washington, DC 20090-6456, by
the 14th day after publication of this
notice in the Federal Register. The
period for filing comments is limited to
14 days because a longer period would
not provide the time needed to complete
the required procedures before seasonal
incentive plan deductions would be
required on payments for milk produced
in March 1991.
The comments that are sent will be
made available for public inspection in
the Dairy Division during normal
business hours (7 CFR 1.27(b)).

Statement of Consideration
The proposed suspension would
suspend for 1991 the provisions of the
New England and New York-New Jersey
Federal milk orders that require
deductions from and additions to
producer blend/uniform prices to be
made for the purpose of encouraging
dairy farmers to level out their
production through the course of the
year. The provisions provide for the
deduction of 20 cents per hundredweight
from the blend/uniform price paid to
producers to be made for the month of

4955

March, 30 cents for April, and 40 cents
for May and June. The funds retained
from these deductions are then added to
the pooled milk values under the two
orders in the amounts of 25, 30, and 30
percent of the total deducted for the
months of August, September and
October, respectively. The remaining 15
percent plus interest earned on the
aggregate funds is added for the month
of November. By artificially depressing
producer income in the spring and
enhancing it above otherwise prevailing
levels in the fall, the provisions provide
an incentive to producers to level out
the seasonality of milk production to
more closely reflect fluid milk demand
patterns.
The suspension actions were
requested by seven major cooperative
associations representing dairy farmers
shipping to handlers regulated by the
Federal milk marketing orders for the
New England and New York-New Jersey
marketing areas. The cooperative
associations proposing the suspension
are Agri-Mark, Inc., Atlantic Dairy
Cooperative, Inc., Cabot Farmers
Cooperative Creamery Company,
Dairylea Cooperative, Inc., Eastern Milk
Producers Cooperative Association, Inc.,
St Albans Cooperative, Inc., and Upstate
Milk Producers Cooperative. In total, the
cooperatives represent 80 percent of the
producers whose milk is pooled under
the New England order, and 32 percent
of the producers shipping to handlers
regulated under the New York-New
Jersey order. The request for the
suspension stated that 90 percent of the
producers in the 2 markets support the
requested suspension.
The basis for the suspension request
is the recent marked decline in the
Minnesota-Wisconsin price, a price
series on which Federal order prices are
based. According to the suspension
request, projected seasonal increases in
milk supplies this spring will further
depress the Minnesota-Wisconsin price
to or below the support level of $9.90 per
hundredweight. Thé cooperatives’
request states that such an
unprecedented collapse in milk prices to
levels below the cost of production will
place most family dairy farm operations
in a serious loss situation, force many
out of business, and severely depress
the economies of rural communities
throughout the region. Proponents of the
suspension state that the further
reduction of pay prices to producers this
spring due to operation of the seasonal
incentive plan, beyond that resulting
from anticipated supply-demand
conditions and occurring at a time when
farm cash requirements are at their
seasonal peak, would accentuate the

4358

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules

drastic financial crunch expected from
the collapse in milk prices in the coming
spring. Proponents express their
continuing support for inclusion of
seasonal incentive payment provisions
in the tw o orders beyond 1991, and state
that a one-year lapse in the operation of
the provisions is not likely to have a
significant effect on the continued
leveling of seasonal production patterns
in the region.
List o f Subjects in 7 CFR Parts 1001 and
1002
Milk marketing orders.
The authority citation for 7 CFR parts
1001 and 1002 continues to read as
follows:
Authority: Secs. 1-19,48 Stat. 31, as
amended; 7 U.S.C. 601-674.
Signed at Washington, DC, on February 4,
1991,
Daniel Haley,

Administrator.

DEPARTMENT OF THE TREASURY
Internal Revenue Service
26 CFR Part 31
[IA-28-901
RIN 1545-A066

Deposits of Employment Taxes;
Correction

Internal Revenue Service,
Treasury.
a c t io n : Correction to notice of proposed
rulemaking.
AGENCY:

SUMMARY: This

document contains
corrections to the notice of proposed
rulemaking (IA-28-90), which w as
published on Friday, January 4,1991, (56
FR 395). These proposed regulations
relate to the deposit of Federal
employment taxes (including railroad
retirement taxes).
FOR FURTHER INFORMATION CONTACT:

[FR Doc. 91-2976 Filed 2-6-91; 8:45 am]

Vincent G. Surabian 202-566-5985 (not a
toll-free number).

BILL!NO CODE 3410-02-M

SUPPLEMENTARY INFORMATION:

DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 71
[A irspace Docket No. 90-ASO -23]

Proposed Amendment to Control
Zone, Owensboro, KY

Federal Aviation
Administration (FAA), DOT.
a c t io n : NPRM; correction.

AGENCY:

On W ednesday, December
26,1990, a Notice of Proposed
Rulemaking was published in the
Federal Register (55 FR 53002), Proposed
Amendment to Control Zone,
Owensboro, KY. The Airspace Docket
w as erroneously listed as Airspace
Docket No. 90-ASO-23. This action
corrects this mistake. The correct
number is 90-AS0-33.

sum m ary:

FOR FURTHER INFORMATION CONTACT:

James G. W alters (404) 763-7646.
Issued in East Point, Georgia, on January 7,
1991.
Don Cass,

Acting Manager, Air Traffic Division.
Southern Region.
(FR Doc. 91-2786 Filed 2-6-91:8:45 am)
BILLING CODE 4910-13-M

Background
The notice of proposed rulemaking
that is the subject of this correction,
which was originally adopted on
January 13,1959, by T.D. 6354 and
reflected in 5 31.6302(c)-l of the
Employment Tax Regulations was
amended several times thereafter. That
section currently sets forth a
methodology for determining a deposit
obligation based on an employer’s
undeposited FICA and withheld income
taxes at the close of a deposit period.
Regulation § 31.6302(c)-2 w as originally
adopted on December 20,1960, by T.D.
6516 and amended several times
thereafter. That section provides similar
rules with respect to railroad retirement
taxes. Section 226 of the Railroad
Retirement Solvency Act of 1983, Public
Law No. 98-76, 97 S ta t 411, provides
that the times for making deposits
prescribed under section 6302 of the
Internal Revenue Code with respect to
railroad retirement taxes shall be the
same as the times prescribed for FICA
and withheld income taxes.
Need for Correction
As published, the proposed
regulations contain typographical errors
th a t if not corrected, might cause
confusion to taxpayers and
practitioners.
Correction of Publication
Accordingly, the publication of the
proposed regulations (IA-28-90) which

w as the subject of FR Doc. 91-6, is
corrected as follows:
§ 31.6302

[Corrected]

1. On page 396, third column, in
§ 31i>3Q2(c)-l(a)(l)(ii)(6), under Example
2, line 10, the language “with respect to
wages paid is $2,800. Since D” is
corrected to read, "with respect to
wages paid is $2,800. Since E’’.
§ 31.6302

[C orrected]

2. On page 397, second column, in
§ 31.6302(c)—l(a)(l)(ii)(c/), line 1, the
language “l(a)(l)(ii)-{c), and later,
within the same” is corrected to read
“l(a}(l}{ii}(c}> and later, within the
same”.
Dale D. Goode,

Federal Register Liaison Officer, Assistant
Chief Counsel (Corporate).
[FR Doc. 91-2633 Filed 2-6-91; 8:45 am)
BILLING CODE 4*30-01-»!

DEPARTMENT OF THE INTERIOR
Office of Surface Mining Reclamation
and Enforcement
30 CFR Parts 701,816, and 817
Surface Mining; Coal Mining and
Reclamation Operations; Permanent
Regulatory Program; Performance
Standards; Hydrologic Balance
a g e n c y : Office of Surface Mining
Reclamation and Enforcement, Interior.
a c t io n : Notice of public hearing.
s u m m a r y : The Office of Surface Mining
Reclamation and Enforcement (OSM) of
the U.S. Department of the Interior
proposed a rule that would govern
protection of the prevailing hydrologic
balance at surface and underground
mining operations through the use of
best technology currently available. The
proposed rule would allow alternative
sediment control measures as best
technology currently available for arid
and semi-arid regions of the United
States; in the humid regions, the rule
would require siltation structures.
Alternative sediment control measures
will have to be approved by OSM based
on information provided by the States
that shows such measures will meet the
standards in the Surface Mining Control
and Reclamation Act. The comment
pefiod on the proposed rule has been
extended to February 28,1991. OSM will
conduct a public hearing in Denver,
Colorado on the proposed rule.
DATES: The public hearing is scheduled
for February 26,1991, at 10 a.m.
a d d r e s s e s : The public hearing will be
held at the following location: Office of

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules
Surface Mining, W estern Support
Center, Large Conference Room, 2nd
Floor of thé Brooks Towers, 1020 15th
Street, Denver, Colorado.
FOR FURTHER INFORMATION CONTACT:

Douglas Growitz, PHG, Office of Surface
Mining Reclamation and Enforcement,
U.S. Department of the Interior, 1951
Constitution Avenue NW», room 5101-L,
Washington, DC 20240: Telephone (202)
345-1507 (Commercial or FTS).
SUPPLEM ENTARY INFORMATION*. OSM
proposed a rule in the November 13,
1990, Federal Register which would
govern protection of the prevailing
hydrologic balance at surface and
underground mining operations through
the use of best technology currently
available (55 FR 47430). The notice
announced a public comment period on
the proposed rule closing January 14,
1991. On January 14,1991, (56 FR 1375) a
notice w as published which extended
the comment period to February 28,
1991. Public interest in the proposed rule
has cdntinued at a very high level. OSM
has received requests to hold a public
hearing. As a result, OSM has scheduled
a public hearing for February 26,1991, at
10 a.m. at the Office of Surface Mining,
W ëstern Support Center, Large
Conference Room, 2nd Floor of the
Brooks Towers, 102015th Street, Denver,
Colorado.
Dated: February 1,1991.
Brent Wahlquist,
Assistant Director, Reclamation and
Regulatory Policy.
[FR Doc. 91-2854 Filed 2-6-91; 8:45 am]
BILUMQ CODE 4310-05-M

ENVIRONMENTAL PROTECTION
AGENCY
40CFR Ch. I
[F R L 3902-8]

Underground Injection Control, Class
II, Wells; Intent to Form an Advisory
Committee to Negotiate Amendments
to Regulations
agency:

Environmental Protection

Agency
ACTION:

Request for comments.

EPA is considering
establishing an Advisory Committee
under the Federal Advisory Committee
Act (FACA). The Committee’s purpose
would be to negotiate amendments to
the Underground Injection Control (UIC)
regulation governing injection wells
associated with oil and gas production.
(Class II wells) under sections 1422 and
1425 of the Safe Drinking W ater Act.
The Committee would consist of
sum mary:

representatives of parties that are
substantially affected by the outcome of
the proposed rule.
EPA requests public comment on
whether:
• It should establish a Federal
Advisory Committee;

• It has properly identified interests it
believes are affected by the key issues
listed above;
• Regulatory negotiation is
appropriate for this rulemaking, and the
extent to which the issues, and
procedures are adequate and
appropriate.
This Notice also announces that an
organizational meeting will be held on
February 12 and 13,1991 from 9 a.m. to 5
p.m. at The Embassy Suites Hotel, 1250
22nd Street NW., Washington, DC to
discuss the issues involved in the
regulation of Class II wells, and whether
the Committee should be formed and
negotiations proceed. This meeting is
open to the public and any parties
interested in the negotiation are
encouraged to attend.
d a t e s : EPA must receive comments and
suggestions relating to this initiative by
March 1,1991.
ADDRESSES: Comments should be
submitted to Francoise M. Braiser, Chief,
Underground Injection Control Branch
(WH-550E), Environmental Protection
Agency, 401M Street SW., Washington,
DC 20460.
FOR FURTHER INFORMATION CONTACT:

For information pertaining to the
establishment of the negotiation
committee and associated
administrative matters contact: Chris
Kirtz, Director, Regulatory Negotiation
Project, Regulatory Management
Division, U.S. EPA (PM-223), 401M
Street SW., Washington, DC 20460,
telephone (202) 382-7565.
For information pertaining to the
regulation of Class II injection wells and
the regualtory issues to be addressed in
the negotiation, contact: Jeffrey B. Smith,
Underground Injection Control Branch
(WH-550E), U.S. EPA, 401M Street SW.,
Washington, DC 20460, telephone (202)
382-5586.
SUPPLEMENTARY INFORMATION:

Outline o f Notice
I. EPA’8 Regulatory Negotiation Project
II. Amendments to the Underground Injection
Control Regulations for Class Q Wells
A. Need for Rule Revision
B. Selection as a Negotiation Item
C. Potential Interests and Participants
III. Formation of the Committee
A. Procedure for Establishing an Advisory
Committee
B. Participants
C. Requests for Representation
D. Final Notice .
E. Tentative Schedule

4957

IV. Negotiation Procedures
A. Facilitator
B. Good Faith Negotiation
C. Administrative Support and Meetings
D. Committee Procedures
E. Defining Consensus
F. Failure of the Advisory Committee to
Reach Consensus
G. Record of Meetings

I. EPA’s Regulatory Negotiation Project
EPA conducted Its first regulatory
negotiations in 1983 and 1984 to explore
and demonstrate the value of
negotiation and other consensus­
building techniques for developing
better regulations which could be
implemented in a less adversarial
setting. The Agency has now conducted
eight negotiated rulemaking
proceedings.
In November 1990, President Bush
signed the Negotiated Rulemaking Act
of 1990. This Act establishes a
framework for the conduct of negotiated
rulemaking. This Notice and the
procedures described herein are
consistent with the framework
described in the Act.
Negotiations are conducted through
Advisory Committees chartered under
the Federal Advisory Committee Act
(FACA). The goal of the Committee is to
reach consensus on the language or
issues involved in a rule. If consensus is
reached, it is used as the basis of the
Agency's proposal. All requirements of
the Administrative Procedure Act and
other applicable statutes continue to
apply.
EPA has developed criteria for
evaluation of potential items for
negotiation. To qualify under EPA’s
selection criteria, an item must:
• Be planned for proposal;
• Have a relatively small number of
identifiable parties, in an appropriate balance
and mix, who have a good faith interest in
negotiating;
• Present a limited number of related
issues, for which sufficient information is
available for resolution; and
• Have a time factor that lends some
urgency to reaching consensus.

The eight negotiations conducted to
date have aided the Agency in better
defining the issues and in crafting better
approaches. The eight regulatory
negotiations were:
• Non-conformance Penalties under the
Clean Air Act (CAA), as amended; Final rule:
August 30,1985.
• Emergency Pesticides Exemptions under
the Federal Insecticide, Fungicide and
Rodenticide Act (FIFRA); Final rule: January ,
15,1988.
• Farmworker Protection Standards for
Agricultural Pesticides under the Federal
Insecticide, Fungicide and Rodenticide Act;
Proposed ride: July 8,1988.

4958

F e d e ra l R eg ister / Vol. 56, N o. 26 / T h u rsd ay , F eb ru ary 7» 1991 / P ro p o sed R ules

• Asbestos Containing Materials in
Schools under the Asbestos Hazard
Emergency Responsibility Act of 1986
(AHERA); Final rule: October 30,1987.
• New Source Performance Standards for
Woodbumng Stoves under the Clean Air Act;
Final rule: February 26.1988.
• Underground Injection of Hazardous
Waste under the Hazardous and Solid Waste
Amendments of 1984 (HSWA); Final rule: July
26,1980
• Minor Permit Modifications under the
Resource Conservation and Recovery Act
(RCRAk Final rule: September 28,1988.
• Fugitive Emissions from Equipment
Leaks under the Clean Air Act; Committee
agreement: December, 1990. ~

In December 1988, the Program
Evaluation Division of EPA’s Office of
Policy Planning and Evaluation
completed an assessm ent of the
regulatory negotiations program. The
study confirmed that negotiation is
especially appropriate in situations
which involve the resolution of a limited
number of related issues, none of which
involve fundamental questions of value
or extremely controversial national
policy, ’’’he study further condlued that:
• Negotiated rulemaking can produce rules
that are more pragmatic with better
environmental results while still meeting
statutory requirements.
• Negotiated rules are also more likely to
be acceptable to the affected industries, the
public interest sector, and state and local
governments involved in developing them.
• Negotiation may also result in earlier
implementation of a rule by reducing the time
it takes to proceed from proposed to final
rulemaking.

EPA believes that the benefits to all
parties of regulatory negotiation are
substantial, and is committed to
continued use of regulatory negotiation
and other consensus-based processes
for rulemaking when appropriate.
II. Amendments to the Underground
Injection Control Regulations for Class
II Wells
A. N eed fo r RuJe Revision
The Agency has been involved in a
series of efforts in the last five years
which have lead to a re-examination of
the regulations governing Class II wells.
These regulations are directly applicable
in states where EPA implements the
program and form the basis for judging
whether State programs are effective in
protecting underground sources of
drinking w ater and can obtain primary
enforcement responsibility to administer
the UIC program under section 1425 of
the SDWA.
At this time, EPA believes that there
are two issues which possibly warrant
amendments to the current regulations.
First, the Agency's Report to Congress
on oil and gas production w astes

published in 1987 identified as an issue
the continued use of rudimentary
construction practices in some States.
Similarly, the Mid-Course Evaluation
(MCE) of the UIC Class II program
conducted by the EPA in 1988 and 1989
identified the need to re-evaluate the
regulations as they pertain to
construction requirements, particularly
with respect to the level of protection
afforded various USDWs.
Second, the MCE recommended that
the Agency study the risks posed by
abandoned oil and gas wells in the zone
of influence of active injection wells, to
determine whether additional controls
were needed. This recommendation was
echoed by a GAO report published in
July, 1989, which concluded that the EPA
Administrator should establish
regulations an d /o r guidance to make
existing wells subject to “area of
review” requirements to deal with the
issue of abandoned wells. The Agency is
therefore considering amendments to 40
CFR 146.22 for Construction
Requirements and to 40 CFR 148.24 as it
pertains to the Area of Review
requirement.
B. Selection as a N egotiation Item
EPA believes that amendments to the
Class II regulations in the two areas
noted above may be appropriate for
development through the regulatory
negotiation process. EPA has made a
preliminary inquiry of potential parties
and representatives of identified
interests to determine if this item
satisfies EPA’s selection criteria for
negotiated rulemaking. On the basis of
this preliminary inquiry, EPA believes
that these items meet its selection
criteria and that negotiations can be
successful. Affected interests are small
in number, and EPA’s initial contacts
indicate that an appropriate balance
and mix of groups will be willing to
participate in good faith.
C. Potential Interests and Participants
EPA has tentatively identified the
following list of possible interests and
parties:
—Petroleum producing industry
—State regulatory agencies
—Environmental Interest Groups
—Other Federal agencies (DOE, DOI)
III. Formation of the Negotiating
Committee
A. Procedure fo r Establishing an
A dvisory Committee
As a general rule, an agency of the
federal government is required to
comply with the requirements of FACA
when its establishes or uses a group
which includes non-federal members as

a source of advice. Under FACA, an
Advisory Committee is established only
after both consultation with GSA and
receipt of a charter. EPA has prepared a
charter and has initiated the requisite
consultation process. Only upon the
successful completion of this process
and the receipt of the approved charter
will EPA form the Committee and
commence negotiations.
B. Participants
The number of participants in the
group is estimated to be about 15. The
maximum number of participants would
be 25. A number larger than this could
make it difficult to conduct effective
negotiations. One purpose of this Notice
is to help determine whether the
standard that EPA is developing would
substantially affect interests not
adequately represented by the proposed
participants. We do not believe that
each potentially affected organization or
individual must necessarily have its
own representative. However, we firmly
believe that each interest must be
adequately represented. Moreover, we
must be satisfied that the group as a
whole reflects a proper balance and mix
of interests.
C. Requests fo r Representation
If, in response to this Notice, an
additional individual or representative
of an interest requests membership or
representation in the negotiating group,
the Agency, in consultation with the
facilitator, will determine whether that
individual or representative should be
added to the group. EPA will make that
decision based on whether the
individual or interest:
• Would be substantially affected by
the rule;
• Is already adequately represented
in the negotiating group.
D. Final No tice
After evaluating the results of the
organizational meeting, and reviewing
any comments on this Notice and
requests for representation, EPA will
issue a final Notice. That Notice will
announce the establishment of a Federal
Advisory Committee and the date of the
first meeting, unless (1) EPA decides,
based on comments and other relevant
considerations, that such action is
inappropriate, or (2) in the event EPA’s
charter request is disapproved. The
negotiation process will begin once the
Committee is appropriately chartered
and a Notice is published in the Federal
Register.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules
E. Tentative Schedule
EPA will hold an organization meeting
on February 12,1991 and February 13,
1991 from 9 am until 5, at The Embassy
Suites Hotel, 1250 22nd Street, NW.,
Washington, D C This meeting is open to
the public, and all potential participants
are encouraged to attend.
H ie purpose of this meeting isio :
discuss w hether negotiations should
proceed, and if so, consider w hat issues
and topics should and should not be
covered, answ er questions, and address
any other procedural issues which may
arise.
If an adequate mix and balance of
parties attending the organizational
meeting is interested in participating in
a negotiation, and the charter approved,
EPA would hold the first formal
negotiating session of the Advisory
Committee approximately one month
(mid-March, 1991} after the
organizational meeting. At this meeting,
participants would complete action on
any procedural m atters outstanding
from the organizational meeting,
determine how best to address the
principal issues, and initiate information
gathering and research required to
address these issues.
Subsequent meetings of the
Committee would be held at
approximately one month intervals in
Washington, DC.
Though EPA has not set a final
deadline for completion of the
negotiation, it anticipates the
negotiations will take at least six
months. The Agency intends to
terminate the activities of the
Committee if it does not appear likely to
reach consensus on a schedule that is
consistent with Agency rulemaking
needs.
IV. Negotiation Procedures
The following procedures and
guidelines will apply to the Committee,
if formed, unless they are modified as a
result of comments received on this
Notice or during the negotiating process.
A. F acilitator
EPA will use a neutral facilitator. The
facilitator will not be involved with the
substantive development or enforcement
of the regulation. The facilitator's role is
to:
* Chair negotiating sessions;
* Help the negotiation process ran
smoothly; and

* Help participants define and reach
consensus.
B. Good Faith N egotiation
Since participants must be willing to
negotiate in good faith and be

authorized to do so, each organization
must designate a senior official to
represent its interests. This requirement
applies to EPA as well. Françoise M.
Brasier, Chief, Underground Injection
Control Branch, Office of Drinking
W ater, will be EPA’s representative.
C. A dm inistrative Support and M eetings
EPA’s Regulatory Management
Division will supply logistical,
administrative and management
support. Meetings will be held in the
W ashington area. To support
negotiations, EPA has pledged funds to
a resource pool which the National
Institute for Dispute Resolution will
administer. The parties may use the
funds for such activities as training,
technical support, and other assistance
which the Committee deems useful. To
give committee members maximum
freedom, subject to any applicable legal
constraints, they will determine the
procedures under which requests for
funds will be made and approved.
D. Com m ittee Procedures
Under the general guidance and
direction of the facilitator, and subject
to any applicable legal requirements, the
members will establish the detailed
procedures for Committee meeting
which they consider most appropriate.
E. Defining Consensus
The goal of the negotiating process is
consensus. In the negotiations
completed to date, consensus has meant
that each interest concurs in the result.
W e expect the participants to fashion
their own working definition of this
term.
F. Failure o f A dvisory Com m ittee to
Reach Consensus
In the event the Committee is unable
to reach consensus, EPA will proceed to
develop its own approach. Parties to the
negotiation may withdraw at any time.
If this happens, the remaining
Committee members and the Agency
will evaluate whether the Committee
should continue.
G. R ecord o f M eetings
In accordance with FACA’s
requirements, EPA will keep a record of
all Advisory Committee meetings. This
record will be placed in the public
docket for this rulemaking. EPA will
announce Committee meetings in the
Federal Register. Such meetings will be
open to the public.

4959

Dated; February 1,1991.
M ichael B. Cook,

Director, Office of Drinking Water.
[FR Doc. 91-2801 Filed 2-6-91; 8:45 am]
BILLING CO DE SSeO-SO-M

40 CFR Part 180
[PP 0E3857, PP 0E3873, PP 0E3881/P520;
FRL-3874-31

Pesticide Tolerances for Gtyphosate
AGENCY: Environmental Protection
Agency (EPA).
ACTION: Proposed rule.

This document proposes that
tolerances be established for residues of
the herbicide glyphosate and its
m etabolite in or on the following raw
agricultural commodities: cocoa beans,
genip, and cherimoya. The proposed
regulation to establish maximum
permissible levels for residues of the
herbicide in or on the commodities was
requested in petitions submitted by the
Interregional Research Project No.4 (IR4).
DATES: Comments, identified by the
document control number (PP 0E3857, PP
0E3873, PP 0E3881/P520), must be
received on or before March 11,1991.
ADDRESSES: By mail, submit written
comments to: Public Information Branch,
Field Operations Division (H7506C),
Office of Pesticide Programs,
Environmental Protection Agency, 401M
St., SW., Washington, DC 20460. In
person, bring comments to: Rm. 246,
C M #2,1921 Jefferson Davis Highway,
Arlington, VA 22202.
Information submitted as a comment
concerning this document may be
claimed confidential by marking any
part or all of that information as
“Confidential Business Information”
(CBI). Information so marked will not be
disclosed except in accordance with
procedures set forth in 40 CFR part 2. A
copy of the comment that does not
contain CBI must be submitted for
inclusion in the public record.
Information not marked confidential
may be disclosed publicly by EPA
without prior notice. All written
comments will be available for public
inspection in Rm. 246 at the address
given above, from 8 a.m. to 4 p.m.,
Monday through Friday, excluding legal
holidays.
FOR FURTHER INFORMATION C O N T A CT : By
mail: Hoyt Jamerson, Emergency
Response and Minor Use Section (H7505C), Registration Division, Office of
Pesticide Programs, Environmental
Protection Agency, 401M St., SW.,
sum mary:

4960

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules

Washington, DC 20460. Office location
and telephone number: Rm. 716C,
C M #2,1921 Jefferson Davis Highway,
Arlington, VA 22202, 703-557-2310.
SUPPLEM ENTAR Y INFORMATION: The
Interregional Research Project No. 4, (IR4), New Jersey Agricultural Experiment
Station, P.O. Box 231, Rutgers
University, New Brunswick, NJ 08903,
has submitted the listed pesticide
petitions (PP's) to EPA on behalf of the
nam ed Agricultural Experiment
Stations.
These petitions requested that the
Administrator, pursuant to section
408(e) of the Federal Food, Drug, and
Cosmetic Act, propose the
establishment of tolerances for the
combined residues of the herbicide
glyphosate (Nphosphonomethyljglycine) and its
metabolite amino-methylphosphonic
acid (AMPA) in or on the raw
agricultural commodities as follows:
1. PP 0E3B57. On behalf of the
Agricultural Experiment Station of
Hawaii, in or on cocoa beans at 0.2 part
per million (ppm),
2. PPOE3873. On behalf of the
Agricultural Experiment Station of
Puerto Rico, in or on genip at 0.2 ppm.
3. PP0E3881. On behalf of the
Agricultural Experiment Station of
California, in or on cherimoya at 0.2
ppm.
The data submitted in the petitions
and other relevant m aterial have been
evaluated. The pesticide is considered
useful for the purposes for which the
tolerances are sought. The toxicological
data considered in support of the
proposed tolerances include:
1. A 1-year dog feeding study with a
systemic no-observed-effect level
(NOEL) of 500 milligrams (mg)/kilogram
(kg)/day (highest dose tested).
2. A chronic feeding/carcinogenicity
study in rats with a systemic NOEL of 31
mg/hg/day, which was negative for
carcinogenic potential under the
conditions of the study at all feeding
levels tested (0, 3,10, and 31 mg/kg/
day). Although the rat. study meets the
requirement for a chronic feeding study,
it does not satisfy guideline
requirements for a carcinogenicity
study. There is no evidence that the
highest dose tested (31 m g/kg/day) was
a toxic or maximum-tolerated-dose
(MTD).
3. A three-generation reproduction
study in rats with a NOEL of 10 m g/kg/
dáy and an LEL of 30 m g/kg/day (renal
focal tubular dilation in male F3b
weanlings).

4. A rat teratology study, negative for
teratogenic effects at 3,500 m g/kg/day
(highest dose tested), with a maternal
and fetotoxic NOELs of 1,000 m g/kg/
day.
5. A rabbit teratology study, negative
for teratogenic effects at 350 m g/kg/day
(highest dose tested), with a maternal
NOEL of 175 m g/kg/day and a
developmental toxicity NOEL of 350 mg/
kg/day.
6. Mutagenicity studies as follows:
chromosomal aberration in vitro (no
aberrations in Chinese hamster ovary
cells were caused with or without S-9
activation); DNA repair in rat
hepatocytes (negative); in vivo bone
marrow cytogenic in rats (negative); recassay with B. subtilis (negative up to
2.000 micrograms of test material per
disk); reverse mutation with S.
typhimurium (negative); and a
dominant-lethal test in mice (negative).
Additionally, a 2-year carcinogenicity
study in CD-I mice has been completed
and reviewed by the Agency. Feeding
levels in this study were 1,000, 5,000, and
30.000 ppm (equivalent to 150, 750, and
4,500 m g/kg/day, respectively). The
NOEL for nonneoplastic chronic effects
w as established at 5,000 ppm. In this
study, glyphosate produced an equivocal
carcinogenic response, possibly causing
a slight increase in the incidence of
renal tubular adenomas (a benign tumor
of the kidney) in male mice at the
highest dose tested (30,000 ppm).
Because of the equivocal nature of the
carcinogenic response in mice and the
lack of an acceptable carcinogenicity
study in rats, the Agency referred the
issue to the Federal Insecticide,
Fungicide, and Rodenticide Act (FIFRA)
Science Advisory Panel (SAP) for a
weight-of-the-evidence
recommendation. After reviewing all
available evidence, the SAP concluded
that the carcinogenic potential of
glyphosate could not be determined
from the available information and
recommended that the mouse and/or rat
carcinogenicity studies be repeated to
clarify unresolved questions.
Subsequently, the Agency classified
glyphosate as a "Group D Carcinogen”
{inadequate evidence of carcinogenicity)
and requested a repeat of the
carcinogenicity study in rats. The study
has been received at the Agency and is
currently undergoing scientific review.
Current Agency policy is to establish
tolerances for significant new uses of
glyphosate on a case-by-case basis.
Tolerances that change the theoretical
maximum residue contribution (TMRC)

by more than 1 percent are generally
considered significant.
The reference dose (RfD), based on
the NOEL of 10 m g/kg/day from the rat
reproduction study and using an
uncertainty factor of 100, is calculated to
be 0.1 mg/kg of body weight (bw)/day.
The TMRC from published and pending
tolerances is calculated to be 0.01 mg/
kg/day, or 10 percent of the RfD. There
are no consumption estimates in the
Agency database for either genip or
cherimoya for any population group
other than the overall U.S. population,
and exposures for this group from these
two food items are estimated to be
negligible, computed by the Agency’s
dietary risk exposure system to be less
than 0.000001 mg/kg/day. The estimated
dietary exposure contribution from
cocoa bean, (represented as cocoa
butter and chocolate) is calculated to be
0.000009 mg/kg/day, or 0.008 percent of
the RfD, an insignificant increase.
The nature of the residue is
adequately understood, and an
adequate analytical method, gas
chromatography using a flame
photometric detector, is available for
enforcement purposes. An analytical
enforcement method has been published
in the P esticide A nalytical Manual
(PAM), Vol. II. No secondary residues in
meat, milk, poultry, or eggs are expected
since the commodities listed are not
considered livestock feed commodities.
There are currently no actions pending
against the continued registration of this
chemical.
Based on the above information
considered by the Agency, the tolerance
established by amending 40 CFR 180.364
would protect the public health.
Therefore, it is proposed that the
tolerance be established as set forth
below.
Any person who has registered or
submitted an application for registration
of a pesticide, under the Federal
Insecticide, Fungicide, and Rodenticide
Act (FIFRA) as amended, which
contains any of the ingredients listed
herein, may request within 30 days after
publication of this document in the
Federal Register that this rulemaking
proposal be referred to an Advisory
Committee in accordance with section
408(e) of the Federal Food, Drug, and
Cosmetic Act.
Interested persons are invited to
submit written comments on the
proposed regulation. Comments must
bear a notation indicating the document
control number, [PP 0E3857, PP 0E3873,

Federal Register / Vol. 59, No. 28 / Thursday, February 7, 1991 / Proposed Rules
PP 0E3881/P520]. All w ritten comments
filed in response to this petition will be
available in the Public Information
Branch, at the address given above from
8 a.m. to 4 p.m„ Monday through Friday,
except legal holidays.
The Office of M anagement and Budget
has exempted this rule from the
requirements of section 3 of Executive
Order 12291.
Pursuant to the requirements of the
Regulatory Flexibility Act (Pub. L. 96354, 94 Stat. 1164,5 U.S.C. 6Q1-612), the
Administrator has determined that
regulations establishing new tolerances
or raising tolerance levels or
establishing exemptions from tolerance
requirements do not have a significant
economic impact on a substantia!
number of small entities. A certification
statem ent to this effect w as published in
the Federal Register of M ay 4,1981 (46
FR 24950).
List of Subjects in 40 CFR Part 180
Administrative practice and
procedure, Agricultural commodities,
Pesticides and pests, Reporting and
recordkeeping requirements.
Dated: January 17,1991.
Anne E. Lindsay,
Director, Registration Division, Office o f
Pesticide Programs.
Therefore, it is proposed that 40 CFR
part 180 be amended as follows:
PART 180—{AMENDED]

1. The authority citation for part 180
continues to read as follows:
Authority: 21 U.S.C. 346a and 371;
2. Section 180.364(a) is amended by
adding and alphabetically inserting the
raw agricultural commodities
cherimoya, cocoa beans, and genip, to
read as follows:
§ 180.364

Glyphosate; tolerances for

* *
Parts per
million

Commodity

•

•

Cherimnya........
*
#
Cocoa beans______

»

•

Genfp„.......................

**

•

•

•

• .
*■

__

•

---------

#

*

.#

*
#
♦
*
[FR Doc. 91-2964 Filed 2-6-91; 8:45 am]
BILLING CODE

6560-50-F

*
V Q2
•

*

National Institutes o f Health
42 CFR Ch. I
Request for Comments on Plans to
Implement Pub. L 101-616,
“Transplant Amendments A ct o f
1990“ Title I— National Bone Marrow
Donor Registry
a g e n c y : National Institutes of Health,
Public Health Service, HHS.
ACTION: Request for comments.

The National Heart, Lung,
and Blood Institute (NHLBI) of the
National Institutes of Health (NIH)
seeks w ritten comments from the public
concerning plans to implement Title I of
Public Law 101-616, ‘T ransplant
Amendments Act of 1990,” which added
section 379 of the Public Health Service
Act to authorize the Secretary to
establish and m aintain a National Bone
M arrow Donor Registry. Section 379
further provides that the Secretary shall
establish and enforce criteria,
standards, and procedures for entities
participating in the National Marrow
Donor Program, including the National
Registry.
D A T E S : Comments must be received in
writing o n or before March 11,1991 at
the address provided below to assure
consideration.
a d d r e s s e s : Comments may be mailed
or delivered to: Paul R. McCurdy, MD,
Special A ssistant for Clinical
Hematology, Division of Blood Diseases
and Resources, NHLBI, room 516,
Federal Building, 7550 Wisconsin
Avenue, Bethesda, MD 20892.
sum m ary:

FOR FURTHER INFORMATION C O N TACT:

residues.

(a)*

DEPARTM ENT O F HEALTH AND
HUMAN SERVICES

0.2
0.2

*

Paul R. McCurdy, MD, Special A ssistant
for Clinical Hematology, Division of
Blood D iseases and Resources, NHLBI,
room 516, Federal Building, 7550
W isconsin Avenue, Bethesda, MD 20892,
(301) 496-8387.
SUPPLEM ENTAR Y INFORMATION: The
NHLBI seeks written comments
concerning plans to implement Title I of
Public Law 101-616, "Transplant
Amendments Act of 1990,” which added
section 379 of the Public Health Service
Act. This law states in part:
(c)
CRITERIA, STANDARDS, AND
PROCEDURES.—Not later than 180 days
after the date of enactment of this part, the
Secretary shall establish and enforce, for
entities participating in the program,
including the Registry, individual marrow
donor centers, marrow donor registries,
marrow collection centers, and marrow
transplant centers—
(1) quality standards and standards for
tissue typing, obtaining the informed consent
of donors, and providing patient advocacy;

4961

(2) donor selection criteria, based on
established medical criteria, to protect both
the donor and the recipient and to prevent
the transmission of potentially harmful
infectious diseases such as the viruses that
cause hepatitis and the étiologie agent for
Acquired Immune Deficiency Syndrome;
(3) procedures to ensure the proper
collection and transportation o f the marrow;
(4) standards that require the provision of
information to patients, their families, and
their physicians at the start of the search
process concerning—
(A) the resources available through the

Registry;
(B) all other marrow donor registries
meeting the standards described in this
paragraph; and
(C) in the case of the Registry—
(i) the comparative costs of all charges by
marrow transplant centers incurred by
patients prior to transplantation; and
(ii) the success rates of individual marrow
transplant centers;
(5) standards that—
(A) require the establishment of a system
of strict confidentiality o f records relating to
the identity, address, HLA type, and
managing marrow donor center for marrow
donors and potential marrow donors; and
(B) prescribe the purposes for which the
records described in subparagraph (A) may
be disclosed, and die circumstances and the
extent of the disclosure; and
(6) in the case o f a marrow donor center or
marrow donor registry participating in the
program, procedures to ensure the
establishment of a method for integrating
donor files, searches, and general procedures
of the center or registry with the Registry.”

These “Criteria, Standards, and
Procedures” (CSP) are expected to have
general applicability and it is planned
that the CSP will be promulgated
through formal rulemaking procedures.
Plans are to use applicable portions of
the “Standards of the National Marrow
Donor Program” (rev. 5th ed. Sept, 1990)
as a starting point for .developing the
m andated “Criteria, Standards, and
Procedures.” Excerpts from these
Standards, which are under
construction, follow:
Standards o f the National Marrow Donor
Program , Fifth Edition, Revised Septem ber,
1990

1.000 General.
1.200 The words “must” and “shall”
indicate that deviations are not
acceptable. "Should” and “may” are
used for recommendations which are not
mandatory.
2.000 Criteria for Participating Donor
Centers.
2.200 Center must have demonstrated
experience in donor management
activities, including counseling,
confidentiality issues and medical
screening.
2.300 Center must have access to the
following accredited facilities:
2.310 Blood bank for collection of
autologous blood.

4962

Federal Register / Vol. 56, No. 20 / T h u rsd ay , F eb ru ary 7, 1991 / P ro p o sed R ules

2.320 Laboratory for infectious disease
markers and other tests defined by the
Standards.
2.330 Blood typing laboratory.
2.340 HLA typing laboratory for HLA-A, B
typing newly recruited donors.
2.350 NMDP Collection Center.
2.700 Center must have a Donor Advocate
, identified and must offer this as an
option to all donors.
2.900 Center must be willing to merge donor
data on a routine basis with the NMDP
central data file (Registry).
3.000 Recruitment of unrelated donors of
bone marrow.
3.100 Who may be approached.
3.110 Donors must be volunteers who
provide fully informed consent.
3.120 DonOrs must meet current standards
for blood donors as established by
American Association of Blood Banks
with the following exceptions.
3.121 There is no minimum weight
requirement for prospective donbrs.
3.123 Prospective donors must have passed
their 18th birthday but must not have
passed their 56th birthday.;
3.124 Prospective donors who have traveled
to malarial areas may be recruited.
3.130 The identification of persons HLA
typed for some other purpose may not be
released for purposes of recruitment into
the unrelated marrow donor program
unless their permission has been
obtained by the group which obtained
permission for the HLA typing
3.200 Approach to the prospective donor.
3.210 Before a consent to have the donor's
HLA type listed may be obtained, the
donor must be given a general
explanation of the indications for and
results of marrow transplantation, the
reasons for using unrelated donors, the
process of marrow donation, and the '
risks associated with marrow donation.
3.211 The process and risks of marrow
donation need not be explained in detail
at this point, since this will be done
when the prospective donor is later
found to be a potential match for a
specific recipient
3.220 There must be no undue pressure on
the prospective donor.
3.221 The prospective donor must be given
ample opportunity to ask questions and
to consider the decision.
3:222 The prospective donor must be
assured of the right to decline or to
withdraw at any time without prejudice.
3.230 The consent of the prospective donor
may be in writing or may be obtained
over the telephone.
3.231 If obtained over the telephone, a
notation in the record must be made that
telephone consent was obtained, the
date, and the signature of the person
obtaining the consent.
3.232 The donor may be asked to supply a
written consent as soon as possible, but
this is not a requirement
3.233 The donor may be listed in the ,

Registry without waiting for the written Consent
4.000 Assurance of donors' privacy.
4.100 The donor’s identity shall be known
only to those few staff members of the
donor center with a need to know.
4.110 Identifying records shall be in a
locked file accessible only to those with »
a need to know.
4.120 All other files, including laboratory
records, shall identify the donor by a
code number only.
4.130 The donors shall be identified to the
National Coordinating Center by code
number only.
.4.200 The donor's identification shall be
released to others only when there is a
clear need for individuals outside the
donor center to have access to it, and
only with the consent of the donor.
4.210 The donor's identification may be
released to the Coordinating Center for
the purpose of obtaining insurance for
the donor.
4.220 The donor's identification and address
may be released to the Coordinating
Center for the purpose of direct
informational mailing.
4.221 This must be done in such a way that
the identification is not linked to the
Donor Identification Number or HLAtype.
4.222 Release of this information to the
Coordinating Center will be at the
discretion of the Donor Center. *
4.300 The donor's HLA typing data shall not
be used to commit the donor to programs
for which the donor has not given
explicit approval.

4.400 Unless both donor and recipient have
expressed a wish to meet each other,
they should not be encouraged to do so.
4.410 The donor and the recipient should
meet only if both have expressed a
strong desire to do so.
4.420 The meeting should be deferred, if
possible, until the recipient has
recovered from the most visible
complications of transplantation.
4.430 The donor should be prepared before
the meeting to anticipate evidence that
the recipient is ill.
5.000 -Further tests when a partial HLA
match with a recipient has been
identified.
5.100 :Obtain Informed Consent for Testing.
5.110 The donor must sign a consent form
agreeing to provide a Llood sample for
further tests (generally DR typing and
mixed lymphocyte cultures).
5.120 The consent form should state the
minor risks of blood collection.
5.130 A new consent fgrm must be signed if
the donor is matched at a later point for
a different recipient
5.200 Infectious Disease Testing, ABO and
Rh Typing at the Time of MLC Sample
Collection.
5.210 The donor center must perform
Infectious disease testing of the donor on
a blood sample obtained at the time MLC

samples are collected. The testing must
include: serologic test for syphilis (STS),
hepatitis B surface antigen (HBsAg),
antibody to hepatitis B core antigen
(anti-HBc), alanine aminotransferase
(ALT), antibody to the Human
Immunodeficiency Virus (anti-HIV),
antibody to the cytomegalovirus (antiCMV), antibody to the Human T
Lymphotropic Virus, Type I (anti-HTLVI) and antibody to the Hepatitis C Virus
(anti-HCV). Testing for the antibody to
the Human Immunodeficiency Virus
(anti-HIV) by Western Blot should be
performed if the EIA test for this
antibody is repeatedly reactive.
5.211 Infectious disease testing of all donors
must be repeated, if results were from
testing more than 30 days prior to
marrow donation.
5.220 The ABO and Rh typing of the donor
must be performed at this time if the
donor center has not previously typed
the donor.
5.230 The Results of the infectious disease
testing, and ABO and Rh typing, if
performed, must be reported to the
transplant center which requested the
MLC sample:
5.231 Donors with a confirmed positive test
for HBsAg or anti-HIV should not be
used.
5.232 The decision to use donors with other:
abnormal findings should be left to the
transplant physician and the patient (See
Section 7.411).
5.300. Repeat HLA Typing by Transplant
Center.
5.310 Hie HLA-A, B and DR typing of any
donor selected for marrow donation must
be confirmed by the transplant center
which will perform the transplant.
5.311 Notification of the results of the HLA
typing performed by the transplant
center must be reported to the
Coordinating Center.
5.400 Decisions on donor acceptability
should be made promptly so donors
inappropriate for that patient may be
returned to the active search files.
6.000 Donor Information Session.
6.100 Hie Donor Advocate: Prior to
obtaining the consent of the donor found
to be histocompatible and medically
eligible, the donor must be aware of the
opportunity to discuss his/her decision
with a Donor Advocate.
6.110 The Donor Advocate must be
knowledgeable about marrow
transplantation and the risks to the
donor.
8420 The Donor Advocate should be
selected because of training or
experience in counseling. Hie Donor
Advocate need not be a physician.
6430 The Donor Advocate should not be an
employee of the donor Center and must
not be a member of a marrow transplant
team.
6.140 The Donor Advocate must have no
personal interest in whether or not die
transplant is performed.
> :
„

Federal Register / Vol. 56, No. 26 / Thursday, F ebruary 7, 1991 / Proposed Rules
6.200 The prospective donor must be
counseled as follows.
6.210 The prospective donor must be given
more detailed information about the
further tests to be done, the procédure of
marrow donation, the risks of marrow
donation, and the period of time which
the donor may have to commit.
6.220 It is strongly recommended that the
spouse or other significant friends or
family of the donor be included in these
discussions.
6.230 The prospective donor must again be
assured of his/her right to withdraw at
any time up to induction of anesthesia
for the marrow collection.
6.240 The prospective donor must also be
informed of the extreme risk of death for
the recipient should the donor withdraw
after the beginning of the recipient’s
immunosuppressive preparative regimen.
6.250 The prospective donor must be
informed about the following:
6.251 The risks of anesthesia.
6.252 The risks and discomforts resulting
from marrow donation.
6.253 The potential time lost.
6.254 The extent to which the donor’s
expenses will be compensated and by
whom.
6.260 Following the counseling, the donor
must express a willingness to continue
the process before the medical
evaluation may be scheduled.
7.000 Medical Evaluation of the Matched
Prospective Donor.
7.100 A licensed physician must perform a
complete medical history and physical
examination, and must evaluate the
results of the following tests: complete
blood count, urinalysis, electrolytes, urea
nitrogen, creatinine, bilirubin, serum
protein electrophoresis,
electrocardiogram and chest X-ray.
Infectious disease testing may be
repeated at the discretion of the
physician.
7.110 Pregnancy is a contraindication to
marrow donation.
7.200 This physician must be approved by
the medical director of the donor center.
7.300 This physician shall not be a member
of the transplant team of the center
performing the transplant.
7.400 This physician must report the
following in writing to the donor center.
7.410 Whether donor meets all requirements
for volunteer blood donation as defined
by the Standards of the American
Association of Blood Banks.
7.411 Any deviation from blood donor
health standards must be reported by the
donor center to the coordinating center
and the transplant center. (See section
5.232).
7.412 The decision to use donors with
abnormal findings must be accompanied
by the appropriate, informed written
releases.
7.420 Whether the donor is a Glass 1
anesthesia risk.
7.430 Whether there are any
contraindications to marrow donation.

7.500 Final selection of a marrow donor
shall not be done until the marrow
collection team is satisfied that the donor
meets its criteria for marrow collection
and that the donor is fully committed to
proceed.
7.510 Donor centers and their cooperating
marrow collection centers shall establish
written procedures for their interaction.
7.600 If more than eight weeks have elapsed
since the complete physical examination,
the marrow collection physician must
take an interval history and perform an
appropriate physical examination.
7.610 The history and physical must be
completed prior to initiation of the
recipient’s preparative regimen.
8.000 Intent to Donate.
8.100 Once a donor has been found eligible
to donate, the donor must sign an “Intent
to Donate”, expressing the donor’s
willingness to continue the process.
8.200 The Donor Center must notify the
Coordinating Center that the donor has
been found eligible and signed the
“Intent to Donate.”
9.000 Pre-Collection Communication.
9.100 A prescription for collection of the
marrow must be signed by the
responsible transplant physician and
transmitted via the Coordinating Center
through the donor center to the marrow
collection center within two working
days prior to initiating the preparative
regimen for the recipient. Methods must
be established to verify the identity of
the donor.
9.110 A designated official from the center
which will perform the marrow
transplant must provide signed
acknowledgement that the donor’s ABO
type, degree of HLA match, and test
results are acceptable.
9.120 The donor center will specify whether
the marrow is to be obtained at the site
of the transplant or near the home of the
donor..
9.130 The donor may refuse to go to the site
selected.
9.200 The transplant physician, Donor
Center medical director, and physician
who will perform the collection must all
agree on the volume of marrow to be
collected from the donor as soon as
possible after selection of the donor but
no later than two working days prior to
initiating the preparative regimen for the
recipient.
10.000 Collection Center.
10.200 The marrow must be collected in a
hospital accredited by the Joint
Commission on Accreditation of Health
Care Organizations.
10.300 The hospital must provide a surgical
operating room and must have a medical
intensive care unit.
10.400 Anesthesia must be provided under
the supervision of a licensed, boardcertified anesthesiologist.
10.500 The hospital must have irradiated
blood components available in the event
that homologous blood cannot be - avoided.

4963

10.600 The marrow collection team must be
experienced and must collect marrow on
a regular basis.
10.810 The team must consist of a
responsible physician and at least one
other trained ancillary person who'have
the experience and the equipment for
marrow processing.
10.620 Sufficient experience and expertise
for approval as a marrow collection team
must be documented by one of the
following:
10.621 The team is part of a transplant
center approved for participation in the
program, or
10.622 The team has performed at least 12
prior aspirations for transplantation with
at least four in the previous 12 months.
10.630 The team must obtain a corrected
marrow nucleated cell count of at least
2X108 nucleated cells/kg of recipient
body weight in at least 75% of the
aspirations,
10.631 In general this should be
accomplished by withdrawing no more
than 1500 ml of marrow.
10.632 The volume of marrow removed must
not be so large as to require the
transfusion of homologous blood.
10.700 One member of the marrow
collection team must assume full
responsibility for the donor, before,
during and after the procedure.
10.710 He/she must agree that donor is
acceptable for that procedure (along with
the anesthesiologist).
10.720 The team must arrange for
autologous donation of a number of
autologous units in proportion to the
anticipated volume of marrow to be
harvested.
10.730 . Homologous blood should be avoided
when possible, and should be transfused
to the donor only in situations of
unexpected blood loss.
10.740 He/she must ensure the donor’s
health is appropriate for discharge.
10.800 If marrow aspiration is not.performed
by a member of the transplant team, the
transplant team may send an observer.
11.000 Pre-Collection Donor Blood Samples.
11.100 Pre-collection donor blood samples
in addition to autologous units and
samples needed to assess the physical
well being of the donor must be limited
to a maximum of 100 ml. in the month
prior to marrow donation.
11.200 With the exception of autologous
units and samples needed to assess the
physical well being of the donor, the last
pre-collection donor blood sample must
be collected more than 10 days prior to
marrow collection.
12.000 Marrow collection and processing.
12.100 Marrow collection.
12.110 The marrow should be collected with
a large needle designed specifically for
that purpose.
12.120 The marrow should be mixed with
tissue culture medium containing heparin
in quantities sufficient to prevent
coagulation.
12.130 The syringes used to aspirate the
marrow should be rinsed with the
heparin-tissue culture medium fluid.

4964

Federal Register / Vol. 56, No. 28 / Thursday, February 7, 1991 / Proposed Rules

12.140 Marrow obtained from unrelated
donors should not be used for research
unrelated to the needs of the recipient.
12.200 Marrow processing.
12.210 The marrow must be filtered to
ensure single cell suspensions using
sterile filters made of materials
nonreactive with blood.
12.220 Addition of preservatives or
antibiotics is not recommended and must
never be done without the agreement of
the transplant service.
12.221 Exception: ACD solution may be
added in a ratio of one part ACD to 8
parts of marrow suspension for storage
periods longer than 8 hours.
12.230 Freezing of marrow is not
recommended, at this time, and should
not be done unless convincing data
confirming successful results have been
presented to the Standards Committee of
the National Marrow Donor Program.
12.240 Additional processing, such as
removal of T cells, incompatible red
blood cells or plasma, should be done at
the transplant center or in a laboratory
designated by the transplant center.
12.250 No processing or the marrow shall be
done by the collection center without
consent of the transplant center.
13.000 Transport of marrow,
13.100 When marrow is not collected at the
transplant site, every effort must be
made to ensure that it arrives at the
transplant site within 12 hours of
collection.
13.110 The marrow must be hand carried by
a suitably informed courier.
13.120 The marrow must be carried by the
courier in the passenger compartment.
13.130 Plane or other reservations must be
firm.
13.131 The weather reports at both airports
should be checked.
13.132 Back-up reservations should be
made.
13.133 There must be plans for alternative
transport in an emergency.
13.140 The marrow must not be passed
through X-ray irradiation devices
designed to detect metal objects.
13.200 The container used to transport
marrow must meet the following criteria:
13.210 The marrow must be in a
hermetically sealed plastic bag
containing ports which can be entered
aseptically.
13.220 The marrow bag should be placed in
an outer bag which is also sealed to
prevent leakage.
13.230 The bag should be enclosed in a rigid
container with insulating properties.
13.240 Wet ice may be used, at the
discretion of the transplant service.
13.250 Dry ice must never be used.
13.300 The container should be labeled with
the following:
13.310 The words “HUMAN BONE
MARROW".
13.320 The National Marrow Donor Program
donor identification number.
13.330 Collection date and time (time zone).
13.340 Anticoagulant used and volume. .
13.350 Other additives used.

13.360 Intended recipient’s name, hospital .
and (if available) hospital number.
13.370 Name of individual designated to
receive the marrow, hospital or
transplant center, telephone number.
13.380 “Warning: Contains human tissue for
transplantation. Do not place near heat
Do not freeze. Do not delay delivery. Do
not X-ray.”
13.400 Documents accompanying marrow
must contain:
13.410 Donor identification number.
13.420 Donor ABO and Rh types.
13.430 The most recently available results of
the following tests: Anti-HIV, HBsAg,
anti-HBc, anti-HTLV-I, anti-HCV, antiCMV, STS and ALT.
13.440 Volume of marrow and diluent.
13.450 Details of any bone marrow
manipulation or treatment
13.500 Every effort should be made to
transfuse liquid stored marrow within 24
hours of collection.
14.000 Quality control of marrow.
14.100 The number of marrow nucleated
Cells collected must be calculated as
follows:
14.110 The number of nucleated cells
collected marrow and in the peripheral
blood of the donor muat be counted.
14.120 The number of marrow nucleated
cells is obtained by subtracting the
number o f blood nucleated ceils.
14.130 The number of marrow nucleated
cells should exceed 2.0 X 10 * per kg of
recipient body weight.
14.131 Transplant services may require
higher numbers depending on the
recipient's diagnosis and treatment and
on any intended further processing of the
marrow.
14.200 Every marrow must be placed into:
culture for bacteria and fungi at the
transplant center, employing aerobic and
anaerobic conditions.
14.210 It is recommended that cultures be
performed also at the collection site, with
timely reports to the transplant center.
14.300 Quantitation of committed stem cells
by culture is strongly recommended.
15.000 Subsequent donor contacts.
15.100 Following the marrow donation, the
well-being of the donor must be
ascertained by a member of the donor
center.
15.110 A telephone call or direct
conversation with the donor shall be
made within 48 hours after the donor is
discharged horn the hospital.
15.120 The contact shall be repeated
between five and seven days after the
donor is discharged from the hospital.
15.130 If the donor has any abnormal
complaints, the donor shall be referred to
an appropriate source of medical help.
15.140 Contacts shall continue at intervals
until the donor is free of complaints.
15.200 Subsequent demands on the donor.
15.210 In general the donor should not be
expected to provide blood components
for the recipient after the transplant
15.211 An exception may occur when there
is no other donor whose platelets will
survive in the recipient’s circulation.

15.212 The donor has the right to refuse .
consent
15.220 The donor should not be asked to
provide more marrow for an additional
boost or retransplant for the same
recipient.
15.230 Reuse of the same donor for a
different recipient at a later time is not
recommended until sufficient supporting
information is available.
15.231 At least one year should elapse
between donations.
15232 Only if no other equally compatible
donor is available.
16.000 Patient rights.
16.100 The transplant service has the
responsibility to inform patients of the
progress of searches for a compatible
donor as reports are received from the
Coordinating Center. These reports
should, where appropriate, be
transmitted through the patient's
referring physician.
16.200 If a compatible donor is not found,
based on the criteria of the transplant
center, the patient should be informed of
other options, including
16.210 Referral to approved transplant
centers whose criteria for unrelated
donor transplants are different.
16.220 Repeated search of the Registry as
more donors are added.
16.230 Search of other registries.
17.000 Criteria for participating marrow
transplant centers.
17.100 Experience.
17.110 Centers must have performed at least
10 allogeneic transplants per year during
the previous 24 months and at least 30 in
the previous five years.
17.120 The center director must have had
two years’ experience in an NMDPaccredited transplant center or in a
center recognized by publications in peer
reviewed journals to be capable and
experienced. One of these years may be
a period of training, but at least the
previous year must be one in which the
director had primary responsibility for
the management of transplant recipients.
17.130 A dedicated transplant team must
have been in place for a minimum of two
years.
17.131 There must be a designated nursing
unit for marrow transplantation.
17.200 Supporting services.
17.210 There must be an air handling system
designed to prevent nosocomial
infections disseminated from central
heating/cooling systems.
17.220 There must be documented evidence
of support by an HLA laboratory
accredited by the American Society of
Histocompatibility and Immunogenetics.
17.230 There must be documented evidence
of adequate blood component support,
including irradiation of blood
components and CMV testing.
17.240 There must be documented evidence
that radiation therapy support is
available if needed.
17.300 Protocols for unrelated donor
transplants must have been approved by
a local Institutional Review Board.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules
The public is invited to submit written
comments concerning the
implementation of the National Bone
Marrow Donor Registry, including
possible use of specific criteria
contained in this document, within the
time period set forth above.
Dated: February 1,1991.

William F. Raub,
Acting Director, NIH.

'

[FR Doe. 91-2992 Filed 2-6-91; 8:45 am]
BILLING CODE 4140-01-1*

DEPARTMENT OF THE INTERIOR
Fish and Wildlife Service
50 CFR Part 23
Endangered Species Convention:
Amendments
AGENCY:

Fish and Wildlife Service,

Interior.
ACTION:

Request for information.

The Convention on
International Trade in Endangered
Species of Wild Fauna and Flora
(CITES) regulates trade in certain
animal and plant species, which are
listed in appendices to this treaty. Any
nation that is a Party to CITES may
propose amendments to Appendices I
and II for consideration by thé other
Parties.
This notice announces plans by the
Fish and Wildlife Service (Service) to
consider proposals to be submitted by
the United States to amend Appendices
I and II. The Service invites information
and comments from the public on
animal or plant species that should be
considered as candidates for U.S.
proposals. Such proposals may concern
the addition of species to Appendix I or
II, the transfer of species from one
appendix to another, or the removal of
species from Appendix I or II, or for
species to be registered as bred-in­
captivity for commercial purposes.
At past CITES Animals Committee
Meetings, the Committee chairman has
requested information from the Service
on certain U.S. listed taxa under the
Ten-Year Review process and on issues
of nomenclature. The United States was
to determine the extent that these
species enter trade and whether they
merit retention in the Appendices. These
species of concern are: Harlequin quail
SUMMARY:

[Cyrtonyx montezumae montezumae
and C. m. mearnsi)', the San Diego
homed lizard (Phrynosoma coronation
blainvillii)] Pearly mussels (6 species of
the family Unionidae listed in Appendix
II); the M exican bobcat [Felis rufa
escuinapae); and pronghorn antelope

[Antilocapra americana m exicana,A. a.
peninsularis, and A. a, sonoriensis).
Similarly, the Plants Committee, chaired
by the United States, is considering
certain questions on the cactus genus
Turbinicarpus. The Service will use the
information and comments received in
determining whether to develop
proposals for the next regular meeting of
the CITES Party Nations.
d a t e s : The Service will consider all
information and comments received by
April 22,1991.
a d d r e s s e s : Comments, information and
questions should be submitted to the
Chief, Office of Scientific Authority;
Mail Stop: Room 725, Arlington Square;
U.S. Fish and Wildlife Service;
Washington, DC 20240. Fax number
(703) 358-2202. Express and messenger
delivered mail should be addressed to
the Office of Scientific Authority; room
750, 4401 North Fairfax Drive; Arlington,
Virginia 22203. Comments and other
information received will be available
for public inspection, by appointment,
from 8 a.m. to 4 p.m.» Monday through
Friday, at the Arlington, Virginia
address.
FOR FURTHER INFORMATION CO N TACT:

Dr. Charles W. Dane, Chief, Office of
Scientific Authority, at the above
address (phone 703-358-1708 or FTS
921-1708).
SUPPLEM ENTAR Y INFORMATION: This is
the first in a series of Federal Register
notices about proposals to amend CITES
Appendix I or II that will be considered
at the eighth regular biennial meeting of
the Parties. The purpose of this notice is
to solicit information that will help the
Service to identify: (1) Species that are
candidates for addition, removal, or
reclassification in the appendices, (2)
Species that should be submitted as
meeting bred-in-captivity criteria in
accordance with CITES resolutions
Conf. 6.21 and 7.10, (3) Ten-Year Review
species for which there is no
documented evidence of trade in the
species, and (4) Nomenclature! issues,
This request is not limited to species
occurring in the United States. Any
Party may submit proposals concerning
wild animal or plant species occurring
anywhere in the world, although U.S.
proposals submitted for recent meetings
of the Parties have focused on species
native to the United States,
Background
CITES regulates import, export,
reexport, and introduction from the sea
of certain animal and plant species. The
term “species” is defined in CITES as
“any species, subspecies, or
geographically separate population,
thereof”. Each species for which trade is

4965

controlled is included in one of three
appendices. The basic standards for
including species in the appendices are
contained in Article II of CITES
Appendix I includes species threatened
with extinction that are or may be
affected by trade. Appendix II includes
species that although not necessarily
threatened with extinction may become
so unless trade in them is strictly
controlled. It also lists species (as lookalikes) that must be subject to regulation
in order that trade in other currently or
potentially threatened species may be
brought under effective control. Such
listings frequently are required because
of difficulty in distinguishing specimens
of currently or potentially threatened
species from other species at ports of
entry. Further guidance on criteria for
adding or deleting species in the
Appendices is contained in several
resolutions available from the Office of
Scientific Authority (see addresses
section).
For animals in Appendix I or II and
plants in Appendix I, any readily
recognizable part or derivative thereof is
automatically included, by language in
CITES, when die species is listed in the
Appendices. All parts and derivatives of
plants listed in Appendix II are
included, with certain exceptions, by
amendment and resolutions at several
Conferences of the Parties. The standard
exception is that the parts and
derivatives usually not included (i.e„ not
regulated) for Appendix II plants are:
Seeds, spores, pollen (including
pollinia), tissue cultures, and flashed
seedling cultures. Also see 50 CFR
23.23(d) for further exceptions and
limitations. Appendix III includes
species that any Party nation identifies
as being subject to regulation within its
jurisdiction for purposes of preventing or
restricting exploitation, and for which it
needs the cooperation of other Parties in
controlling trade. The present notice
concerns only Appendices I and H, The
Parties have adopted a format for
proposals to amend Appendix I or II, in
order to ensure that certain types of
information are provided. It is as
follows:
A. Proposal
B. Proponent (nation)
C. Supporting statement
1. Taxonomy
11. Class
12. Order
13. Family
14. Genus, species or subspecies,
including author(s) and year and
checklist or authority being
followed to describe the species
15. Common name(s), when
applicable, and French and Spanish

4966

Federal Register / Vol. 58, Nö. 26 / Thursday, February 7, 1991 / Proposed Rules

common names, if known
16. Code numbers, when applicable,
e.g„ International Species Inventory
System (ISIS) number.
2. Biological data
21. Distribution (current and
historical)
22. Population (estimates and trends),
and relevant information on
population
23. H abitat (trends)
3. Trade data
31. National utilization
32. Legal international trade
33. Illegal trade
34. Potential trade threats
341. Live specimens
342. Parts and derivatives
4. Protection status
41. National
42. International
43. Additional protection needs
5. Information on similar species
(addressing the issue of similarity of
appearance where appropriate)

6. Comments from countries of origin
(other than proponent)
7. Additional remarks
8. References (published literature and
other documents)
Possible Proposals
At previous CITES Animals
Committee Meetings, the chairman
requested information on certain listed
U.S. species to determine volume of
trade or validity of the taxon and
whether these taxa merit inclusion in
the Appendices under the criteria
contained in several resolutions. The
U.S. w as to review the status of these
listed species under the Ten-Year
Review process and on issues of
nonmenclature. The U.S. species of
concern are: Six species of pearly
mussels (Unionidae) and Appendix IL
the San Diego hom ed lizard
(Phrynosoma coronation blainvillii)',
Harlequin quail [Cyrtonyx montezumae
montezumae and C. m. meamsiy, the
Mexican bobcat {Felix rufa escuinapaey,
and pronghorn antelope (Antilocapra
americana ssp.).
According to the most recent
taxonomic review (Turgeon e t al. 1988),
there are 297 taxa of the family
Unionidae native to North America. Of
the 297 North American taxa, 13 are
believed to be extinct, 35 are listed as
endangered under the U.S. Endangered
Species Act (Act), and an additional 70
are candidates for listing under the Act.
Currently, 26 species are listed in
Appendix I and 6 species in Appendix II
of CITES.

Presently, the Service has undertaken
a review of the trade in freshwater
Unionid mussels. The impetus for this
study was the 1987 proposal by

Switzerland to delist six Appendix II
species of pearly mussels in the context
of the Ten-year review of the CITES
Appendices. At the Seventh Conference
of die Parties, the Party nations re jected
a proposal to remove these six species
from Appendix II based on concerns
regarding their taxonomic and biological
status, look-alike problems with
Appendix I species and current
undocumented levels of international
trade. The Service may consider a
proposal listing additional taxa of
Unionids to make the appendices of
CITES more consistent with the listings
under the Act and also for the purposes
of look-alikes as to other presently listed
species.
At the Washington Conference in
1973, Cyrtonyx montezumae merriami
was proposed for listing in Appendix I
and C. montezumae montezumae and C.
m. mearnsi in Appendix II. At the
Second Conference of the Parties in
1979, C. m. merriami w as removed from
Appendix I and die U.S. population of C.
m. mearnsi from Appendix II. There is
question as to die validity of the
taxonomy of these two subspecies and
there is little documented trade in the
species. The United States, after
consultation with the Mexican
government, may submit a proposal to
remove these two taxa from the CITES
Appendices.
At the November 1988, Animals
Committee Meeting in the context of the
Ten-Year Review of the appendices, the
United States w as to revisit its position
of retaining the San Diego hom ed lizard
[Phymosoma coronatum blainvillii) on
Appendix II of CITES. At the Sixth
Conference of the Parties, a proposal
w as submitted to remove this taxa from
Appendix II, but the proposal was
withdrawn at the request of the United
States. The Service’s western region is
conducting a status review of this
subspecies. It has not been recorded in
trade since its original listing, but this
subspecies is threatened in the wild due
to habitat destruction. It is protected
under California State law, and it is
illegal to take specimens from the wild.
There are five recognized subspecies of
horned lizards (Phrynosoma coronatum
ssp.) occurring both in California and
Mexico (Baja Peninsula). The United
States may propose either to remove
this subspecies from Appendix II or
should the existing listing continue to be
justified to list the other subspecies on
Appendix II for look-alike reasons, thus
removing the burden of identifying die
subspecies by customs agents of
importing countries.
The Animals Committee
recommended that the Mexican bobcat
[Felis rufa escuinapae) as a species be

given further review due to difficulties in
identification and questions as to its
taxonomic validity. A similar technical
problem previously existed for the
different subspecies of margays and
ocelots described from Central and
South America until all the subspecies
were listed in Appendix I of CITES
under the specific headings. The United
States w as also to determine the volume
of trade for escuinapae. The Mexican
bobcat w as proposed for listing in
Appendix I a t the Washington
Conference (1973) and all the other
subspecies of bobcats were added to the
appendices with the inclusion of the
family Felidae in Appendix II at the First
Conference of the Parties (1977).
Presently, all subspecies of bobcats,
except escuinapae, are included in
Appendix II in order to protect other
listed feUds due to similarity of
appearance provision of paragraph 2(b)
of Article II.
The number of subspecies of bobcats
described to date comprise few
realistically distinguishable taxa that
have any real biological significance.
Several subspecies of bobcats are
recognized as existing in Mexico and
their characters and ranges overlap with
escuinapae. Besides the taxonomic
problem, there is also little documented
trade in the escuinapae. The United
States intends to consult w ith the
Mexican government, and will either
propose downlisting escuinapae from
Appendix I to II or propose listing the
entire Mexican population of bobcats
[Felis (=Lynx) rufus spp.) in Appendix
I.
At the recent Animals Committee
Meeting held in Australia (November
1990) it was recommended that the U.S.
consider listing all pronghorn antelopes
[Antilocapra americana ssp.) because of
the difficulty in distinguishing between
the listed subspecies [A. a. mexicana—
App. II; A. a. peninsularis and A. a.
sonoriensis— Appendix I) and the
unlisted subspecies [A. a. americana
and A. a. oregona). There is a possibility
that the listed taxa might enter trade
although there has been no documented
evidence that they have been traded in
the past. The United States may propose
retaining only the Mexican populations
of the presently listed subspecies. This
would include almost all populations of
the Appendix I species and the
remaining populations are protected by
its endangered listing status in the
United States. This might address
difficulties that importing countries have
in distinguishing the various subspecies.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules
Possible Plant Proposals
In 1983, all six cactus species
recognized in the latest revision of the
genus Turbinicarpus were uplisted from
Appendix II to Appendix I. Since then
the genus has been revised including a
revision which made it p art of the genus
Neolloydia, and other Turbinicarpus
taxa have been described. The Service,
in consultation with Mexico, will review
the situation to determine whether a
clarifying proposal is desirable.
In addition, the Plants Committee
(chaired by the United States) agreed to
review the listed plant taxa, especially
in Appendix I, to determine whether
there are any other listings that should
be clarified, considering current
taxonomic understanding. The Service
would appreciate any comments on this
issue.
Bred-in Captivity Proposals
Prior to the sixth meeting of the
Conference of the Parties held in
Ottawa, Canada, in July 1987, the
Management Authority of the country of
export was permitted, in accordance
with paragraph 4 of Article VII, to
designate specimens of Appendix I
species as “bred in captivity” (as
defined in resolution Conf. 2.12) for
commercial purposes and to issue
permits that allow Appendix I
specimens so designated to be traded as
Appendix II species under the terms of
Article IV. Because of the concern that
some specimens of species that were
difficult to propagate could be
improperly issued permits indicating
that they were “bred in captivity,” the
Parties determined, in resolution Conf.
6.21, that before a Management
Authority could designate species as
“bred in captivity” the Parties must first
accept that the species could be readily
bred in captivity as specified in Conf.
2.12. Those species already registered
with the CITES Secretariat as “bred in
captivity,” i.e. Lutra, lutra, Branta

sandyicensis, Anas laysanensis, Falco
cherrug, Falco jugger, Falco peregrinus,
Falco rusticolus, Lophura edwardsi,

Tragopan caboti, Crocodylus niloticus
and Crocodylus porosus, do not need
Party acceptance. Therefore,, in
accordance with Conf 6.21, proposals
documenting that the species is being
bred in captivity in accordance with
Conf. 2.12 must be submitted to and
accepted by a two-thirds vote of the
Parties before any Management
Authority can register a facility as
producing specimens as “bred in
captivity," and thereby being entitled to
export Appendix I specimens from such
captive stocks under the terms of Article
IV.
Conf. 7.10 provides format and criteria
for proposals to register the first
commercial captive-breeding operation
for an Appendix I animal species. Any
breeder who wishes to submit a
proposal under provisions of Conf. 6.21
and Conf. 7.10 should request an
annotated copy of Conf. 7.10 from the
Office of Scientific Authority, (see
ADDRESSES section)
Even after acceptance by the Parties
that a species can be bred in captivity,
the Management Authority in the
country of export is still responsible for
ensuring that each facility registered
with the Secretariat meets the criteria of
Conf. 2.12 for the species for which that
facility is being registered. Certificates
for specimens meeting “bred in
captivity” criteria will continue to be
issued for Appendix II species, and for
Appendix I species when not bred for
commercial purposes in accordance
with paragraph 5 of Article VII.
Therefore, proposals and acceptance by
the Parties will be needed only if
specimens of Appendix I species were
regularly bred for commercial purposes.
The Service proposes to consider
applying the provisions of paragraph 4
of Article VII of CITES, only to those
operations engaged in the business of
breeding Appendix I wildlife for
commercial purposes, e.g., a private U.S.
breeder engaged in the business of
breeding live animals for sale to
individuals or pet stores in other
countries, or breeding animals to obtain

4967

hides to be exported for manufacture
into leather goods.
Future Actions
The next regular meeting of the
Parties is scheduled to be held March 213,1992, in Kyoto, Japan. Any proposals
to amend Appendix I or II by the next
meeting must be submitted to the CITES
Secretariat at least 150 days prior to the
meeting (i.e., to be received by the
Secretariat by October 4,1991) and the
Service plans to send any such
proposals to the Secretariat in late
September 1991.
The Service plans to publish a Federal
Register notice in June 1991, to announce
tentative species proposals to be
submitted by the United States and to
invite information and comments on
them. Another notice in October 1991,
will announce the Service’s final
decision on species proposals submitted
by the United States to the CITES
Secretariat. In future notices, the Service
will also address the development of
U.S. negotiating positions on proposals
and issues submitted by other Party
Nations to amend Appendix I or IL
Persons having information and
comments on species that might be
potential candidates for CITES
proposals are urged to contact the
Service’s Office of Scientific Authority.
Information for proposals should relate
to the format for proposals mentioned
above.
This notice w as prepared by Dr.
Richard M. Mitchell, Staff Zoologist,
Office of Scientific Authority, under the
authority of U.S. Endangered Species
Act of 1973, as amended (18 U.S.C. 1531
et seq.)
List of Subjects in 50 CFR Part 23
Engangered and threatened species,
Exports, Imports, Treaties.
Dated: January 30,1991.

Richard N. Smith,
Acting Director, Fish and Wildlife Service.
[FR Doc. 91-2852 Filed 2-6-91; 8:45 am]
BILU N G CODE 4310-55-«

4968

Notices

Federal Register
Voi. 56, No. 26
Thursday, February 7, 1991

This section of the FED ER A L REGISTER
contains documents other than rules or
proposed rules that are applicable to the
public. Notices of hearings and
investigations, committee meetings, agency
decisions and rulings, delegations of
authority, filing of petitions and
applications and agency statem ents of
organization and functions are exam ples
Of documents appearing in this section.

DEPARTMENT OF AGRICULTURE
Agricultural Stabilization and
Conservation Service
National Conservation Review Group;
Meeting
: Agricultural Stabilization and
Conservation Service (ASÇS), USDA.
a c t i o n : Notice of meeting.
agency

The National Conservation
Review Group will meet to consider
recommendations from State and
County Conservation Review Groups
with respect to the operational features
of the Agricultural Conservation
Program, the Emergency Conservation
Program, and the Forestry Incentives
Program. Comments and suggestions
will be received from the public
concerning these conservation and
environmental programs administered
by the Agricultural Stabilization and
Conservation Service (ASÇS).
d a t e s : Meeting Date: March 7,1991,
a d d r e s s e s : Meeting Location: Room
5066 South Building, U.S. Department of
Agriculture, 14th and Independence
Avenue SW„ Washington, DC.
sum m ary:

FOR FURTHER INFORMATION CO N TACT:

Grady Bilberry, Chief, Conservation
Programs and Automation Branch,
Conservation and Environmental
Protection Division, ASCS, U.S.
Department of Agriculture, Room 4723,
South Building, Washington, DC 20013,
202-447-7333.
SUPPLEM ENTARY INFORMATION: The
National Conservation Review Group
meeting is scheduled to be held from 9
a.m. to 12:30 p.m. on March 7,1991, in
Room 5066 South Building, U.S.
Department of Agriculture, Washington,
DC. Meeting sessions will be open to the
public. The agenda will include
consideration of State and County
Review Group recommendations for
changes in the administrative '■
procedures and policy guidelines of the

ACP, ECP, and FIP. An opportunity will
be provided for the public to present
comments at the meeting on these
conservation and environmental
programs administered by ASCS.
Because of time constraints and
anticipated participation from interested
individuals and groups, comments will
be limited to not more than 5 minutes,
Individuals and groups interested in
making recommendations may also
make them in writing and submit them
to Chief, Conservation Programs and
Automation Branch, Conservation and
Environmental Protection Division,
ASCS, U.S. Department of Agriculture,
Room 4743-S, Washington, DC 20013,
The meeting may also include
discussion of current procedures,
criteria, and guidelines relevant to the
implementation of these programs.
Because of limited space available, »
persons desiring to attend the meeting
should call Mr. Grady Bilberry, (202)
447-7333 to make reservations.
Signed at Washington, DC, on January 31,
1991.

construction in inventoried toadless
lands, The current proposal does not
include actions which normally require
an Environmental Impact Statement.
Pursuant to 40 CFR 1501.4 the Flathead
National Forest plans to prepare an
Envirotimenal Assessment of the
proposed action. Based on this
Assessment, the Forest will determine
whether to prepare an Environmental
Impact Statement.
FOR FURTHER INFORMATION CO N TACT:

Earl Sutton, District Planner, Swan Lake
Ranger District, P.O. Box 370, Bigfork,
M ontana 59911 (Telephone (406) 8375081).
Dated: January 28,1991.

William L. Pederson,

District Ranger, Swan Lake Ranger District,
Flathead National Forest.
[FR Doc. 91-2900 Filed 2-6-91} 8:45 am]
BILLING CODE 3410-1141

Cabin Timber Sale, Wallowa-Whitman
National Forest, Baker County, OR

Keith D. Bjerke,

AG EN CY:

Administrator, Agricultural Stabilization and
Conservation Service.

ACTION:

[FR Doc. 91-2977 Filed 2-6-91; 8:45 amj
BELLING CODE 3410-05-M

Forest Service
Implementation of management
activities in the Van/Alder area,
Flathead National Forest, Flathead
County, MT

Forest Service, USDA.
Rescission of notice of intent to
prepare an environmental impact
statement.
agency

:

ACTION:

s u m m a r y : On May 4,1989, notice w as
published in the Federal Register [54 FR
19208] that an environmental impact
statem ent would be prepared to assess
the effects of timber harvest and road
construction in the Van Lake/Alder
Creek area of the Swan Valley located
on the Swan Lake Ranger District,
Flathead National Forest. That notice is
hereby cancelled.

Following preliminary environmental
analysis of the proposed Van/Alder
Timber Sale, the Flathead National
Forest has narrowed the scope of the
proposed action. The proposed action no
longer includes timber harvest or road

Forest Service, USDA.
Notice of intent to prepare an
environmental impact statement,
s u m m a r y : Notice is hereby given that
the Forest Service, USDA, will prepare
an environmental impact statement
(EIS) for a timber sale and related
activities. The EIS will tier to the final
EIS and Land and Resource
Management Plan (Forest Plan) for the
Wallowa-Whitman National Forest.
The specific activities include:
Harvest of timber from the area;
transportation facilities; and other
related activities.
The Forest Service proposal will be in
compliance with the direction in the
Forest Plan which provides the overall
guidance for management of the area
and the proposed project. The proposed
Cabin timber sale would be
implemented within the Elk Creek
drainage in Fiscal Year 1992 on the Pine
Ranger District. The Elk Cfeek drainage
is located approximately 15 miles
northeast of Halfway, Oregon. The
proposed project area lies within the
Little Eagle Meadows inventoried
roadless area.
The Wallowa-Whitman National
Forest invites written comments and
suggestions on the scope of the analysis
in addition to comments already

Federal Register / Vol. 56, No. 26 / T hursday, February 7, 1991 / Notices
received as a result of local public
participation activities in the past.
The agency also gives notice of the
full environmental analysis and decision
making process that will occur on the
proposal so that interested and affected
people are aware of how they may
participate and contribute to the final
decision.

Comments concerning the scope
and implementation of this proposal
must be received by March 8,1991.
ADD R ESSES: Submit written comments
and suggestions concerning this analysis
to Jon Vanderheyden, District Ranger,
Pine Ranger District, General Delivery,
Halfway, Oregon 97834.

dates;

4969

FOR FURTHER INFORMATION C O N TACT:

Direct questions about the proposed
action and EIS to Eric Twombly,
telephone (503) 742-7511.
SUPPLEM ENTARY INFORMATION CO N TACT:

The Forest Service proposal is listed in
appendix C of the Forest Plan and
includes the following description:

T imber S ale and Asso ciated R o a d s
Fiscal year
1009

Sate name

Legal
description

Cabin —.................„......................................... ...... ............... T6S, R46-47E

Acres
600

Net
MMBF
12.0

Road
miles
4.0

Abbreviations used above— T. Township; Ft Range; S: South; E: East; Descr. Description; MMBF-. Million Board Feet

Other related activities: Recrea tion
enhancement; fuels reduction; and
wildlife habitat enhancement.
This EIS will tier to the final EIS and
Forest Plan. The Forest Plan provides
goals and objectives, Forest-wide
standards and guidelines, management
area standards and guidelines, and
management area prescriptions for the
v a lo n s lands on the Forest. This
direction provides for management
practices that will be utilized during the
implementation of the Forest Plan.
The Cabin area contains about 2000
acreas. The entire area is in
Management Area 3A Which emphasize
the maintenance of the wildlife habitat.
The analysis will consider a range of
alternatives Along with the proposed
action, the analysis will consider a no
action alternative in the Cabin area.
Public participation will be especially
important at several points during the
analysis, beginning with the scoping
process (40 CFR 1501.7). The Forest
Service will be seeking information,
comments, and assistance from Federal,
State, local agencies and other
individuals or organizations who may be
interested in or affected by the proposed
project. This input will be used in
preparation of the draft EIS. The scoping
process includes:
1. Identifying potential issues.
2. Identifying major issues to be
analyzed in depth.
3. Identifying issues which have been
covered by a relevant previous
environmental analysis.
4. Exploring additional alternatives
based on themes which will be derived
from issues recognized during scoping
activities.
.
5. Identifying potential environmental
effects of this project and alternatives
(i.e., direct, indirect, and cumulative
effects and connected actions).

(E.D. Wis. 1980). Because of these court
6. Determining potential cooperating
rulings, it is very important that those
agencies and task assignments.
interested in this proposed action
7. Notifying interested publics of
participate by the close of the 45-day
opportunities to participate through
comment period so that substantive
meetings, personal contacts, or written
comments and objections are made
comment. Keeping the public informed
available to the Forest Service at a time
through the media and/or written
material (i.e., newsletters,
when it can meaningfully consider and
correspondence, etc.).
• respond to them in the final EIS.
The draft EIS is expected to be filed
To be most helpful, comments on the
with the Environmental Protection
draft EIS should be as specific as
Agency (EPA) and to be available for
possible and may address the adequacy
public review by July, 1991. EPA will
of the statement or the merit of the
publish a notice of availability of the
alternatives discussed (see Council on
draft EIS in the Federal Register.
Environmental Quality regulations for
Comment period on the draft EIS will be
implementing the procedural provisions
45 days from the date the EPA notice
of the National Environmental Policy
appears in the Federal Register. At that
Act at 40 CFR 1503.3).
time, copies of the draft EIS will be
The final EIS is scheduled to be
distributed to interested and affected
agencies, organizations, and members of completed by November, 1991. In the
final EIS, the Forest Service is required
the public for their review and comment.
to respond to comments and responses
It is very important that those interested
received during the comment period that
in the management of the Wallowapertain to the environmental
W hitman National Forest participate at
consequences discussed in the draft EIS
that time.
and applicable laws, regulations, and
The Forest Service believes it is
important to give reviewers notice of
policies considered in making the
this early stage of public participation
decision regarding the proposal. Bob
and of several court rulings related to
Richmond, Forest Supervisor, Wallowapublic participation in the
Whitman National Forest, P.O. Box 907,
environmental review process.
Baker City, Oregon 97814, is the
First, a reviewer of draft EIS must
Responsible Official. As the Responsible
structure their participation in the
Official he will decide whether to
environmental review of the proposal so
implement the proposal or a different
that it is meaningful and alerts an
alternative. The Responsible Official
agency to the reviewer’s position and
will document the decision and reasons
contentions. Vermont Yankee Nuclear
for the decision in the Record of
Power Corp. v. NRDC, 435 U.S. 519, 553
Decision. That decision will be subject
(1978). Also, environmental objections
to Forest Service Appeal Regulations (38
that could have been raised at the draft
CFR Part 217).
stage may be waived or dismissed by
Dated: January 29,1991.
the court if not raised until after
R.M. Richmond,
completion of the final EIS. City o f
Forest Supervisor.
Angoon v. Hodel, 803 F.2d. 1016,1022
(FR Doc. 91-2880 Filed 2-6-91; 8:45 am]
(9th Cir. 1986) and Wisconsin Heritages,
Inc. v. Harris, 490 F. Supp. 1334,1338
BILLING) COOE 3410-11-M

4970

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / N otices

CIVIL RIGHTS COMMISSION
California Advisory Committee;
Meeting

Notice is hereby given, pursuant to the
provisions of the Rules and Regulations
of the U.S. Commission on Civil Rights,
that the California Advisory Committee
to the Commission will convene at 10
a.m. and adjourn at 1 p.m. on February
23,1991, at the Holiday Inn, Capitol
Plaza, 300 “J” Street, Sacramento,
California 95814. The purpose of the
meeting is to discuss the state university
system project, the border violence
project and follow-up to the Santa Maria
forum.
Persons desiring additional
information, or planning a presentation
to the Committee, should contact
Committee Chairperson, Michael C.
Carney or Philip Montez, Director of the
W estern Regional Division (213) 8943437, (TDD 213/894-0508). Hearing
impaired persons who will attend the
meeting and require the services of a
sign language interpreter, should contact
the Regional Division office at least five
(5) working days before the scheduled
date of the meeting.

The meeting will be conducted
pursuant to the provisions of the rules
and regulations of the Commission.
Dated at Washington, DC, January 30,1991.
Wilfredo J. Gonzalez,

Staff Director.
[FR Doc. 91-2855 Filed 2-6-91; 8:45 amj
BILLING CODE 6335-01-M

DEPARTMENT OF COMMERCE
Bureau of Export Administration
Electronic Instrumentation Technical
Advisory Committee; Closed Meeting

A meeting of the Electronic
Instrumentation Technical Advisory
Committee will be held March 8 and 7,
1991, 9 a.m., in the Herbert C. Hoover
Building, room 1829,14th Street and
Pennsylvania Avenue NW., Washington,
DC. The Committee advises the Office
of Technology and Policy Analysis with
respect to technical questions that affect
the level of export controls applicable to
electronics and related equipment and
technology.
The Committee will meet only in
Executive Session to discuss matters
properly classified under Executive
Order 12356, dealing with the U.S. and
COCOM control program and strategic
criteria related thereto.

The Assistant Secretary for
Administration, with the concurrence of
the General Counsel, formally

determined on January 5,1990, pursuant
to section 10(d) of the Federal Advisory
Committee Act, as amended, that the
series of meetings of the Committee and
of any Subcommittees thereof, dealing
with the classified materials listed in 5
U.S.C., 552b(c)(l) shall be exempt from
the provisions relating to public
meetings found in section 10 (a)(1) and
(a)(3), of the Federal Advisory
Committee Act. The remaining series of
meetings or portions thereof will be
open to the public.
A copy of the Notice of Determination
to close meetings or portions of meetings
of the Committee is available for public
inspection and copying in the Central
Reference and Records Inspection
Facility, room 6628, U.S. Department of
Commerce, Washington, DC 20230. For
further information, contact Lee Ann
Carpenter on (202) 377-2583.
Dated: February 4,1991.
Betty Anne Ferrell,

Director, Technical Advisory Unit.
[FR Doc. 91-2982 Filed 2-6-91; 8:45 am] <
BILLING CODE 3510-DT-M

International Trade Administration
[A-122-047J
Elemental Sulphur From Canada:
Preliminary Results of Antidumping
Duty Administrative Review and Intent
To Revoke in Part
: International Trade
Administration, Import Administration,
Department of Commerce.
a c t i o n : Nptice.
agency

s u m m a r y : The Department of
Commerce ('‘the Department”) is
conducting an administrative review of
the antidumping finding on elemental
sulphur from Canada. This review
covers two producers and/or exporters
of elemental sulphur to the United
States during the period December 1,
1988, through November 30,1989. This
review indicates no dumping margin for
either firm during the review period. In
addition, we intend to revoke the finding
with respect to Petro-Canada.

We invite interested parties to
comment on these preliminary results. If
this review proceeds as expected, we
will issue final results on or before April
12,1991.
EFFECTIVE d a t e :

February 7,1991.

FOR FURTHER INFORMATION CO N TACT:

Stephanie L. Hager or Carole A.
Showers, Investigations, Import
Administration, International Trade
Administration, U.S. Department of
Commerce, 14th Street and Constitution
Avenue, NW., Washington, DC 20230;

telephone: (202) 377-5055 and 377-3217,
respectively.
SUPPLEM ENTARY INFORMATION:

Case History
On October 26,1990, the Department
published in the Federal Register (55 FR
43152) the final results of its last
administrative review of the
antidumping finding on elemental
sulphur from Canada (38 FR 35655,
December 17,1973) covering the period
December 1,1987, through November 30,
1988.
On December 29,1989, both Sulco
Chemical Ltd. (“Sulco”) and PetroCanada Resources (“Petro-Canada”)
requested that the Department conduct
an administrative review for the period
December 1,1988, through November 30,
1989. in accordance with 19 CFR
353.22(a). We published a notice of
initiation of this antidumping duty
administrative review for both
companies on February 16,1990 (55 FR
5640).
On March 7,1990, we issued
questionnaires to Petro-Canada and
Sulco. Questionnaire responses were
received from Petro-Canada and Sulco
on May 4 and 14,1990, respectively.
In November 6,1990, the Department
sent deficiency/supplemental
questionnaires to Petro-Canada and
Sulco. The deficiency/supplemental
responses from both Petro-Canada and
Sulco were received bn December 5,
1990.
The Department is conducting this
administrative review in accordance
with section 751 of the Tariff Act of
1930, as amended (“the Act”)
Scope of Review
Imports covered by this review are
shipments of elemental sulphur from
Canada. During the review period,
elemental sulphur w as classifiable
under item 415.4500 to the Tariff

Schedules o f the United States
Annotated (TSUSA). This merchandise
is currently classifiable under

Harmonized Tariff Schedule (HTS) item
2501.01.00. The TSUSA and HTS item
numbers are provided for convenience
and customs purposes. The written
description remains dispositive.
Review Period
The review period is December 1,
1988, through November 30,1989.
United States Price
For both Sulco and Petro-Canada, we
based the United States price on
purchase price, in accordance with
section 772(b) of the Act, because all
sales used for purposes of our analysis

Federal Register / VoL 56, No. 26 / Thursday, February 7, 1991 / N otices
were made directly to unrelated parties
prior to importation into the United
States.
Petro-Canada
We calculated purchase price based
on f.o.b. refinery price to unrelated
purchasers in the United States. No
adjustments were made.
Sulco
We calculated purchase price based
on either f.o.b. refinery prices with
freight charged or f.o.b. delivered prices
with freight included in the price. We
made deductions, where appropriate, for
inland freight, foreign brokerage and
handling and demurrage.
Foreign Market Value
In calculating foreign market value,
the Department used home market price
as defined in section 773 of the Act.
Petro-Canada
Home market prices were based on
f.o.b. refinery prices to unrelated
purchasers in the home market. We
made adjustments, where appropriate,
for differences in credit in accordance
With 19 CFR 353.56.
Petro-Canada reported certain sales
made to a broker as sales to the United
States. Based on the statements
provided by Petro-Canada, we have no
reason to believe that it knew the final
destination of these sales was, in fact,
the United States. Therefore, we have
reclassified these sales as home market
sales.
Sulco
We calculated home market price on
either f.o.b. refinery prices with freight
charged or f.o.b. delivered prices with
freight included in the price. We made
deductions, where appropriate, for
inland freight and demurrage. We made
adjustments, where appropriate, for
differences in credit in accordance with
19 CFR 353.56.
Preliminary Results of the Review and
Intent to Revoke in Part
As a result of our review, we
preliminarily determine that the
following margins exist for the period
December 1,1988, through November 30,
1989:
Margin
(percent)

Manufacturer/exporter
Petro-Canada.... .........
Sulco.....................

........

Petro-Canada has had sales at not
less than fair value for at least three
consecutive years. In addition, as

0.00
0.00

provided in 19 CFR 353.25(a)(2}{iii),
Petro-Canada has agreed in writing to
an immediate suspension of liquidation
and reinstatement of the finding if
circumstances develop which indicate
that Canadian elemental sulphur
exported to the United States by PetroCanada is being sold at less than fair
value. Therefore, we intend to revoke
the antidumping finding on Canadian
elemental sulphur with respect to PetroCanada. If this partial revocation is
made final, it will apply to all
unliquidated entries of this merchandise
produced by Petro-Canada and exported
to the United States entered, withdrawn
from warehouse, for consumption, on or
after December 1,1989.
The Department will issue
appraisement instructions concerning
Petro-Canada and Sulco directly to the
Customs Service upon completion of this
administrative review.
Furthermore, the following deposit
requirements will be effective upon
publication of our final results of this
administrative review for all shipments
of the subject merchandise from Canada
entered, or withdrawn from warehouse,
for consumption on or after that
publication date, as provided by section
751(a)(1) of the Act: (1) The cash deposit
rate for any shipments of this
merchandise manufactured or exported
by the remaining known manufacturers/
exporters not covered in this review will
continue to be at the rate published in
the final results of the last recent
administrative review for those firms; (2)
the cash deposit rate for Petro-Canada
and Sulco, if any, will be that
established in the final results of this
administrative review; and (3) the cash
deposit rate for any future entries of this
merchandise from a new producer and/
or exporter, not covered in this or any
previous administrative review, whose
first shipments occurred after November'
30,1989, and which is unrelated to any
previously reviewed firm will be 0.00
percent. These deposit requirements,
when imposed, shall remain in effect
until publication of the final results of
the next administrative review.
Public Comment
In accordance with 19 CFR 353.38, we
will hold a public hearing, if requested,
on March 22,1991, at 2 p.m. in room 3708
to afford interested parties an
opportunity to comment on these
preliminary results. Interested parties
who wish to request a hearing must
submit a written request within ten days
of the date of publication of this notice
in the Federal Register to the Assistant
Secretary for Import Administration,
U.S. Department of Commerce, Room B099,14th.Street and Constitution

4971

Avenue, NW., Washington, DC 20230.
Requests should contain: (1) The party’s
name, address, and telephone number;
(2) the number of participants; (3) the
reasons for attending; and (4) a list of
the issues to be discussed.
In addition, ten copies of the business
proprietary version and five copies of
the non-proprietary version of case
briefs must be submitted to the
Assistant Secretary no later than March
8.1991. Ten copies of the business
proprietary version and five copies of
the non-proprietary version of rebuttal
briefs must be submitted to the
Assistant Secretary no later than March
15.1991. At the hearing, an interested
party may make a presentation only on
arguments included in that party’s
briéfs. If no hearing is requested,
interested parties still may comment on
these preliminary results in the form of
case and rebuttal briefs. W ritten
argument should be submitted in
accordance with 19 CFR 353.38 and will
be considered if received within the
time limits specified in this notice.
This administrative review, notice,
and intent to revoke in part are in
accordance with section 751(a)(1) of the
Act, 19 CFR 353.22(c)(5), and 19 CFR
353.25.
Dated: January 31,1991.:
Ftancis J. Sailer,

Acting Assistant Secretary for Import
Administration.
[FR Doc. 91-2983 filed 2-8-91; 8:45 am]
BILUNG CODE 3510-DS-M

Applications for Duty-Free Entry of
Scientific Instruments

Pursuant to section 6(c) of the
Educational, Scientific and Cultural
Materials Importation Act of 1966 (Pub.
L. 89-651; 80 Stat. 897; 15 CFR part 301),
we invite comments on the question of
whether instruments of equivalent
scientific value, for the purposes for
which the instruments shown below are
intended to be used, are being
manufactured in the United States.
Comments must comply with
subsections 301.5(a) (3) and (4) of the
regulations and be filed within 20 days
with the Statutory Import Programs
Staff, U.S. Department of Commerce,
Washington, DC 20230. Applications
may be examined between 8:30 a.m. and
5 p.m. in room 4204, U.S. Department of
Commerce, 14th Street and Constitution
Avenue, NW., Washington^ DC.
D ocket Number: 91-001. Applicant:
University of California, San Diego, La
Jolla, CA 92093. Instrument: Rotating
Anode X-Ray Generator, Model RU200H. Manufacturer: Rigaku

4972

Federal Register / Vol. 56, No. 28 / Thursday, February 7, 1991 / Notices

Corporation, Japan. Intended Use: The
instrument will be used in a high speed
data collection system for protein
crystallography to collect data to find
the three-dimensional structure of
proteins or enzymes using x-ray
diffraction methods. Application

Received by Commissioner o f Customs:
January 8,1991.

Docket Number. 91-002. Applicant:
Williams College, Bronfman Science
Center, Williamstown, MA 01267.
Instrument: Electron Microscope with
Accessories, Model CM10/PC.
M anufacturer N.V. Philips, The
Netherlands. Intended Use: The
instrument will be used to examine
nervous tissue from vertebrate animals,
various plant cells, bacteria, and viruses
in basic research projects. Biomedical
research objectives will include: (1)
Synapse formation of regenerating
nervous tissue, (2) plant cell
ultrastructural changes in response to
stress, and (3) ultrastructural
comparisons of muscle fibers from a
variety of animals. In addition, the
instrument will be used for
demonstration and training
undergraduate students in the theory
and practice of electron microscopy as
applied to Biology. Application
Received by Commissioner o f Customs:
January 9,1991.

Docket Number: 91-003. Applicant:
Indiana University—Purdue University
at Indianapolis, 620 Union Drive,
Indianapolis, IN 46202. Instrument:
Stopped-Flow Spectrofluorimeter, Model
SF-51 with SHU-51 Sample H andling
Unit. M anufacturer Hi Tech, United
Kingdom. Intended Use: The instrument
will be used for the study of human
alcohol dehydrogenases and for
educational purposes in the courses
"Enzyme” and "Instrumentation."
Application Received by Commissioner
of Customs: January 9,1991.
Docket Num ber 91-004. Applicant:
Xavier University of Louisiana, 7325
Palmetto Street, New Orleans, LA 70125.

Instrument: Organ Bath and
Accessories, Manufacturer: Hugo Sachs
Elektronik, West Germany. Intended
Use: The instrument will be used in
experiments to determine the effects of
electrical stimuli and pharmacological
agents on isolated preparations of
smooth and cardiac muscles from rats,
mice, guinea-pig and rabbits.
Application Received by Commissioner
o f Customs: January 10,1991.
Docket N um ber 91-005. Applicant:
Oregon State University, Department of
Engineering, Corvallis, OR 97331-2302.
Instrument: Asphalt Concrete Pavement
Tester with Accessories. M anufacturer
MAP, France. Intended Use: The
instrument will be used to investigate

w hether asphaltic concrete pavement
m aterials consisting of a variety of
asphalts and aggregates have a
propensity for rutting (permanent
deformation due to traffic loading and
other environmental factors such as
moisture, asphalt embrittlement,
freezing and thawing, etc.). Various
combination of asphalt-aggregate
mixtures will be tested in the instrument
in the absence and in the presence of
w ater at two temperatures and two air
void levels (densities). Application

Received b y Commissioner o f Customs:
January 10,1991.

Docket N um ber 91-006. Applicant:
National Institute of Standards and
Technology, Gaithersburg, MD 20899.
Instrument: Excimer Multigas Laser,
Model LPX 205i. M anufacturer Lambda
Physik, GmbH, W est Germany, Intended
Use: The instrument will be used to
generate vacuum ultraviolet light for the
study of the chemistry, kinetics, and
dynamics of carbon monoxide, metal
carbonyl and other prototype molecules
at surfaces. The studies will ascertain
the rates and pathw ays of relaxation,
including chemical processes, following
a variety of surface excitations.

Application Received by Commissioner
o f Customs: January 11,1991.
Docket N um ber 91-007. Applicant:
Rutgers, the State University of New
Jersey, Department of Biomedical
Engineering, P.O. Box 909, Piscataway,
NJ 08855-0909. Instrument: Iris IR EyeTracker System, Model 6500.
Manufacturer: Skalar Medical, The
Netherlands. Intended Use: The
instrument will be used to monitor the
movement of the two eyes
simultaneously to determine strategies
used by the brain to control human
motor activity. Application Received by
Commissioner o f Customs: January 11,
1991.
Docket N um ber 91-008. Applicant:
Mississippi State University, Electron
Microscope Center, P.O. Drawer EM,
MSU, Mississippi State, MS 39762.
Instrument: Electron Microscope, Model
JEM-100CXH. Manufacturer: JEOL, Ltd.,
Japan. Intended Use: The instrument
will be used by faculty and graduate
students to carry out high resolution
research in the following disciplines:
1. Entomology—ultrastructure of the
insect nervous system, pheromone
glands and pathological changes
induced by bacteria and viruses in the
digestive system.
2. Plant Pathology and W eed
Science—ultrastructural study of plant
diseases.
3. Biological Science—ultrastructural
work on chromosomes.
4. Poultry Science—ultrastructural
work on chicken muscle and various

changes that occur in poultry due to
viral and bacterial diseases,
5.
Veterinary School—diagnostic,
clinical and research projects that deal
with pathogen, nutritional or drug
induced changes in amall and large
animals.
The instrument will also be used in
training graduate students who are M.S.
and Ph.D. candidates in many different
departments. Application Received by
Commissioner o f Customs: January 11,
1991.
Frank W. Creel,

Director, Statutory Import Programs Staff.
[FR Doc. 91-2984 Filed 2-6-91; 8:45 am]
BILU NG CODE 3510-OS-M

Minority Business Development
Agency
Business Development Center
Applications: State of Alaska

Minority Business
Development Agency, Commerce.
a c t i o n : Notice.
AG EN C Y:

SUM M ARY: The Minority Business
Development Agency (MBDA)
announces that it is soliciting
competitive applications under its
Minority Business Development Center
(MBDC) program to operate an MBDC
for approximately a 3 year period,
subject to the availability of funds. The
cost of performance for the first 12
months is $184,260 in Federal funds and
a minimum of $32,516 in non-Federal
contributions for the budget period July
1,1991 to June 30,1992. Cost-sharing
contributions may be in the form of cash
contributions, client fees for services, inkind contributions, or combinations
thereof. The MBDC will operate in the
State of Alaska Geographic Service
Area.

The I.D. number for this project will
be 10-10-91008-01.

The funding instrument for the MBDC
will be a cooperative agreement.
Competition is open to individuals, non­
profit and for-profit organizations, state
and local governments, American Indian
tribes and educational institutions.
The MBDC program is designed to
provide business development services
to the minority business community for
the establishment and operation of
viable minority businesses. To this end,
MBDA funds organizations that can
coordinate and broker public and
private resources on behalf of minority
individuals and firms; offer a full range
of management and technical
assistance; and serve as a conduit of

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / N otices
information and assistance regarding
minority business.
Applications will be evaluated
initially by regional staff on the
following criteria: (Selection Process/
Procedures as required by DAO 203-26,
Grants Administration) the experience
and capabilities of the firm and its staff
in addressing the needs of the business
community in general and, specifically,
the special needs of minority businesses,
individuals and organizations (50
points): the resources available to the
firm in providing business development
services (10 points); the firm’s approach
(techniques and methodology) to
performing the work requirements
included in the application (20 points);
and the firm’s estimated cost for
providing such assistance (20 points).
An application must receive at least 70% ;
of the points assigned to any one
evaluation criteria category to be
considered programmatically acceptable
and responsive. The selection of an
application for further processing by
MBDA will be made by the Director
based on a determination of the
application most likely to further the
purposes of the MBDC program. The
application will then be forwarded to
the Department for final processing and
approval if appropriate. The Director
will consider past performance of the
applicant on previous Federal awards.
MBDCs shall be required to contribute
at least 15% of the total project cost
through noii-federal contributions. Client
fees for billable management and
technical assistance (M&TA) rendered
must be charged by MBDCs. Based on a
standard rate of $50.00 per hour, MBDCs
will charge client fees at 20% of the total
cost for firms with gross sales of
$500,000 or less and 35% of the total cost
for firms with gross sales of over
$500,000.
The MBDC may continue to operate,
after the initial competitive year, for up
to 2 additional budget periods. Periodic
reviews culminating in year-to-date
quantitative and qualitative evaluations
will be conducted to determine if
funding for the project should continue.
Continued funding will be at the
discretion of MBDA based on such
factors as an MBDCs satisfactory
performance, the availability of funds
and Agency priorities.
c l o s i n g D A TES: The closing date for
applications is March 18,1991.
Applications must be postmarked on or
before March 18,1991.

Proposals will be reviewed by the
Atlanta Regional Office. The mailing
address for submission is: Atlanta
Regional Office, Minority Business
Development Agency, U.S. Department

of Commerce, 401 W est Peachtree Street«
NW., Suite i93Q, Atlanta, Georgia 303083516, 404/730-3300.
A pre-application conference to assist
all interested applicants will be held at
the following address and time: Minority
Business Development Agency, U.S.
Department of Commerce, 221 Main
Street, room 1280, San Francisco,
California 94105. February 28,1991 at 10
a.m.
FOR FURTHER INFORMATION CONTACT:

Xavier Mena, Regional Director, San
Francisco Regional Office at 415/7443001.
SUPPLEM ENTARY INFORMATION:

Anticipated processing time of this
aw ard is 120 days. Executive Order
12372 “Intergovernmental Review of
Federal Programs” is not applicable to
this program. Questions concerning the
preceding information, copies of
application kits and applicable
regulations can be obtained at the above
address.
Applicants who have an outstanding
account receivable with the Federal
Government may not be considered for
funding until these debts have been paid
or arrangements satisfactory to the
Department are made to pay the debt.
Section 319 of Public Law 101-121
generally prohibits recipients of Federal
contracts, grants, and loans from using
appropriated funds for lobbying the
Executive or Legislative Branches of the
Federal Government in connection with
a specific contract, grant, or loan. A
“Certification for Contracts, Grants
Loans, and Cooperative Agreements”
and the SF-LLL, “Disclosure of Lobbying
Activities” (if applicable), is required.
Applicants are subject to
Govemmentwide Debarment and
Suspension (Nonprocurement)
requirements as stated in 15 CFR part
26. In accordance with the Drug-Free
Workplace Act of 1988, each applicant
must make the appropriate certification
as a “prior condition” to receiving a
grant or cooperative agreement.
Awards under this program shall be
subject to all Federal and Departmental
regulations, policies, and, procedures
applicable to Federal assistance awards.
A false statement on the application
may be grounds for denial or
termination of funds and grounds for
possible punishment by a fine or
imprisonment.
Funding Authority for MBDA Awards:
Executive Order 11625.
11.800 Minority Business Development
(Catalog of Federal Domestic Assistance)

4973

Dated: February 1,1991.

Xavier Mena,
Regional Director, San Francisco Regional
Office. ,»
[FR Doc. 91-2882 Filed 2-6-91; 8:45 am]
BILLING CODE 3510-21-M

Business Development Center
Applications: Fresno, CA

Minority Business
Development Agency, Commerce.
a c t i o n : Notice.

AG ENCY:

s u m m a r y : The Minority Business
Development Agency (MBDA)
announces that it is soliciting
competitive applications under its
Minority Business Development Center
(MBDC) program to operate an MBDC
for approximately a 3 year period,
subject to the availability of funds. The
cost of performance for the first 12
months is $184,260 in Federal funds and
a minimum of $32,516 in non-Federal
contributions for the budget period July
1,1991 to June 30,1992. Cost-sharing
contributions may be in the form of cash
contributions, client fees for services, inkind contributions, or combinations
thereof. The MBDC will operate in the
Fresno, California Geographic Service
Area.
The I.D. number for this project will
be 09-10-91009-61.
The funding instrument for the MBDC
will be a cooperative agreement.
Competition is open to individuals, non­
profit and for-profit organizations, state
and local governments, American Indian
tribes and educational institutions.
The MBDC program is designed to
provide business development services
to the minority business community for
the establishment and operation of
viable minority businesses. To this end,
MBDA funds organizations that can
coordinate and broker public and
private resources on behalf of minority
individuals and firms; offer a full range
of management and technical
assistance; and serve as a conduit of
information and assistance regarding
minority business.
Applications will be evaluated
initially by regional staff on the
following criteria: (Selection Process/
Procedures as required by DAO 203-26,
Grants Administration) the experience
and capabilities of the firm and its staff
in addressing the needs of the business
community in general and, specifically,
the special needs of minority businesses,
individuals and organizations (50
points); the resources available to the
firm in providing business development
services (10 points); the firm’s approach

4974

Federal Register / Vol. 56, No. 20 / Thursday, February 7, 1991 / Notices

(techniques and methodology) to
performing the work requirements
included in the application (20 points);
and the firm's estimated cost for
providing such assistance (20 points).
An application must receive at least 70%
of the points assigned to any one
evaluation criteria category to be
considered programmatically acceptable
and responsive. The selection of an
application for further processing by
MBDA will be made by the Director
based on a determination of the
application most likely to further the
purposes of the MBDC program. The
application will then be forwarded to
the Department for final processing and
approval if appropriate. The Director
will consider past performance of the
applicant on previous Federal awards.
MBDCs shall be required to contribute
at least 15% of the total project cost
through non-federal contributions. Client
fees for billable management and
technical assistance (M&TA) rendered
must be charged by MBDCs. Based on a
standard rate of $50.00 per hour, MBDCs
will charge client fees at 20% of the total
cost for firms with gross sales of
$500,000 or less and 35% of the total cost
for firms with gross sales of over
$500,000.
The MBDC may continue to operate,
after the initial competitive year, for up
to 2 additional budget periods. Periodic
reviews culminating in year-to-date
quantitative and qualitative evaluations
will be conducted to determine if
funding for the project should continue.
Continued funding will be at the
discretion of MBDA based on such
factors as an MBDC’s satisfactory
performance, the availability of funds
and Agency priorities.
CLOSING D A TES: The closing date for
applications is March 18,1991.
Applications must be postmarked on or
before March 18,1991.
Proposals will be reviewed by the
Atlanta Regional Office. The mailing
address for submission is: Atlanta
Regional Office, Minority Business
Development Agency, U.S. Department
of Commerce, 401 W est Peachtree Street
NW., suite 1930, Atlanta, Georgia 303083516, 404/730-330.
A pre-application conference to assist
all interested applicants will be held at
the following address and time:'Minority
Business Development Agency, U.S.
Department of Commerce, 221 Main
Street, room 1280, San Francisco,
California 94105. February 28,1991 at 10
a.m.
FOR FURTHER INFORMATION C O N TA CT:

Xavier Mena, Regional Director, San
Francisco Regional Office at 415/7443001.

SUPPLEM ENTAR Y INFORMATION:

Anticipated processing time of this
aw ard is 120 days. Executive O rder
12372 “Intergovernmental Review of
Federal Programs” is not applicable to
this program. Questions concerning the
preceding information, copies of
application kits and applicable
regulations can be obtained at the above
address.
Applicants who have an outstanding
account receivable with the Federal
Government may not be considered for
funding until these debts have been paid
or arrangements satisfactory to the
Department are made to pay the debt.
Section 319 of Public Law 101-121
generally prohibits recipients of Federal
contracts, grants, and loans from using
appropriated funds for lobbying the
Executive or Legislative Branches of the
Federal Government in connection with
a specific contract, grant, or loan. A
“Certification for Contracts, Grants
Loans, and Cooperative Agreements”
and the SF-LLL, “Disclosure of Lobbying
Activities” (if applicable), is required.
Applicants are subject to
Govemmentwide Debarment and
Suspension (Nonprocurement)
requirements as stated in 15 CFR part
28. In accordance with the Drug-Free
W orkplace Act of 1988, each applicant
must make the appropriate certification
as a “prior condition” to receiving a
grant or cooperative agreement.
Awards under this program shall be
subject to all Federal and Departmental
regulations, policies, and, procedures
applicable to Federal assistance awards.
A false statem ent on the application
may be grounds for denial or
termination of funds and grounds for
possible punishment by a fine or
imprisonment.
Funding Authority for MBDA Awards:
Executive Order 11625.
11.800 Minority Business Development
(Catalog of Federal Domestic Assistance)
Dated: February 1,1991.
Xavier Mena,

Regional Director, San Francisco Regional
Office.
[FR Doc. 91-2883 Filed 2-6-91; 8:45 am]
BILLING CODE 3510-21 -M

Business Development Center
Applications: Los Angeles, C A

Minority Business
Development Agency.
a c t i o n : Notice.
AG ENCY:

s u m m a r y : The Minority Business
Development Agency (MBDA)
announces that it is soliciting
competitive applications under its
Minority Business Development Center

(MBDC) program to operate an MBDC
for approximately a 3 year period,
subject to the availability of funds. The
cost of performance for the first 12
months is $622,000 in Federal funds and
a minimum of $109,765 in non-Federal
contributions for the budget period July
1,1991 to June 30, i992. Cost-sharing
contributions may be in the form of cash
contributions, client fees for services, inkind contributions, or combinations
thereof. The MBDC will operate in the
Los Angeles, California Geographic
Service Area.
The I.D. number for this project will
be 09-10-91007-01.
The funding instrument for the MBDC
will be a cooperative agreement.
Competition is open to individuals, non­
profit and for-profit organizations, state
and local governments, American Indian
tribes ahd educational institutions.
The MBDC program is designed to
provide business development services
to the minority business community for
the establishment and operation of
viable minority businesses.To this end,
MBDA funds organizations that can
coordinate and broker public and
private resources on behalf of minority
individuals and firms; offer a full range
of management and technical
assistance; and serve as a conduit of
information and assistance regarding
minority business.
Applications will be evaluated
initially by regional staff on the
following criteria: (Selection Process/
Procedures as requested by DAO 20326, Grants Administration) the
experience and capabilities of the firm
and its staff in addressing the needs of
the business community in general and,
specifically, the special needs of
minority businesses, individuals and
organizations (50 points); the resources
available to the firm in providing
business development services (10
points); the firm’s approach (techniques
and methodology) to performing the
work requirements included in the
application (20 points); and the firm’s
estimated cost for providing such
assistance (20 points). An application
must receive at least 70% of the points
assigned to any one evaluation criteria
category to be considered
programmatically acceptable and
responsive. The selection of an
application for further processing by
MBDA will be made by the Director
based on a determination of the
application most likely to further the
purposes of the MBDC program. The
application will then be forwarded to
the Department for final processing and
approval if appropriate. The Director

Federal Register / VoL 56, No. 26 / Thursday, F ebruary 7, 1991 / Notices
will consider past performance of the
applicant on previous Federal awards.
MBDCs shall be required to contribute
at least 15% of the total project cost
through non-federal contributions. Client
fees for billable management and
technical assistance (M&TA) rendered
must be charged by MBDCs. Based on a
standard rate of $50.00 per hour, MBDCs
will charge client fees at 20% of the total
cost for firms with gross sales of
$500,000 or less and 35% of the total cost
for firms with gross sales of over
$500,000.
The MBDC may continue to operate,
after the initial competitive year, for up
to 2 additional budget periods. Periodic
reviews culminating in year-to-date
quantitative and qualitative evaluations
will be conducted to determine if
funding for the project should continue.
Continued funding will be at the
discretion of MBDA based on such
factors as an MBDCs satisfactory
performance, the availability of funds
and Agency priorities.
CLOSING D A TE: The closing date for
applications is March 18,1991.
Applications must be postmarked on or
before March 18,1991.
Proposals will be reviewed by the
Atlanta Regional Office. The mailing
address for submission is: Atlanta
Regional Office, Minority Business
Development Agency, U.S. Department
of Commerce, 401 W est Peachtree Street
NW., suite 1930, Atlanta, Georgia 303083516, 404/730-3300.
A pre-application conference to assist
all interested applicants will be held at
the following address and time: Minority
Business Development Agency, U.S.
Department of Commerce, 221 Main
Street, room 1280, San Francisco,
California 94105. February 28,1991 at 10
a.m.
FOR FURTHER INFORMATION CONTACT:

Xavier Mena, Regional Director, San
Francisco Regional Office at 415/7443001.
SUPPLEMENTARY INFORMATION:

Anticipated processing time of this
award is 120 days. Executive Order
12372 “Intergovernmental Review of
Federal Programs” is not applicable to
this program. Questions concerning the
preceding information, copies of
application kits and applicable
regulations can be obtained at the above
address.

Applicants who have an outstanding
account receivable with the Federal
Government may not be considered for
funding until these debts have been paid
or arrangements satisfactory to the
Department are made to pay the debt.
Section 319 of Public Law 101-121
generally prohibits recipients of Federal

contracts, grants, and loans from using
appropriated funds for lobbying the
Executive or Legislative Branches of the
Federal Government in connection with
a specific contract, grant, or loan. A
“Certification for Contracts, Grants
Loans, and Cooperative Agreements”
and the SF-LLL, “Disclosure of Lobbying
Activities" (if applicable), is required.
Applicants are subject to
Governmentwide Debarment and
Suspension (Nonprocurement)
requirements as stated in 15 CFR part
26. In accordance with the Drug-Free
W orkplace Act of 1988, each applicant
must make the appropriate certification
as a “prior condition” to receiving a
grant or cooperative agreement.
Awards under this program shall be
subject to all Federal and Departmental
regulations, policies, and, procedures
applicable to Federal assistance awards.
A false statem ent on the application
may be grounds for denial or
termination of funds and grounds for
possible punishment by a fine or
imprisonment.
Funding Authority for MBDA Awards:
Executive Order 11625.
11.800 Minority Business Development
(Catalog of Federal Domestic Assistance)
Dated: February 1,1991.

Xavier Mena,
Regional Director. San Francisco Regional
Office.
[FR Doc. 91-2884 Filed 2-8-91; 8:45 am]
BILLING CODE 3510-21-M

D E P A R M T E N T OF COMMERCE

Business Development Center
Applications: Oxnard, CA

Minority Business
Development Agency, Commerce.
a c t i o n : Notice.
AG ENCY:

The Minority Business
Development Agency (MBDA)
announces that it is soliciting
competitive applications under its
Minority Business Development Center
(MBDC) program to operate an MBDC
for approximately a 3 year period,
subject to the availability of funds. The
cost of performance for the first 12
months is $165,000 in Federal funds and
a minimum of $29,118 in non-Federal
contributions for the budget period July
1,1991 to June 30,1992. Cost-sharing
contributions may be in the form of cash
contributions, client fees for services, inkind contributions, or combinations
thereof. The MBDC will operate in the
Oxnard, California Geographic Service
Area.
The I.D. number for this project will
be 09-10-91012-01.
sum m ary:

4975

The funding instrument for the MBDC
will be a cooperative agreement.
Competition is open to individuals, non­
profit and for-profit organizations, state
and local governments, American Indian
tribes and educational institutions.

The MBDC program is designed to
provide business development services
to the minority business community for
the establishment and operation of
viable minority businesses. To this end,
MBDA funds organizations that can
coordinate and broker public and
private resources on behalf of minority
individuals and firms; offer a full range
of management and technical
assistance; and serve as a conduit of
information and assistance regarding
minority business.
Applications will be evaluated
initially by regional staff on the
following criteria: (Selection Process/
Procedures as required by DAO 203-26,
Grants Administration) the experience
and capabilities of the firm and its staff
in addressing the needs of the business
community in general and, specifically,
the special needs of minority businesses,
individuals and organizations (50
points); the resources available to the
firm in providing business development
services (10 points; the firm’s approach
(techniques and methodology) to
performing the work requirements
included in the application (20 points);
and the firm’s estimated cost for
providing such assistance (20 points).
An application must receive at least 70%
of the points assigned to any one
evaluation criteria category to be
considered programmatically acceptable
and responsive. The selection of an
application for further processing by
MBDA will be made by the Director
based on a determination of the
application most likely to further the
purposes of the MBDC program. The
application will then be forwarded to
the Department for final processing and
approval if appropriate. The Director
will consider past performance of the
applicant on previous Federal funds.
MBDCs shall be required to contribute
at least 15% of the total project cost
through non-federal contributions. Client
fees for billable management and
technical assistance (M&TA) rendered
must be charged by MBDCs. Based on a
standard rate of $50.00 per hour, MBDCs
will charge client fees at 20% of the total
cost for firms with gross sales of
$500,000 or less and 35% of the total cost
for firms with gross sales of over
$500,000.
The MBDC may continue to operate,
after the initial competitive year, for up
to 2 additional budget periods. Periodic
reviews culminating in year-to-date

4976

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

quantitative and qualitative evaluations
will be conducted to determine if
funding for the project should continue.
Continued funding will be at the
discretion of MBDA based on such
factors as an MBDC’s satisfactory
performance, the availability of funds
and Agency priorities.
CLOSING d a t e : The

closing date for
applications is March 18,1991.
Applications must be postmarked on or
before March 18,1991.

Proposals will be reviewed by the
Atlanta Regional Office. The mailing
address for submission is: A tlanta
Regional Office, Minority Business
Development Agency, U.S. Department
of Commerce, 401 W est Peachtree Street
NW., suite 1930, Atlanta, Georgia 303083516,404/730-3300.

A pre-application conference to assist
all interested applicants will be held at
the following address and time: Minority
Business Development Agency, U.S.
Department of Commerce, 221 Main
Street, room 1280, San Francisco,
California 94105, February 28,1991 at 10
a.m.
FOR FURTHER INFORMATION CONTACT:

Xavier Mena, Regional Director, San
Francisco Regional Office a t 415/7443001.
SUPPLEM ENTARY INFORMATION:

Anticipated processing time of this
aw ard is 120 days. Executive Order
12372 “Intergovernmental Review of
Federal Programs” is not applicable to
this program. Questions concerning the
preceding information, copies of
application kits and applicable
regulations can be obtained at the above
address.

Applicants who have an outstanding
account receivable with the Federal
Government may not be considered for
funding until these debts have been paid
or arrangements satisfactory to the
Department are made to pay the debt.
Section 319 of Public Law 101-121
generally prohibits recipients of Federal
Contracts, grants, and loans from using
appropriated funds for lobbying the
Executive or Legislative Branches of the
Federal Government in connection with
a specific contract, grant, or loan. A
“Certification for Contracts, Grants
Loans, and Cooperative Agreements”
and the SF-LLL, “Disclosure of Lobbying
Activities” (if applicable), is required.
Applicants are subject to
Govemmentwide Debarment and
Suspension (Nonprocurement)
requirements as stated in 15 CFR part
26. In accordance with the Drug-Free
W orkplace Act of 1988, each applicant
must make the appropriate certification
as a “prior condition” to receiving a
grant or cooperative agreement.

Awards under this program shall be
subject to all Federal and Departmental
regulations, policies, and procedures
applicable to Federal assistance awards.
A false statement on the application
may be grounds for denial or
termination of funds and grounds for
possible punishment by a fine or
imprisonment.
Funding Authority for MBDA Awards:
Executive Order 11625.
11.800 Minority Business Development
(Catalog of Federal Domestic Assistance)
Dated: February 1,1991.
Xavier Mena,

Regional Director, San Francisco Regional
Office.
[FR Doc. 91-2885 Filed 2-6-91; 8:45 am]
BILLING CODE 351G-21-M

DEPARTMENT O F COMMERCE
Business Development Center
Applications: Stockton, C A
a g e n c y : Minority Business
Development Agency, CA.
a c t i o n : Notice.

The Minority Business
Development Agency (MBDA)
announces that it is soliciting
competitive applications under its
Minority Business Development Center
(MBDC) program to operate an MBDC
for approximately a 3 year period,
subject to the availability of funds. The
cost of performance for the first 12
months is $165,000 in Federal funds and
a minimum of $29,118 in non-Federal
contributions for the budget period July
1,1991 to June 30,1992. Cost-sharing
contributions may be in the form of cash
contributions, client fees for services, inkind contributions, or combinations
thereof. The MBDC will operate in the
Stockton, California Geographic Service
Area.
SUM M ARY:

The I.D. number for this project will
be 09-10-91014-01.

The funding instrument for the MBDC
will be a cooperative agreement.
Competition is open to individuals, non­
profit and for-profit organizations, state
and local governments, American Indian
tribes and educational institutions.
The MBDC program is designed to
provide business development services
to the minority business community for
the establishment and operation of
viable minority businesses. To this end,
MBDA funds organizations that can
coordinate and broker public and
private resources on behalf of minority
individuals and firms; offer a full range
of management and technical
assistance; and serve as a conduit of

information and assistance regarding
minority business.
Applications will be evaluated
initially by regional staff on the
following criteria: (Selection Process/
Procedures as required by DAO 203-26,
Grants Administration) the experience
and capabilities of the firm and its staff
in addressing the needs of the business
community in general and, specifically,
the special needs of minority businesses,
individuals and organizations (50
points); the resources available to the
firm in providing business development
services (10 points); the firm’s approach
(techniques and methodology) to
performing the work requirements
included in the application (20 points);
and the firm’s estimated cost for
providing such assistance (20 points).
An application must receive at least 70%
of the points assigned to any one
evaluation criteria category to be
considered programmatically acceptable
and responsive. The selection of an
application for further processing by
MBDA will be made by the Director
based on a determination of the
application most likely to further the
purposes of the MBDC program. The
application will then be forwarded to
the Department for final processing and
approval if appropriate. The Director
will consider past performance of the
applicant on previous Federal awards.
MBDCs shall be required to contribute
at least 15% of the total project cost
through non-federal contributions. Client
fees for billable management and
technical assistance (M&TA) rendered
must be charged by MBDCs. Based on a
standard rate of $50.00 per hour, MBDCs
will charge client fees at 20% of the total
cost for firms with gross sales of
$500,000 or less and 35% of the total cost
for firms with gross sales of over
$500,000.
The MBDC may continue to operate,
after the initial competitive year, for up
to 2 additional budget periods. Periodic
reviews culminating in year-to-date
quantitative and qualitative evaluations
will be conducted to determine if
funding for the project should continue.
Continued funding will be at the
discretion of MBDA based on such
factors as an MBDC’s satisfactory
performance, the availability of fimds
and Agency priorities.
c l o s i n g d a t e : The closing date for
applications is March 18,1991.
Applications must be postmarked on or
before March 18,1991.
Proposals will be reviewed by the
Atlanta Regional Office. The mailing
address for submission is: A tlanta
Regional Office, Minority Business
Development Agency, U.S. Department

Federal R e g ste r / VoL 56, No. 20 / Thursday, February 7, 1991 / Notices
of Commerce, 401 W est Peachtree Street
NW., suite 1930, Atlanta, G eorgia 303083516,404/730-3300.
A pre-application conference to assist
alljnterested applicants will be held at
the following address and time; Minority
Business Development Agency, U S.
Department of Commerce, 221 Main
Street, room 1280, San Francisco,
California 94105. February 28,1991 at 10
a.m.
FOR FURTHER INFORMATION CONTACT:

Xavier Mena, Regional Director, San
Francisco Regional Office at 415/7443001.
SUPPLEM ENTARY INFORMATION:

Anticipated processing time of this
award is 120 days. Executive Order
12372 “Intergovernmental Review of
Federal Programs” is not applicable to
this program. Questions concerning the
preceding information, copies of
application kits and applicable
regulations can be obtained at the above
address.
Applicants who have an outstanding
account receivable with the Federal
Government may not be considered for
funding until these debts have been paid
or arrangements satisfactory to the
Department are made to pay the debt.
Section 319 of Public Law 101-121
generally prohibits recipients of Federal
contracts, grants, and loans from using
appropriated funds for lobbying the
Executive or Legislative Branches of the
Federal Government in connection with
a specific contract, grant, or loan, A
“Certification for Contracts, Grants
Loans, and Cooperative Agreements”
and the SF-LLL, “Disclosure of Lobbying
Activities” (if applicable), is required.
Applicants are subject to
Governmentwide Debarment and
Suspension (Nonprocurement)
requirements as stated in 15 CFR part
26. In accordance with the Drug-Free
Workplace Act of 1988, each applicant
must make the appropriate certification
as a “prior condition” to receiving a
grant or cooperative agreem ent
Awards under this program shall be
subject to all Federal and Departmental
regulations, policies, and, procedures
applicable to Federal assistance awards.
A false statement on the application
may be grounds for denial or
termination of funds and grounds for
possible punishment by a fine or
imprisonment
Funding Authority for MBDA Awards:
Executive Order 11625.
11.800 Minority Business Development
(Catalog of Federal Domestic Assistance)

Dated: February 1,1991.
Xavier Mena,

Regional Director, San Francisco Regional
Office.
[FR Doc, 91-2888 Filed 2-6-91; 8:45 am)
BILLING CODE 3510-21-M

Business Development Center
Applications: Honolulu« HI

Minority Business
Development Agency, Commerce.
a c t i o n : Notice.
AG ENCY:

The Minority Business
Development Agency (MBDA)
announces that it is soliciting
competitive applications under its
Minority Business Development Center
(MBDC) program to operate an MBDC
for approximately a 3 year period,
subject to the availability of funds. H ie
cost of performance for the first 12
months is $414,500 in Federal funds and
a minimum of $73,147 in non-Federal
contributions for the budget period July
1,1991 to June 30,1992. Cost-sharing
contributions may be in the form of cash
contributions, client fees for services, inkind contributions, or combinations
thereof. The MBDC will operate in the
Honolulu, Hawaii Geographic Service
Area.
The LD. number for this project will
be 09-10-91010-01.
The funding instrument for the MBDC
will be a cooperative agreement.
Competition is open to individuals, non­
profit and for-profit organizations, state
and local governments, American Indian
tribes and educational institutions.
The MBDC program is designed to
provide business development services
to the minority business community for
the establishment and operation of
viable minority businesses. To this end,
MBDA funds organizations that can
coordinate and broker public and
private resources on behalf of minority
individuals and firms; offer a full range
of management and technical
assistance; and serve as a conduit of
information and assistance regarding
minority business.
Applications will be evaluated
initially by regional staff on the
following criteria: (Selection Process/
Procedures as required by DAO 203-26,
Grants Administration) the experience
and capabilities of the firm and its staff
in addressing the needs of the business
community in general and, specifically,
the special needs of minority businesses,;
individuals and organizations (50
points); the resources available to the
firm in providing business development
services (10 points); the firm's approach
(techniques and methodology) to
SUMM ARY:

4977

performing the work requirements
included in the application (20 points);
and the firm's estimated cost for
providingm ch assistance (20 points).
An application must receive at least 70%
of the points assigned to any one
evaluation criteria category to be
considered programmatically acceptable
and responsive. The selection of an
application for further processing by
MBDA will be made by the Director
based on a determination of the
application most likely to further the
purposes of the MBDC program. The
application will then be forwarded to
the Department for final processing and
approval if appropriate. The Director
will consider past performance of the
applicant on previous Federal awards;
MBDCs shall be required to contribute
at least 15% of the total project cost
through non-federal contributions. Client
fees for billable management and
technical assistance (M&TA) rendered
must be charged by MBDCs. Based on a
standard rate of $50.00 per hour, MBDCs
will charge client fees at 20% of the total
cost for firms with gross sales of
$500,000 or less and 35% of the total cost
for firms with gross sales of over
$500,000.
The MBDC may continue to operate,
after the initial competitive year, for up
to 2 additional budget periods. Periodic
reviews culminating in year-to-date
quantitative and qualitative evaluations
will be conducted to determine if
funding for the project should continue.
Continued funding will be at the
discretion of MBDA based on such
factors as an MBDC’s satisfactory
performance, the availability of funds
and Agency priorities.
CLOSING DATE: The closing date for
applications is March 18,1991.
Applications must be postmarked on or
before March 18,1991.
Proposals will be reviewed by the
Atlanta Regional Office. The mailing
address for submission is: Atlanta
Regional Office, Minority Business
Development Agency, U.S. Department
of Commerce, 401 W est Peachtree Street
NW., suite 1930, Atlanta, Georgia 303083516, 404/730-3300.
A pre-application conference to assist
all interested applicants will be held at
the following address and time: Minority
Business Development Agency, U.S.
Department of Commerce, 221 Main
Street, room 1280, San Francisco,
California 94105. February 28,1991 at 10
a.m.
FOR FURTHER INFORMATION CONTACT:

Xavier Mena, Regional Director San
Francisco Regional Office at 415/7443001.

4978

Federal Register / Voi. 56, No. 26 / Thursday, February 7, 1991 / Notices

SUPPLEM ENTARY INFORMATION:

Anticipated processing time of this
aw ard is 120 days. Executive Order
12372 “Intergovernmental Review of
Federal Programs” is not applicable to
this program. Questions concerning the
preceding information, copies of
application kits and applicable
regulations can be obtained at the above
address.

Applicants who have an outstanding
account receivable with the Federal
Government may not be considered for
funding until these debts have been paid
or arrangements satisfactory to the
Department are made to pay the debt.
Section 319 of Public Law 101-121
generally prohibits recipients of Federal
contracts, grants, and loans from using
appropriated funds for lobbying the
Executive or Legislative Branches of the
Federal Government in connection with
a specific contract, grant, or loan. A
“Certification for Contracts, Grants
Loans, and Cooperative Agreements”
and the SF-LLL, “Disclosure of Lobbying
Activities" (if applicable), is required.
Applicants are subject to
Govemmentwide Debarment and
Suspension (Nonprocurement)
requirements as stated in 15 CFR part
26. In accordance with the Drug-Free
Workplace Act of 1988, each applicant
must make the appropriate certification
as a “prior condition” to receiving a
grant or cooperative agreement.

Awards under this program shall be
subject to all Federal and Departmental
regulations, policies, and, procedures
applicable to Federal assistance awards.
A false statem ent on the application
may be grounds for denial or
termination of funds and grounds for
possible punishment by a fine or
imprisonment.
Funding authority for MBDA Awards:
Executive Order 11625.
11.800 Minority Business Development
(Catalog of Federal Domestic Assistance)
Dated: February 1,1991.
Xavier Mena,

Regional Director, San Francisco Regional
Office.
[FR Doc. 91-2687 Filed 2-6-91; 8:45 am]
BILLING CODE 3510-21-M

Business Development Center
Applications: Las Vegas, NV
: Minority Business
Development Agency, Commerce.
a c t i o n : Notice.
agency

SUMM ARY: The Minority Business
Development Agency (MBDA)
announces that it is soliciting
competitive applications under its
Minority Business Development Center

(MBDC) program to operate an MBDC;
for approximately a 3 year period,
subject to the availability of funds. The
cost of performance for the first. 12:
months is $165,000 in Federal funds and
a minimum of $29,118 in.non-Federal
contributions for the budget period July
1,1991 to June 30,1992. Cost-sharing
contributions may be in the form of cash
contributions, client fees for services, inkind contributions, or combinations
thereof. The MBDC will operate in the
Las Vegas, Nevada Geographic Service
Area.
The I.D. number for this project will
be 09-10-91011-01.

The funding instrument for the MBDC
will be a cooperative agreement.
Competition is open to individuals, non­
profit and for-profit organizations, state
and local governments, American Indian
tribes and educational institutions.
The MBDC program is designed to
provide business development services
to the minority business community for
the establishment and operation of
viable minority businesses. To this end,
MBDA funds organizations that can
coordinate and broker public and
private resources on behalf of minority
individuals and firms; offer a full range
of management and technical
assistance; and serve as a conduit of
information and assistance regarding
minority business.
Applications will be evaluated
initially by regional staff on the
following criteria: (Selection Process/
Procedures as required by DAO 203-26,
Grants Administration) the experience
and capabilities of the firm and its staff
in addressing the needs of the business
community in general and, specifically,
the special needs of minority businesses,
individuals and organizations (50
points); the resources available to the
firm in providing business development
services (10 points); the firm’s approach
(techniques and methodology) to
performing the work requirements
included in the application (20 points);
and the firm’s estimated cost for
providing such assistance (20 points).
An application must receive at least 70%
of the points assigned to any one
evaluation criteria category to be
considered programmatically acceptable
and responsive. The selection Of an
application for further processing by
MBDA will be made by the Director
based on a determination of the
application most likely to further the
purposes of the MBDC program. The
application will then be forwarded to
the Department for final processing and
approval if appropriate. The Director ,
will consider past performance of the
applicant on previous Federal awards.

MBDCs shall be required to contribute
at least 15% of the total project cost
through non-federal contributions. Client
fees for billable management and
technical assistance (M&TA) rendered
must be charged by MBDCs. Based on a
standard rate of $50.00 per hour: MBDCs
will charge client fees at 20% of the total
cost for firms with gross sales of
$500,000 or less and 35% of the total cost
for firms with gross sales of over
$500,000.
The MBDC may continue to operate,
after the initial competitive year, for up
to 2 additional budget periods. Periodic
reviews culminating in year-to-date
quantitative and qualitative evaluations
will be conducted to determine if
funding for the project should continue.
Continued funding will be at the
discretion of MBDA based on such
factors as ah MBDC’s satisfactory
performance, the availability of funds
and Agency priorities.
c l o s i n g d a t e : The closing date for
applications is March 18,1991.
Applications must be postmarked on or
before March 18,1991.
Proposals will be reviewed by the
Atlanta Regional Office. The mailing
address for submission is: Atlanta
Regional Office, Minority Business
Development Agency, U.S. Department
of Commerce, 401 W est Peachtree Street
NW., suite 1930, Atlanta, Georgia 303083516, 404/730-3300.
A pre-application conference to assist
all interested applicants will be held at
the following address and time: Minority
Business Development Agency, U.S.
Department of Commerce, 221 Main
Street, room 1280, San Francisco,
California 94105, February 28,1991 at 10
a.m.
FOR FURTHER INFORMATION CONTACT:

Xavier Mena, Regional Director, San
Francisco Regional Office at 415/7443001.
SUPPLEM ENTARY INFORMATION:

Anticipated processing time of this
aw ard is 120 days. Executive Order
12372 “Intergovernmental Review of
Federal Programs” is not applicable to
this program. Questions concerning the
preceding information, copies of
application kits and applicable
regulations can be obtained at the above
address.
Applicants who have an outstanding
account receivable with the Federal
Government may not be considered for
funding until these debts have been paid
or arrangements satisfactory to the
Department are made to pay the debt.
Section 319 of Public Law 101-121
generally prohibits recipients of Federal
contracts, grants, and loans from using

F e d e ra l R eg ister / Vol. 56, No. 26 / T h u rsd ay , F eb ru ary 7, 1991 / N otices
appropriated funds for lobbying the
Executive or Legislative Branches of the
Federal Government in connection with
a specific contract, grant, or loan. A
“Certification for Contracts, Grants,
Loans, and Cooperative Agreements”
and the SF-LLL, “Disclosure of Lobbying
Activities” (if applicable), is required.
Applicants are subject to
Govemmentwide Debarment and
Suspension (Nonprocurement)
requirements as stated in 15 GFR part
26. In accordance with the Drug-Free
Workplace Act of 1988, each applicant
must make the appropriate certification
as a “prior condition" to receiving a
grant or cooperative agreement.
Awards under this program shall be
subject to all Federal and Departmental
regulations, policies, and procedures
applicable to Federal assistance awards.
A false statem ent on the application
may be grounds for denial or
termination of funds and grounds for
possible punishment by a fine or
imprisonment.
Funding Authority for MBDA Awards:
Executive Order 11625.
11.800
Minority Business Development
(Catalog of Federal Domestic Assistance)
Dated: February 1,1991.

Xavier Mena,
Regional Director, San Francisco Regional
Office.
[FR Doc. 91-2888 Filed £-6-01; 8:45 am]
BILUNG CODE 3510-21-M

Business Development Center
Applications: Portland, OR

Minority Business
Development Agency, Commerce.
a c t i o n : Notice.

AGENCY:

SUMMARY: The Minority Business
Development Agency (MBDA)
announces that it is soliciting
competitive applications under its
Minority Business Development Center
(MBDC) program to operate an MBDC
for approximately" a 3 year period,
subject to the availability of funds. The
cost of performance for the first 12
months is $165,000 in Fédéral funds arid
a minimum of $29,118 in non-Federal
contributions for the budget period July
1,1991 to June 30,1992. Cost-sharing
contributions may be in the form of cash
contributions, client fees for services, inkind contributions, or combinations
thereof. The MBDC will operate in the
Portland, Oregon Geographic Service
Area.
The I.D. number for this project will
be 10-10-91013-01.

The funding instrument for the MBDC
will be a cooperative agreement.
Competition is open to individuals, ntfn-

profit and for-profit organizations, state
and local governments, American Indian
tribes and educational institutions.
The MBDC program is designed to
provide business development services
to the minority business community for
the establishment and operation of
viable minority businesses. To this end,
MBDA funds organizations that can
coordinate and broker public and
private resources on behalf of minority indiviuals and firms; offer a full range of
management and technical assistance;
and serve as a conduit of information
and assistance regarding minority
business.
Applications w ilfbe evaluated
initially by regional staff on the
following criteria: (Selection Process/
Procedures as required by DAO 203-26,
Grants Administration) the experience
and capabilities of the firm and its staff
in addressing the needs of the business
community in general and, specifically,
the special needs of minority businesses,
individuals and organizations (50
points); the resources available to the
firm in providing business development
services (10 points); the firm’s approach
(techniques and methodology) to
performing the work requirements
included in the application (20 points);
and the firm’s estim ated cost for
providing such assistance (20 points).
An application must receive at least 70%
of the points assigned to any one
evaluation Criteria category to be
considered programmatically acceptable
and responsive. The selection of an
application for further processing by
MBDA will be made by the Director
based on a determination of the
application most likely to further the
purposes of the MBDC program. The
application will then be forwarded to
the Department for final processing and
approval if appropriate. The Director
will consider past performance of the
applicant on previous Federal awards.
MBDCs shall be required to contribute
at least 15% of the total project cost
through non-federal contributions. Client
fees for billable management and
technical assistance (M&TA) rendered
must be charged by MBDCs. Based on a
standard rate of $50.00 per hour, MBDCs
will charge client fees at 20% of the total
cost for firms with gross sales of
$500,000 or less and 35% of the total cost
for firms with gross sales of over
$500,000.
The MBDC may continue to operate,
after the initial competitive year, for up
to 2 additional budget periods. Periodic
reviews culminating in year-to-date
quantitative and qualitative evaluations
wil be conducted to determine if funding
for the project should continue.
Continued funding will be at the

4979

discretion of MBDA based on such
factors as an MBDC’s satisfactory
performance, the availability of funds
and Agency priorities.
CLOSING d a t e : The closing date for
applications is March 18,1991.
Applications must be postmarked on or
before March 18.1991Proposals will be reviewed by the
Atlanta Regional Office. The mailing
address for submission is^ Atlanta
Regional Office, Minority Business
Development Agency, N.S. Department
of Commerce, 401 W est Peachtree Street
NW., suite 1930, Atlanta, Georgia 303083516, 404/730-3300.
A pre-application conference to assist
all interested applicants will be held at
the following address and time: Minority
Business Development Agency, ILS«
Department Of Commerce, 221 Main
Street, room 1280, San Francisco,
California 94105. February 28,1991 at 10
a.m.
FOR FURTHER INFORMATION CONTACT:

Xavier Mena, Regional Director, San
Francisco Regional Office at 415/7443001.
SUPPLEM ENTARY INFORMATION:

Anticipated processing time of this
aw ard is 120 days. Executive Order
12372 “Intergovernmental Review of
Federal Programs” in not applicable to
this program. Questions concerning the
preceding inforination, copies of
application kits and applicable
regulations can be obtained at the above
address.
Applicants who have an outstanding
account receivable with the Federal
Government may not be considered for
funding until these debts has been paid
or arrangements satisfactory to thè
Department are made to pay the debt.
Section 319 of Public Law 101-121
generally prohibits recipients of Federal
contracts, grants, and loans from using
appropriated funds for lobbying the
Executive or Legislative Branches of the
Federal Government in connection with
a specific contract, grant, or loan. A
“Certification for Contracts, Grants
Loans, and Cooperative Agreements"
and the SF-LLL, “Disclosure of Lobbying
Activities’^ (if applicable), is required.
Applicants are subject to
Govemmentwide Debarment and
Suspension (Nonprocurement)
requirements as stated in 15 CFR part
26. In accordance with the Drug-Free
W orkplace Act of 1988, each applicant
must make the appropriate certification
as a “prior condition” to receiving a
grant or cooperative agreement.

Awards under this program shall be .
subject to all Federal and Departmental

4980

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

regulations, policies, and, procedures
applicable to Federal assistance awards.
A false statem ent on the application
may be ground for denial or termination
of funds and grounds for possible
punishment by a fine or imprisonment.
Funding Authority for MBDA Awards:
Executive Order 11625.
11.800
Minority Business Development
(Catalog of Federal Domestic Assistance)
Dated: February 1,1991.
Xavier Mena,

RegionalDirector, San Francisco Regional
Office.
[FR Doc. 91-2889 Filed 2-6-91; 8:45 am]
BILLING CODE 3510-21-M

National Institute of Standards and
Technology
[Docket No. 901109-0309]
Grant Funds— Materials Science and
Engineering

National Institutes of
Standards and Technology, Commerce.
ACTION: Announcing Availability of
Grant Funds—Materials Science and
Engineering.

agency:

The purpose of this notice is
to inform potential applicants that the
M aterials Science and Engineering
Laboratory, National Institute of
Standards and Technology, is continuing
its Research G rants Program to eligible
academic institutions, nonfederal
agencies, and independent and
industrial laboratories. Applications are
now being accepted for grants in the
areas of Ceramics, Metallurgy, Polymer
Sciences, Reactor Radiation Physics and
Spectroscopy. (Catalog of Federal
Domestic A ssistance No. 11.609
“Measurement and Engineering
Research Standards“). Applicants must
submit one signed original and two
copies of their proposal along with a
Grant Application, Standard Form 424
(REV. 4/88) as referenced under the
provisions of OMB Circulars A-110 and
A-102.
SUPPLEM ENTARY INFORMATION: As
authorized by section 2 of the Act of
March 3,1901, as amended (15 U.S.C.
272), the National Institute of Standards
and Technology, M aterials Science and
Engineering Laboratory, conducts
directly and through grants and
cooperative agreements, a basic and
applied research program supported by
the National Institute of Standards and
Technology, for approximately $500,000
and other agency aw ards, subject to
availability of funds. The M aterials
Science and Engineering Laboratory
Grants Program is limited to innovative
SUM M ARY:

ideas which are generated by the
proposal writer on w hat research to
carry out and how to carry it out.
Proposals will be considered for
research projects from one to three
years. W hen a proposal for a multi-year
grant is approved, funding will be
provided for only the first year of the
program. Funding for the remaining
years of the program is contingent upon
satisfactory performance and subject to
the availability of funds, but no liability
shall be assumed by the government
because of non-renewal or non­
extension of a grant. All grant proposals
submitted must be in accordance with
the program objectives listed below. For
clarity of the program objectives, you
may contact die individuals listed in
each area.
Program Objectives
L Office of Nondestructive Evaluation,
401—The primary objective is to
measure the far infrared (FIR) and midinfrared continuum absorption of
primarily nonpolar gases and liquids
found in the atmospheres of the outer
planets, in particular, gaseous and liquid
CH4, and gaseous mixtures of N2 and
CH4, and to analyze these data.
Contact: G. Bimbaum (301) 975-5727,
National Institute of Standards and
Technology, M aterials Building, room
B344, Gaithersburg, M aryland 20899.
II.
Ceramics Division, 420—Grants
and contracts to supplement division
activities in the area of ceramic
processing and sample preparation,
tribology, composites, machining,
interfacial chemistry, and
microstructural analysis.
Contact: Dr. Steve Hsu (301) 975-6119,
National Institute of Standards and .
Technology, M aterials Building, room
A256, Gaithersburg, M aryland 20899.
IB. Polymers Division, 440—
Occasionally contracts for synthesis of
polymers for research purposes, and
collaborative research efforts in which
the contractor provides mechanical,
electrical, optical, transport, or structure
data on polymeric materials.
Contact: B. Fanconi (301) 975-6770,
National Institute of Standards and
Technology, Polymers Building, room
A309, Gaithersburg, M aryland 20899.
IV. Metallurgy Division, 450—Develop
techniques to predict, measure and
control transformations, phases,
microstructures and kinetic processes in
m etals and their alloys.
Contact: J. Manning (301) 975-6157,
National Institute of Standards and
Technology, Materials Building, room
A153, Gaithersburg, Maryland 20899.
V. Metallurgy Division, 450—Develop
new and improved sensors for
nondestructive evaluation and

processes, and process models for
intelligent processing of materials.
*
C ontact H. T. Yolken (301) 975-6140, *
National Institute of Standards and
Technology, M aterials Building, room
A163, Advanced Sensing Section,
Gaithersburg, Maryland 20899.
VI.
Reactor Radiation Division, 460—
Develop cold neutron research
approaches and related physics and
materials applications.
C ontact J. Rush (301) 975-6220,
National Insitute of Standards and
Technology, Reactor Building, room
A108, Gaithersburg, Maryland 20899.
Proposal Review Process
Proposals should be submitted to the
appropriate contact person of the
programs listed above for reivew,
including external peer review, when
appropriate and recommendations on
funding. Both technical value of the
proposal and the relationship of the
work proposed to the needs of the
specific program are taken into
consideration. Applicants should allow
up to 120 days processing time.
Proposals are evaluated for technical
merit by three professionals from the
M aterials Science and Engineering
Laboratory.
Selection Criteria
The criteria to be used in evaluating
the proposals include: Rationality,
(coherence of approach, relation to
scientific/technical issues),
Qualification of Technical personnel.
Resources Availability, and Technical
Merit of Contribution. Each of these
factors will be given equal weight in the
selection process.
Paperwork Reduction Act
The Standard Form 424 mentioned in
this notice is subject to the requirements
of the Paperwork Reduction Act and it
has been approved by OMB under
Control No. 0348-0006.
Additional Requirements
All applicants must submit a
certification ensuring that employees of
the applicant are prohibited from
engaging in the unlawful manufacturing,
distribution, dispensing, possession or
use of a controlled substance at the
work site, as required by the regulations
implementing the Drug-Free W orkplace
Act of 1988,15 CFR part 26, subpart F.
Applicants are subject to the
Govemmentwide Debarment and
Suspension (Nonprocureraent)
requirements as stated in 15 CFR part
26.
Section 319 of Public Law 101-121
generally prohibits recipients of federal

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices
contracts, grants, and loans from using
appropriated funds for lobbying the
Executive or legislative Branches of the
Federal Government in connection with
a specific contract, grant, or loan. A
“Certification for Contracts, Grants,
Loans, and Cooperative Agreements”
and the SF-LLL, “Disclosure of Lobbying
Activities” (if applicable), is required to
be submitted with any application.
Applicants are remined that a false
statement may be grounds for denial, or
termination of funds and grounds for
possible punishment by fine or
imprisonment. Any recipient/applicant
who has an outstanding indebtedness to
the Department of Commerce, will not
receive a new aw ard until the debt is
paid or arrangements satisfactory to the
Department are made to pay the debt.
Awards under the Materials Science
and Engineering Laboratory Research
Program shall be subject to all Federal
and Departmental regulations, policies,
and procedures applicable to Federal
assistance awards.
The Materials Science and
Engineering Grants Program does not
direclty affect any state or local
government. Accordingly, NIST has
determined that Executive Order 12372
is not applicable to the M aterials
Science and Engineering Grants
Program.
Dated: January 31,1991.
John Lyons,

Director,
[FR Doc. 91-2928 Filed 2-6-91; 8:45 am]
BILLING CODE 35KM3-M

National Oceanic and Atmospheric
Administration
Taking and Importing of Marine
Mammals

National Marine Fisheries
Serivce (NMFS), NOAA, Commerce.
a c t io n : Notice of application for
experimental fishing permit.

agency:

Notice is hereby given that an
applicant has applied for a permit to
take marine mammals as authorized by
the Marine Mammal Protection Act of
1972 (MMPA) and the Regulations
Governing the Taking and Importing of
Marine Mammals. The public is invited
to review the application and provide
comments.
DATES: Comments are invited and must
be received no later than March l i ,
1991.
a d d r e s s e s : Comments may be mailed
to, and documents submitted with the
above application are available for
review at, the following addresses:

su m m a r y :

Director, Southwest Region; National
Marine Fisheries Services, NOAA. 300
South Ferry Street, Terminal Island, CA
90731-7415; and, Director, Office of
Protected Resources, National Marine
Fisheries Service, 1335 East-West
Highway, Silver Spring, MD 20910.
FOR FURTHER INFORMATION CONTACT:

E.C. Fullerton, Regional Director,
Southwest Region, National Marine
Fisheries Service, (213) 514-6196.
SUPPLEMENTARY INFORMATION: For
unknown reasons, yellowfin tuna tend
to congregate beneath schools of
dolphin in the eastern tropical Pacific
Ocean (ETP). Tuna fishermen have long
recognized this relationship and use the
dolphins to locate the tuna. Large purse
seine nets are set around the dolphins,
capturing the tuna and dolphins
together. Methods are employed to
release the dophins prior to bringing the
tuna onboard. In the process of release,
dophins may become entrapped and
entangled in the net and die.
The 1988 amendments to the MMPA
require the establishment of a system to
provide vessel owners and operators an
opportunity to experiment with new
equipment and procedures for the
purpose of reducing mammal mortality
and the serious injury rate. In
experimental fishing operations under'a
permit, the Secretary may waive or
modify restrictions that would otherwise
apply under the marine mammal
regulations or the terms and conditions
of the American Tunaboat Association
General Perm it The Secretary of
Commerce may not waive marine
mammal quotas or the prohibition
against setting nets around pure schools
of certain marine mammals.
The NMFS Southwest Regional Office
(NMFS/SWR) received an applicaiton
on November 26,1990, from Roland L.
Virissimo, president of Hornet
Corporation, for an experimental fishing
perm it pursuant to section
104(h)92)(B)(v) of the MMPA, and the
Regulations Governing the Taking and
Importing of Marine Mammals (50 CFR
216.24(d)(2)(viii)), to test the use of killer
whale sounds to separate dolphins from
the tuna schools below them prior to net
encirclement as a method of reducing
dolphin mortalities in the ETP tuna
purse seining operations,
A combined total of ten purse seine
sets oyer a 60-day period are planned
on offshore spotted dolphins [Stenella
attenuata) and eastern spinner dolphins
(S. longirostris) in the ETP. Fifteen
hundred spotted dolphins and 500
spinner dolphins is the estimated
maximum composition of marine
mammals for any given set. Take will be
by harassm ent for the purpose of

4981

separating the dolphins from the tuna
that travel with them. Dolphin herds will
be approached with the seiner and
helicopter as in normal fishing
operations. Prior to net deployment, a
buoy containing acoustic equipment will
be lowered from the helicopter into the
dolphin herd, and underwater
projections of killer whale [Orcinus
orca) or false killer whale [Pseudorca
crassidens) sounds will be played to
elicit escape behavior in the dolphins.
The acoustic bouy could serve as an
aggregating device for the tuna school.
Deployment of other artificial
aggregators, such as the Zinbe decoy (an
artificial whale shark), may be
attempted in an effort to hold the tuna
schools together so that they can be
encricrled with the purse seine after the
dolphins have dispersed.
Data on the experiment will be
collected by thè NMFS observer
onboard, and will be analyzed by
NMFS/SWR staff.
All statements and opinions contained
in this application are summaries of
those of the applicant and do not
necessarily reflect the views of NMFS.
Dated: February 1,1991.

Nancy Foster,
Director, Office o f Protected Resources,
National Marine Fisheries Service.
[FR Doc. 91-2921 Filed 2-6-91; 8:45 am]
BILUNG CODE 3S10-22-M

National Technical Information
Service
Prospective Grant of Exclusive Patent
License

This is notice in accordance with 35
U.S.C. 209(c)(1) and 37 CFR 404.7(a)(l)(i)
that the National Technical Information
Service (NTIS), U.S. Department of
Commerce, is contemplating the grant of
co-exclusive licenses in the United
States and certain foreign countries to
practice the invention embodied in U.S
Patent Application Serial Number 7048,148 filed May 11,1987 entitled,
"Small Peptides Which Inhibit Binding
to T4 Receptors and Act as
Immunogens” to Integra Institute, Inc.
and to Reed MacFadden (U.S.), Inc.
The prospective co-exclusive licenses
will be royalty-bearing and will comply
with the terms and conditions of 35
U.S.C. 209 and 37 CFR 404.7. The
prospective co-exclusive licenses may
be granted unless, within sixty days
from the date of this published Notice,
NTIS receives written evidence and
argument which establishes that the
grant of the license would not be
consistent with the requirements of 35

4982

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

U.S.C. 209 and 37 CFR 404.7. The
licenses will be restricted to the
therapeutic treatm ent of HIV infections.
The invention relates to synthetically
produced short peptide sequences which
inhibit HTLV-III/LAV (hereinafter
referred to as HIV) binding to human
cells by blocking receptor sites on the
cell surface, and thus preventing viral
infectivity of human T cells. The
peptides, while preventing infectivity,
also induce antibody production against
the envelop protein of the HIV virus.
Hence, these peptides also may have
use as vaccines to prevent development
of Acquired Immune Deficiency
Syndrome (AIDS). Monoclonal
antibodies to the peptides could also be
used as diagnostic agents to identify the
HIV virus. Hence, peptides and
antibodies to the peptides would have
use in preparing kits for identification of
HIV carriers or persons suffering from
AIDS.
The National Institute of Mental
Health presently is conducting and
supporting Phase I and Phase II clinical
trials of this invention in the United
States. The coexclusive license
agreements will contain concrete
diligence terms, including required
support for the ongoing phase I clinical
trials. Diligence terms also will require
the licensees to conduct and support
Phase II and Phase III trials of their own
in the U.S., and to progress toward
registration and commercial availability
in the U.S. The licenses will be
coexclusive in the U.S. In other
territories, the licenses will be exclusive
to one or the other company based upon
the achievement of specific diligence
benchmarks. This is intended to provide
incentive to the coexclusive licensees to
develop smaller, non-U.S. markets that
require separate regulatory approval
and significant additional investment.
The availability of the invention for
licensing w as published in the Federal
Register Vol. 55, No. 103, p. 21769 (1990).
A copy of the instant patent application
may be purchased from the NTIS Sales
Desk by telephoning 703/487-4650 or by
writing to Order Department, NTIS, 5285
Port Royal Road, Springfield, VA 22161.
Inquiries, comments and other
materials relating to the contemplated
license must be submitted to Papan
Devnani, Center for Utilization of
Federal Technology, NTIS, Box 1423,
Springfield, VA 22151. Properly filed
competing applications received by the
NTIS in response to this notice will be

considered as objections to the grant of
the contemplated license.
Douglas ). Campion,
Patent Licensing Specialist, Centerfor
Utilization o f Federal Technology, National
Technical Information Service, U.S.
Department o f Commerce.
[FR Doc. 91-2902 Filed 2-6-91; 8:45 am)
BILLING CO DE 3SK H M -M

Prospective Grant o f Exclusive Patent
License

This notice is in accordance with 35
U.S.C. 209(c)(1) and 37 CFR 404.7(a)(l)(i)
that the National Technical Information
Service (NTIS), U.S. Department of
Commerce, is contemplating the grant of
an exclusive license in the United States
to practice the invention embodied in
U.S. Patent No. 4,553,533 (Serial Number
6-550,040), “Intra-Urethral Prosthetic
Sphincter Valve” and its continuationin-part, Serial Number 7-530,585, “IntraUrethral Valve with Integral Spring” to
UroMed Corporation, having a place of
business in Boston, MA. The patent
rights in this invention have been
assigned to the United States of
America.
H ie prospective exclusive license will
be royalty-bearing and will comply with
the terms and conditions of 35 U.S.C. 209
and 37 CFR 404.7. The prospective
exclusive license may be granted unless,
within sixth days from the date of this
published Notice, NTIS receives written
evidence and argument which
establishes that the grant of the license
would not be consistent with the
requirements of 35 U.S.C. 209 and 37
CFR 404.7.
The patent invention is a prosthetic
urethral sphincter valve that is placed
totally within the patient's urethra, the
valve including a collapsible flexible
thin-walled annular bag member
secured in a rigid casing with flexible
retaining petals at its top end receivable
in the patient's bladder. An upstanding
annual flexible thin-walled diaphragm is
provided over an intum ed top flange on
the casing, the flange having small flow
apertures forming damping ports
communicating within the flexible bag
member. The bottom end of the bag
member is engaged with an annular
guide urged upwardly by a coiled spring
bearing on an intumed bottom flange of
the casing. The working space between
the bag member and the diaphragm is
filled with viscous grease. The bag
member has a central tubular passage
which is normally occluded or kinked by
the upward biasing force of the coiled

spring. W hen the patient exerts
sustained bladder pressure, the flexible
bag member is distended downwardly,
causing the central tubular passage to
elongate and thereby open up, enabling
it to pass urine. After urination, the
bladder pressure is released, allowing
the spring to return the bag member to
its collapsed state and restore the
occlusion of its central tubular passage,
providing positive shut-off of the valve.
Its continuation-in-part is a prosthetic
urethral sphincter valve w ith an integral
spring valve member which comprises
an elastic valve fluid passage and a
lower diaphragm portion which includes
a rolling diaphragm. The prosthetic
urethral sphincter valve is placed totally
within a patient’s urethra. The lower
diaphragm portion of the elastic valve
element includes a tapered wall
structure which provides for a spring
action which demonstrates a non-linear
force curve. The central fluid passage
assumes a kinked or closed position, or
a straighten or open position depending
upon the position of the rolling
diaphragm. Applied bladder pressure
effects the position of the rolling
diaphragm and thus the opening and
closing of the central fluid passage.
A copy of the parent patent may be
purchased for $1.50 from the
Commissioner of Patents, United States
Patent and Trademark Office, Box 9,
Washington, DC 20231.
The availability for licensing of the
parent invention w as published in the
Federal Register, Vol. 49, #49, p. 9250
(March 12,1984). The availability of its
continuation-in-part for licensing is
announced herein.
A copy of the instant patent
application may be purchased from the
NTIS Sales Desk by telephoning 1-800336-4700 (703/487-4650) or by writing to
the Order Department, NTIS, 5285 Port
Royal Road, Springfield, VA 22161.
Inquiries, comments and other
m aterials relating to the contemplated
license must be submitted to Neil L.
Mark Center for Utilization of Federal
Technology, NTIS, Box 1423, Springfield,
VA 22151.
Douglas J. Campion,

Patent Licensing Specialist, Centerfor
Utilization o f Federal Technology, National
Technical Information Service, U.S.
Department o f Commerce.
[FR Doc. 91-2903 Filed 2-6-91; 8:45 am}
BILLING C O W 39NM M -M

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 f Notices
COMMODITY FUTURES TRADING
COMMISSION
Proposed Commission Order
Concerning Issuance and Sale by
Uruguay and Subsequent Resale by
the Holders Thereof, of Units
Consisting of Certain Detachable
Rights

Commodity Future Trading
Commission.
a c t io n : Proposed Order.

agency:

SUMMARY: The Commodity Futures
Trading Commission (“Commission" or
"CFTC”) is proposing to issue an Order
pursuant to section 4c(b) of the
Commodity Exchange Act (“Act"), 7
U.S.C. 6c(b), which generally grants the
Republic of Uruguay an exemption from
the requirements of part 32 of the
Commission’s regulations. The Order
would permit Uruguay to issue and sell
units consisting of certain notes and
related but detachable rights, and permit
their subsequent resale by the holders
thereof. The bonds and rights, which
will be issued initially as a unit, are part
of the restructuring of approximately
U.S. $1.0 billion of Uruguay’s medium
and long-term commercial bank debt,
which is being undertaken in
accordance with a policy initiative of
the U.S. Department of the Treasury
popularly known as the “Brady Plan."
The rights, which are economically
equivalent to Commodity options, will
afford the holders the possibility of
receiving payments based on favorable
changes in the prices of beef, wool and
rice, which are three of Uruguay’s
principal exports, and petroleum, which
is its principal import. Interested
persons are being provided with an
opportunity to submit w ritten comments
concerning the proposed order.
d a t e s : W ritten comments must be
received by the Commission by close of
business on February 14,1991.
a d d r e s s e s : Interested persons should
submit their written views and
comments to Jean A. Webb, Secretary,
Commodity Futures Trading
Commission, 2033 K Street, NW.,
Washington, DC 20581. Telephone: (202)
254-6314.
FOR FURTHER INFORMATION CONTACT:

Ellyn S. Roth, Attorney, Office of the
General Counsel, Commodity Futures
Trading Commission, 2033 K Street,
NW., Washington, DC 20581. Telephone:
(202) 254-9880.
SUPPLEMENTARY INFORMATION: The
Commission proposes to issue the
following order:

Order Authorizing Uruguay To Issue
and Sell, and Holders Thereof To Resell,
Units Consisting of Certain Detachable
Rights
By letters to the Commodity Futures
Trading Commission dated January 21
and February 4,1991 from their counsel,
the República Oriental del Uruguay
(“Uruguay”), Banco Central de Uruguay
(“Banco Central”) and the Bank
Advisory Group for Uruguay (the “Bank
Advisory Group”), respectively, have
requested exemptive relief by order of
the Commission pursuant to section
4c(b) of the Commodity Exchange Act, 7
U.S.C. 6c(bj (“CEA" or “Act"), in
connection with (i) the proposed
issuance and sale by Banco Central of
Units (the “Units”) consisting of certain
fixed-rate debt obligations (the “Notes")
and detachable Value Recovery Rights
(the “Rights”) that, commencing 5Vfe
years after the date of issuance, will
afford the holder thereof the possibility
of receiving payments if there are
favorable changes in the relationship
between the levels of selected price
indices for certain Uruguayan exports
and imports and (ii) the resale thereof
by the holders thereof. As is more fully
described below, the Rights are
instruments the value of which is based
on changes in the price of beef, wool
and rice, which are three of Uruguay’s
principal exports, and petroleum, which
is its principal import.
In general, the Commission
understands that the Units are to be
issued as part of the restructuring of
approximately U.S. $1.0 billion of Banco
central’s medium- and long-term
external commercial bank debt and are
described in the 1990 Uruguay Financing
Program (the “Financing Program"), a
copy of which has been provided to the
Commission as an attachment to the
January 21,1991 letter. The Financing
Program sets forth the proposed terms
pursuant to which members of the
international financial community that
currently have loans outstanding to
Banco Central (the “Banks”) would
commit to the restructuring of that
outstanding indebtedness. The
Commission also understands that the
Financing Program has been designed in
accordance with a policy initiative of
the U.S. Department of the Treasury
popularly known as the “Brady Plan”
that is intended to provide a framework
for the restructuring of indebtedness of
sovereign debtor nations to the
international lending community.
Based upon the representations set
forth in the January 21,1991 letter and
the attachments thereto (including the
Financing Program), the Commission
understands the facts to be as follows:

4983

Issuance o f the Notes and Rights.
Under the Financing Program, each Bank
may exchange any or all of Banco
Central’s external medium- and long­
term debt outstanding under the
Refinancing Agreement dated as of
March 4,1988 (“Eligible Debt") held by
it for Collateralized Fixed Rate Notes
(/.a. the Notes), in an aggregate principal
amount equal to the aggregate principal
amount of the Eligible Debt exchanged
for such Notes, and associated Rights in
an aggregate amount as described
below.
Each Bank participating in the
Financing Program will also have the
option of (i) tendering all or a portion of
its Eligible Debt to Banco Central for
cash at a purchase price equal to 56% of
the principal amount of the Eligible Debt
so tendered and (ii) exchanging all or a
portion of its Eligible Debt for floating
rate Debt Conversion Notes and
purchasing New Money Notes of Banco
Central over a specified period pursuant
to the Financing Program. The Note
exchange option under the Financing
Program is designed to lessen Banco
Central’8 overall debt burden by
reducing and fixing the rate of interest
payable in respect of indebtedness held
by the Banks.
For reasons relating to the tax
treatment of the Notes and the different
income tax positions of the Banks, the
Notes will be issued in two series,
Series A and Series B. Each series will
be substantially the same except that
the Series B Notes are expected, subject
to certain conditions, to be issued at
least 30 days after the date on which the
Series A Notes are issued and will not
be transferable until at least 30 days
after they are issued. All Rights will
have identical terms regardless of
whether they are issued in connection
with Series A or Series B Notes.
Neither the Units, the Notes nor the
associated Rights will be registered
under the Securities Act of 1933, as
amended (the "Securities Act”),
although their issuance and transfer will
be subject to compliance with
applicable laws of various countries,
including U.S. securities and
commodities laws and certain
procedures as described more fully
below. The Units will be issued for the
account of Banks that either (i) are “U.S.
Persons" as defined in Regulation S
promulgated under the Securities Act
(“Regulation S"), (ii) have received the
Financing Program in the United States
or (iii) have sent their telex commitment
to the Financing Program from a location
in the United States (collectively
referred to herein as “U.S. Purchasers")
on a private placement basis exempt

4984

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

from the registration requirements of the
Securities Act pursuant to Section 4(2)
thereof as a transaction not involving
any public offering. Units to be issued
for the account of purchasers other than
U.S. Purchasers (“Non-U.S.
Purchasers”), including foreign agencies
and branches of certain U.S. banks, will
be issued under procedures consistent
with Regulation S.
Units will be issued only in registered
form. Each Note will be issued together
with a Right, which will be detached
from the associated Note and will
become separately tradeable shortly
following issuance of such Note. The
Notes and the Rights to be issued to U.S.
Purchasers will initially be issued in the
name of Citibank, N.A. as registrar (the
"Registrar”) in temporary global form
pending mandatory conversion into
definitive Notes and Rights not later
than 45 days after the issuance thereof.
Notes and Rights to be issued to NonU.S. Purchasers will be issued in
permanent global form and registered in
the name of and held by a common
depositary for Centrale de Livraison de
Valeurs Mobilières, S.A. (“Cedel”) and
for Morgan Guaranty Trust Company of
New York, Brussels office, as operator
of the Euroclear Clearance System
(“Euroclear”). This will facilitate trading
of beneficial interests in the Notes and
the Rights through the book-entry
electronic transfer systems maintained
by Euroclear in Brussels and Cedel in
Luxembourg.
While the Notes and the associated
Rights will initially be issued in global
form as a single Unit, following
detachment as described above and, in
the case of Notes and Rights initially
issued to U.S. Purchasers, conversion to
definitive certificates, all subsequent
transfers of the Notes and the Rights
will be monitored by a registrar and
transfer agents, as described below.
While such monitoring will not be
possible with respect to transfers within
Euroclear and Cedel due to operational
limitations in their clearing systems,
current procedures contemplate that in
order to obtain a definitive certificate
for a beneficial interest in the global
Right held on behalf of the Euroclear
and Cedel systems, or to transfer Rights
in or out of the Euroclear and Cedel
systems, the holder requesting such
exchange (and, in the case of a transfer
in or out of the Euroclear Cedel systems,
the transferor and the transferee) will be

required to satisfy certification
requirements as restrictive as those
which apply to transfers of Rights in
definitive form.
Payments will be made on the Rights,
through a fiscal agent located in New
York City. The Notes and the Rights will
carry the unconditional and irrevocable
full faith and credit guarantee of
Uruguay in respect of principal and
interest due on the Notes and any
payments due on the Rights,
respectively.
Application will be made to list the .
Notes on the Luxembourg Stock
Exchange. The Rights will not be listed
on any U.S. or foreign contract market,
board of trade or exchange and it is
anticipated that any transfers of the
Rights will take place in privately
negotiated transactions, not on an
organized securities or futures exchange.
Description of the Notes. Notes will
be denominated only in U.S. Dollars and
will bear interest at a fixed rate of 6.75%
per annum. The rate of interest and
amount of principal payable on the
Notes will not be based in any respect
on fluctuations in the volume or market
value of Uruguay’s beef, rice or wool
exports or its petroleum imports or any
fluctuations in the price of any similar or
other commodity price index or any
contract available on any organized
futures exchange.
Each series of Notes will be repayable
in U.S. Dollars in a single installment on
the 30th anniversary of the issue date
for such series. Notes will be issued in
minimum denominations of U.S. $250,000
or such lesser amount as may equal the
entire principal amount of Notes to be
issued to a Bank. The Notes will be
redeemable at par, at the option of
Banco Central, subject to certain
procedural and documentary conditions.
Payment in full of the principal amount
of the Notes at maturity will be secured
by a pledge by Banco Central of U.S.
Treasury zero-coupon obligations and
other senior, direct obligations of the
U.S. Treasury expressly backed by the
full faith and credit of the United States
Government. Separate collateral will be
provided for each series of Notes.
Notwithstanding any event of default
on, or acceleration of, the Notes, holders
of Notes will have no recourse to this
collateral until the final maturity date of
such Notes.
Interest will be payable on Series A
Notes on July 2,1991 and each

successive January 2 and July 2
thereafter, on Series B Notes on
December 2,1991, October 2,1992 and
each successive April 2 and October 2
thereafter and on both Series A and
Series B Notes at final maturity. A
portion of the interest payable on each
series of Notes will also be
collaterialized by the pledge by Banco
Central of cash or certain permitted
investments. The aggregate amount of
the interest collateral for the Notes of
each series will be equal to the
aggregate amount of 18 months of
interest payments due on the
outstanding Notes of such series.
The two series of Notes will be
treated separately for certain purposes
relating to, among other things, voting
and events of default as more fully
described in the Financing Program.
Description of the Rights. Each Right
will entitle the holder thereof to receive
50 separate, contingent payments
determined in accordance with the
following formual on payment dates
occurring on the 5 Vi year anniversary of
the issue date of the Series A Notes, on
January 2,1997 and on each successive
July 2 and January 2 thereafter until
January 2, 2021 (each such date being a
“Payment Date”). Each Right will be
denominated in "units” and each Bank
will receive one unit in respect to each
U.S. $250,000 in principal amount of
Eligible Debt exchanged for Notes (or
fractional amounts permitted by the
relevant documentation).
A holder of one unit of a Right will be
entitled to receive on each Payment
Date an amount equal to the lesser of
the “Formula Amount" and U.S. $3.750.
For this purpose, the “Formula Amount”
is equal to the product of U.S. $250
multiplied by the excess (if any, rounded
down to the nearest whole number) of
the “Commodity Terms of Trade Index”
over 110. The “Commodity Terms of
Trade Index” relating to each Payment
Date will be caluclated as of a monthend approximately three months prior
thereto, in respect of a “Reference
Period” of 36 months, on the basis of the
following formula:
Commodity Terms of Trade Index **

(

B.288

X

R.158 x W.554
P

)

x 100

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices
For purposes of this formula, B, R, W
and P each equals the quotient obtained
by dividing the applicable “Reference
Price” for such “Reference Period" for
beef, rice, wool and petroleum,
respectively, by the applicable “Base
Price” for beef, rice, wool and
petroleum, respectively. For this
purpose, the “Reference Price” for beef,
rice, wool and petroleum is the
arithmetic m ean of the monthly prices
published in The International M onetary
Fund’s monthly publication
International Financial Statistics for the
36 months comprising the “Reference
Period”.1 The “Base Prices” for beef,
rice, wool and petroleum are 85.5,405.5,
975.1 and 17.2, respectively, each of
which is the arithmetic mean of the
monthly prices which were so published
for such commodity for the 36-month
period commencing on ]uly 1,1987 and
ending on June 30,1990.*
Any redemption of Notes will not
affect the right of any holder to receive
payments in respect of the Rights
originally issued with such Notes.
Secondary Transfers o f the Rights.
From and after the date on which the
Notes and the Rights are issued, except
as governed by the Notes and Rights, all
ownership provisions and transfer
provisions will be governed by a Fiscal
Agency Agreement (the "Fiscal Agency
Agreement”) among Banco Central, as
Issuer, the Registrar and Citicorp
Investment Bank (Luxembourg) S.A. (a
Citibank, N.A. affiliate), as
Authenticating Agent, Transfer Agent
and Paying Agent.
In order to prevent sales of the Rights
to members of the general public, the
Rights will contain restrictions on the
manner in which they can be resold and
the types of persons and entities to
whom they may be resold. In addition,
except for book-entry transfers effected
through the Euroclear or Cedel systems,
throughout the entire 30-year term of the
Rights, all transfers of Rights will be
1 The official commodity designations used in
International Financial Statistics are Beef (US
cents/pound)—United States (New York), Rice
(US$/metric ton)—United States (New Orleans),
Wool (US cents/kilogram)—Australia—NZ (UK) 64s
and Petroleum, spot (US$/barrel)—U.K. Brent
(collectively referred to herein as the "Indices**).
* As indicated in the formula, each of die values
for beef, rice and wool are weighted exponentially
in agreed amounts in relation to each other to
reflect, in rough measure, applicable exports for
such commodities in the Uruguayan market.

subject to the following requirements
and procedures: 8
(i) The transferor of a Right will be
required to certify to the Registrar that
the transfer either (X) is a private
transaction not involving any general
solicitation or advertising or (Y) is to a
non-U.S. person (as defined in
Regulation S) as a result of an offer and
sale made in an offshore transaction (as
defined in Regulation S), without any
directed selling efforts (as defined in
Regulation S); and
(ii) The transferee of a Right will be
required to certify to the Registrar, in the
case of a private transaction, that:
(1) It is an Eligible Institutional
Investor, which for this purpose will be
defined to be:
(a) Any bank, as defined in Section
3(a)(2) of the Securities Act;
(b) Any insurance company, as
defined in Section 2(13) of the Securities
Act;
(c) Any investment company
registered under the Investment
Company Act of 1940, as amended; or
(d) Any corporation with assets of not
less than U.S. $100,000,000;
(2) It is purchasing such Right for its
own account and not with a view to any
distribution thereof within the meaning
of the Securities Act; and
(3) It will not sell or transfer the Right
transferred to it except:
(a) In a private transaction not
requiring registration under the
Securities Act (not involving any general
solicitation or advertising) to an Eligible
Institutional Investor and in which it (as
transferor) and its transferee provide the
certificates described herein to the
Registrar; or
(b) In a transaction made in
compliance with Rule 904 of Regulation
S to a person that is not a U.S. person
(as defined in Regulation S) and is not
purchasing the Right on behalf of a U.S,
person and in which the certificates
described herein are provided to the
Registrar as above;
and, in the case of clauses (1), (2), or (3),
to acknowledge that the Rights are not
registered under the Securities Act and
contain a restrictive legend to that effect
and further to the effect that transfers of
the Rights in violation of the terms and
conditions of the Rights and of the Fiscal
Agency Agreement may constitute a
8 These requirements and procedures apply in the
context of any transfer of a Right regardless of
whether such transfer includes an associated Note.

4985

violation of applicable laws, including
the U.S. commodities laws (the
“Restrictive Legend”);
(iii) The transferee of a Right will be
required to certify, in the case of an
offshore transfer of a Right to a non-U.S.
Person, that:
(1) It is not a U.S. Person, as defined
in Regulation S, and is not purchasing
such Right on behalf of any U.S. person;
(2) It is purchasing such Rights for its
own account and not with a view to any
distribution thereof within the meaning
of the Securities Act; and
(3) It will not sell or transfer the
Rights except in the circumstances, and
upon delivery of the certificates,
describned in clauses (4) (a) and (b)
above;
and to acknowledge that the Rights are
not registered under the Securities Act
and contain the Restrictive Legend;
(iv) Under no circumstances will the
Registrar deliver a Right not bearing the
Restrictive Legend; and
(v) In order to assure compliance with
the foregoing restrictions, the Registrar
will be contractually required to have
received the appropriate certificate or
certificates in order to recognize any
transfer of a Right. „
With respect to transfers of beneficial
interests in the permanent global Rights
within the Euroclear and Cedel bookentry systems, transferors and
transferees will be required to furnish
documentation to each other certifying
compliance with the limitations on
secondary transfers described above.
Book-entry transfers of beneficial
interests in any permanent global Right
within the Euroclear and Cedel systems
cannot be conditioned on receipt of
certifications in the manner required for
transfers of definitive Rights. However,
in order to obtain a definitive Right in
exchange for a beneficial interest in the
global Right held for the Euroclear and
Cedel systems or to effect a transfer of a
Right in or out of Euroclear and Cedel,
the holder requesting such exchange (or,
in the case of such a transfer, the
transferor and transferee) will be
required to comply with die certification
requirements described above as
applicable to transfers of definitive
Rights.
Based on these facts, and in
recognition of the public policy
objectives served in facilitating the
restructuring of sovereign debt in the
international financial community, and

4986

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / N otices

the fact that the issuer of the Units
consisting of certain Notes and Rights is
a sovereign nation, the Commission
finds that it would not be contrary to the
public interest should the Units be
issued and sold by Uruguay or be resold
by the holders thereof, as described
above. Accordingly, pursuant to its
authority set forth in section 4c(b) of the
Commodity Exchange Act, 7 U.S.C.
6c(b), the Commission hereby exempts
from the provisions of part 32 of the
Commission’s rules (except for the
requirements of Commission Rules 32.8
and 32.9,17 CFR 32.8 and 32.9) the
issuance and sale by Uruguay of the
Units consisting of the Notes and
associated Rights, and the resale of the
Notes and/or associated Rights by the
holders thereof, as described above.
This order does not excuse Uruguay,
the Banks or other holders of the Rights
from complying with any otherwise
applicable provisions of the Commodity
Exchange Act or regulations thereunder,
and is based upon the representations
made in the January 21 and February 4,
1991 letters to the Commission and the
attachm ents thereto. Any different,
changed, or omitted facts might require
the Commission to reach different
conclusions.
It is so ordered.
Authority: Section 4c(b) of the Commodity
Exchange Act 7 U.S.C. 8c(b).
Issued by the Commission in Washington,
DC on February 5,1991.
Jean A Webb,

Secretary to the Commission.
[FR Doc. 92-3071 Filed 2-5-91; 8:45 am]
BRUNO CODE 6351-06-M

DEPARTMENT OF DEFENSE
Department of the Navy
Concept Development &
Commercialization Corp., et al.; Intent
to Grant Co-Exclusive License
AGENCY: Department of the Navy, DoD.
ACTION: Intent to grant co-exclusive

patent licenses; Concept Development &
Commercialization Corp., and
Brunswick Biomedical Technologies,
Inc.
s u m m a r y : The Department of the Navy
hereby gives notice of its intent to grant
revocable, nonassignable, co-exclusive
licenses in the United States to practice
the Government-owned inventions
described in U.S. Patent No. 4,685,462,
“Method and A pparatus for Treatment
of Hypothermia by Electromagnetic
Energy”, issued August 11,1987, to
Concept Development &
Commercialization Corp., and to

Brunswick Biomedical Technologies,
Inc.
Anyone wishing to object to the grant
of these licenses has 60 days from the
date of this notice to file written
objections along with supporting
evidence, if any. W ritten objections are
to be filed with the Office of the Chief of
Naval Research (Code OOCCIP),
Arlington, Virginia 22217-5000.
DATES: February 7,1991.
FOR FURTHER INFORMATION CONTACT:

Mr. R.J. Erickson, Staff Patent Attorney,
Office of the Chief of Naval Research
(Code OOCCIP), 800 N. Quincy Street,
Arlington, Virginia 22217-5000,
telephone (703) 696-4001.
Dated: January 28,1991.
W.T. Baucino,

LT, JAGC. USNR, Alternate Federal Register
Liason Officer.
[FR Doc. 91-2904 Filed 2-6-91; 8:45 am]
BILLING CODE 3810-AE-M

DEPARTMENT OF EDUCATION
National Council on Vocational
Education; Meeting

National Council on Vocational
Education, Education.
ACTION: Notice of public meeting of the
Council.
AGENCY:

SUMMARY: This notice sets forth the
proposed agenda of a forthcoming
meeting of the National Council on
Vocational Education. This notice
describes the functions of the Council.
Notice of this meeting is required under
section 10(a)(2) of the Federal Advisory
Committee Act. This document is
intended to notify the general public of
their opportunity to attend.
d a t e s AND TIME: February 25,1991
(Ambassador Room).
ADDRESSES: Embassy Suites Hotel, 1250
22nd St. NW., Washington, DC 20037,
(202) 857-3388.
FOR FURTHER INFORMATION CONTACT:

Dr. Joyce Winterton, Executive Director,
330 C Street SW., MES—Suite 4080,
Washington, DC 20202-7580, (202) 7321884.
SUPPLEMENTARY INFORMATION: The
National Council on Vocational
Education is established under section
431 of the Carl D. Perkins Vocational
Education Act, Public Law 98-524, 5
U.S.C.A. appendix 2.
The Council is established to:
(A)
Advise the President, the
Congress, and the Secretary of
Education concerning the administration
of, preparation of general regulations
for, and operation of, vocational

education programs supported with
assistance under this title;
(B) Review the administration and
operation of vocational education
programs under this title, including the
effectiveness of such programs in
meeting the purposes for which they are
established and operated, make
recommendations with respect thereto,
and make annual reports of its findings
and recommendations (including
recommendations for changes in the
provisions of this title) to the Secretary
for transmittal to Congress; and
(C) Conduct independent evaluations
of programs carried out under this title
and publish and distribute the results
thereof.
The meeting of the Council is open to
the public. The proposed agenda
includes: Welcoming new members,
Council Reports, and reports on: (1)
National Governors’ Association
“Excellence at Work", (2) Hispanic
Education Issues, (3) Current Initiatives
of State Councils, and (4) a presentation
on "America’s Choice: High Skill or Low
W ages”. Initiatives of the Council will
also be discussed. Records are kept of
all Council proceedings, and are
available for public inspection at the
above address from the hours of 9 a.m.
to 4:30 p.m.
Dated: February 1,1991.
Joyce Winterton,

Executive Director.
[FR Doc. 91-2905 Filed 2-6-91; 8:45 am]
BiLUNG CODE 4000-01-41

DEPARTMENT OF ENERGY
Energy Information Administration
Agency Information Collections Under
Review by the Office of Management
and Budget

Energy Information
Administration, DOE.
ACTION: Notice of requests submitted for
review by the Office of Management
and Budget.
AGENCY:

SUMMARY: The Energy Information
Administration (ELA) has submitted the
energy information collection(s) listed at
the end of this notice to the Office of
Management and Budget (OMB) for
review under provisions of the
Paperwork Reduction Act (Pub. L 96511,44 U.S.C. 3501 et seq.). The listing
does not include collections of
information contained jn new or revised
regulations which are to be submitted
under section 3504(h) of the Paperwork
Reduction Act, nor management and
procurement assistance requirements

Federal Register / Vol. 56, No. 26 / T h u rsd ay , F eb ru ary 7, 1991 / Notices
collected by the Department of Energy
(DOE).
Each entry contains the following
information: (1) The sponsor of the
collection (the DOE component or
Federal Energy Regulatory Commission
(FERC)): (2) Collection number(s); (3)
Current OMB docket number (if
applicable); (4) Collection title; (5) Type
of request, e.g., new revision, extension,
or reinstatement; (6) Frequency of
collection; (7) Response obligation, i.e.,
mandatory, voluntary, or required to
obtain or retain benefit; (8) Affected
public; (9) An estimate of the number of
respondents per report period; (10) An
estimate of the number of responses per
respondent annually; (11) An estimate of
the average hours per response; (12) The
estimated total annual respondent
burden; and (13) A brief abstract
describing the proposed collection and
the respondents.
DATES:

Comments must be filed March

11,1991. If you anticipate that you will

be submitting comments but find it
difficult to do so within the time allowed
by this notice, you should advise the
OMB DOE Desk Officer listed below of
your intention to so as soon as possible.
The Desk Officer may be telephoned at
(202) 395-3084. (Also, please notify the
EIA contact listed below.)
a d d r e s s e s : Address comments to the
Department of Energy Desk Officer,
Office of Information and Regulatory
Affairs, Office of Management and
Budget, 726 Jackson Place NW.,
Washington DC 20503. (Comments
should also be addressed to the Office
of Statistical Standards at the address
below).
FOR FURTHER INFORMATION AND COPIES
OF RELEVANT MATERIALS CONTACT:

Jay Casselberry, Office of Statistical
Standards, (EI-73), Forrestal Building,
U.S. Department of Energy, Washington,
DC 20585. Mr. Casselberry may be
telephoned at (202) 586-2171.
SUPPLEMENTARY INFORMATION: The
energy information collection submitted
to OMB for review was:

1. Federal Energy Regulatory
Commission
2. FERC-592
3.1902-0157
4. FERC-592, Marketing Affiliates of
Interstate Pipelines
5. Extension

6. On Occasion, Monthly, Quarterly
7. Mandatory

8. Business or other for-profit
9. 55 respondents
10.12 responses
11.10.6 hours per response
12. 6,996 hours
13. The information filed is to support
the monitoring of pipeline marketing

affiliate activity so as to deter undue
discrimination by pipeline companies in
favor of marketing affiliates and protect
non-affiliates from discrimination.
Authority: Sec. 5(a), 5(b), 13(b), and 52, Pub.
L. 93-275, Federal Energy Administration Act
of 1974,15 U.S.C. 764(a), 764(b), 772(b), and
790a.
Issued in Washington, DC January 31,1991.
Yvonne M. Bishop,

Director Statistical Standards Energy
Information Administration.
[FR Doc. 91-2990 Filed 2-6-91; 8:45 am]
BiLLING CODE 6450-01-M

Federal Energy Regulatory
Commission
[Project N os. 6555-002, et a!.]

Hydroelectric Applications (John A.
Webster, Jr., et al); Applications

Take notice that the following
hydroelectric applications have been
filed with the Commission and are
available for public inspection.
1 a. Type o f Application: Surrender of
a 5 MW or less Exemption.
b. Project No.: 6555-002.
c. Date filed: December 13,1990.
d. Applicant- John A. Webster, Jr.
e. Name o f Project: Stony Brook.
f Location: Murphy Creek, Napa
County, California.
g. Filed Pursuant to: Federal Power
Act, 16 U.S.C. 791(a)-825(r).
h. Applicant Contact:
Mr. John A. Webster, Jr., 6440 Wild
Horse Valley Road, Napa, CA
94558, (707) 255-8258.
i. FERC Contact: Mr. Surender M.
Yepuri, (202) 219-2847.
j. Comment Date: March 14,1991.
k. Description of Proposed Action:
The exemptee requests surrender of its
exemption, stating operations are
terminated since planned microhydroelectric power technology
development work is complete and the
seasonal stream w ater flow is
insufficient to make it worthwhile to
continue operations. The existing project
consists of a 4-foot-high, 3 V2-foot-long
masonary diversion; a 3-inch-diameter,
800-foot-long penstock; a powerhouse
containing a 2-kW generating unit; and a
transmission line, all located on
Applicant’s land.
l. This notice also consists of the
following standard paragraphs: B, C,
and D2.
2 a. Type o f Application: Transfer of
License.
b. Project No.: 10852-001.
c. Date filed: December 31,1990.

4987

d. Applicant: Ace Ranch Associates
(transferor) and Richard Bertea
(transferee).
e. Name of Project: Ace Ranch Project.
f. Location: On the W est Fork Carson
River in Alpine County, California, near
the towns of Woodfords and
Paynesville. T.11N, R.20E Mt. Diablo
Meridian and Base.
g. Filed Pursuant to: Federal Power
Act, 16 U.S.C. 791(a), 825(r).
h. Applicant Contact:
Arthur E. Hall, General Partner, Ace
Ranch Associates, P.O. Box 1479,
Minden, NV 89423, (702) 782-5174
Mr. Richard Bertea, c/o Parker
Hannifan, 18321 Jamboree, Irvine,
CA 92715.
i. Commission Contact: Ms. Deborah
Frazier-Stutely at (202) 219-2842.
j. Comment Date: April 16,1991.
k. Description o f Proposed Action: On
November 30,1990, a minor constructed
license w as issued to Ace Ranch
Associates. Ace Ranch Associates
proposes to transfer the license to
Richard Bertea, a citizen of the United
States of America. The licensee certifies
that it has fully complied with the terms
and conditions of its license, and
obligates itself to pay all annual charges
accrued under the license to the date of
transfer. The transferee accepts all the
terms and conditions as though it were
the original licensee.
l. This notice also consists of the
following standard paragraphs: B and C.
3 a. Type o f Application: Preliminary
Permit.
b. Project No.: 10990-000.
c. Date filed: August 8,1990.
d. Applicant: City of Redding,
California.
e. Name o f Project: Spring Creek.
/. Location: On lands administered by
the Bureau of Land Management, the
U.S. Forest Service, and the Bureau of
Reclamation (BOR) on Spring Creek and
the BOR’s Keswick Reservoir on the
Sacramento River, in Shasta County,
California. Township 33 N Range 5 W.
g. Filed Pursuant to: Federal Power
Act, 16 U.S.C. 791(a)-825(r).
h. Applicant Contact:
Mr. Robert M. Chistofferson, City of
Redding, 760 Parkview Avenue,
Redding, CA 96001-3396, (916) 2244300.
i. FERC Contact: Michael Spencer at
(202) 219-2846.
j. Comment Date: April 9,1991.
k. Description of Project: The
proposed pump storage project would
consist of: (1) A storage reservoir on
Spring Creek formed behind a 185-foothigh dam with a surface area of 55
acres, a total storage capacity of 4,019

4988

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

acre-feet, and a normal surface
elevation ranging between 1,820 and
1,758 feet msl; (2) a 11-foot-diameter,
3,390-foot-long penstock; (3) a
powerhouse/pump station containing
motor/genera tor and pump/turbine
units with a total installed capacity of
104 MW and producing an estimated
average annual generation of 183 GWh;
(4) two transmission lines; Route A
would be 7.5-mile8-long to the City’s
substation and Route B would be 5.8miles-long to W estern Area Power
Administration’s substation. The project
would pump w ater from the BOR’s
Keswick Reservoir on the Sacramento
River to supplement Spring Creek’s
inflow to the proposed reservoir. Stored
w ater would be released for power
generation during peak demand periods.
No new access road will be needed to
conduct the studies. The applicant
estimates that the cost of the studies to
be conducted under the preliminary
permit would be $300,000.
l. Purpose o f Project: Project power
would be sold or used by the City.
m. This notice also consists o f the
following standard paragraphs: A5, A7,
A9, A10, B, C, and D2.
4 a. Type o f Application: Preliminary
Perm it
b. Project No.: 11062-000.
c. Dated filed: December 17,1990.
d. Applicant: Magic Valley Hydro.
e. Name o f Project: Lower Cedar
Creek.
f Location: On Lower Cedar Creek
and an unnamed tributary in Custer
County, Idaho. The project would be
located within Challis National Forest
and on land administered by the Bureau
of Land Management; Townships 7 and
8 North, Range 24 West, Boise Meridian.
g. Filed Pursuant to: Federal Power
Act, 16 U.S.C. 791(a)-825(r).
h. Applicant Contact:
Mr. Dick Graves, Magic Valley Hydro,
2082 & 2000 E., Gooding, ID 83330,
(208) 934-5180.
i. FERC Contact: Mr. James Hunter,
(202) 219-2839.
j. Comment Date: April 1,1991.
k. Description o f Project: The
proposed project would consist of: (1)
two concrete inlet structures at
elevation 8,000 feet; (2) a 18-inchdiameter, 6,600-foot-long penstock from
the inlet on Lower Cedar Creek; (3) a 20inch-diameter, 2,650-foot-long penstock
from the inlet on the tributary; (4) a 26inch-diameter, 26,400-foot-long penstock;
(5) a powerhouse at elevation 6,000 feet
containing a generating unit rated at
2,660 kilowatts and producing an
average annual output of 14.6
gigawatthours; (6) a 1-mile-long tailrace
dispersing flows into underlying gravel;

and (7) an 8,200-foot-long, 12.5-kilovolt
transmission line connecting to an
existing Utah Power & Light Company
line. The applicant estimates the cost of
the work to be performed under the
permit to be between $50,000 and
$60,000.
1. Purpose of Project: Power generated
would be sold to Utah Power & Light
Company.
777 . This notice also consists of the
following standard paragraphs: A5, A 7,
A9, A10, B, C, and D2.
5 a. Type of Application: Preliminary
Permit.
b. Project No.: 11070-000.
c. Dated filed: December 31,1990.
d. Applicant: Paul C. Rizzo
Associates, Inc.
e. Name of Project: Tionesta Dam
Hydro Project.
f. Location: On the Tionesta Creek, in
Tionesta Township, Forest County,
Pennsylvanna.
g. Filed Pursuant to: Federal Power
Act, 16 U.S.C. 791(a)-825{r).
h. Applicant Contact: Marcy C. Golato
(tag), (202) 219-2804.
i. FERC Contact:
Robert D. Rizzo, Paul C. Rizzo
Associates, Inc., 300 Oxford Drive,
Monroeville, PA 15146, (412) 8569700.
j. Comment Date: March 4,1991.
k. Competing Application: 11048-000.
l. D ated Filed: November 13,1990.
777. Description o f Project: The
proposed project would utilize the
existing Department of the Army,
Pittsburgh District Corps of Engineer’s
dam and would consist of: (1) A
proposed penstock approximately 19
feet in diameter and 11,875 feet long; (2)
a proposed powerhouse containing a
new turbine-generator set at a total
installed capacity of 6 megawatts; (3) a
proposed tailrace approximately 750 feet
long; (4) a proposed transmission line
predicted to be about 200 feet long at
34.5 kilovolts; and (5) appurtenant The
proposed project would have an average
annual generation of about 20,000,000
kilowatthours and the estimated cost of
the studies under permit is $150,(XX).
77. This notice also consists of the
following standard paragraphs: A8, A10,
B, C, and D2.
Standard Paragraphs
A5. Preliminary Permit—Anyone
desiring to file a competing application
for preliminary permit for a proposed
project must submit the competing
application itself, or a notice of intent to
file such an application, to the
Commission on or before the specified
comment date for the particular
application (see 18 CFR 4.36).

Submission of a timely notice of intent
allows an interested person to file the
competing preliminary permit
application no later than 30 days after
the specified comment date for the
particular application. A competing
preliminary permit application must
conform with 18 CFR 4.30(b) (1) and (9)
and 4.36.
A7. Preliminary Permit—Any
qualified development applicant
desiring to file a competing development
application must submit to the
Commission, on or before the specified
comment date for the particular
application, either a competing
development application or a notice of
intent to file such an application.
Submission of a timely notice of intent
to file a development application allows
an interested person to file the
competing application no later than 120
days after the specified comment date
for the particular application. A
competing license application must
conform with 18 CFR 4.30(b) (1) and (9)
and 4.36.
A8. Preliminary Permit—Public notice
of the filing of the initial preliminary
permit application, which has already
been given, established the due date for
filing competing preliminary permit and
development applications or notices of
intent Any competing preliminary
permit or development application or
notice of intent to file a competing
preliminary permit or development
application must be filed in response to
an in compliance with the public notice
of the initial preliminary permit
application. No competing applications
or notices of intent to file competing
applications may be filed in response to
this notice. A competing license
application must conform with 18 CFR
4.30(b) (1) and (9) and 4.36.
A9. Notice of intent—A notice of
intent must specify the exact name,
business address, and telephone number
of the prospective applicant, include an
unequivocal statement of intent to
submit, if such an application may be
filed, either (1) a preliminary permit
application or (2) a development
application (specify which type of
application), and be served on the
applicant^) named in this public notice.
A 10. Proposed Scope o f Studies under
Permit—A preliminary permit, if issued,
does not authorize construction. The
term of the proposed preliminary permit
would be 36 months. The work proposed
under the preliminary permit would
include economic analysis, preparation
of preliminary engineering plans, and a
study of environmental impacts. Based
on the results of these studies, the
Applicant would decide whether to

Federal Register / Vol. 56, No. 26 / T h u rsd ay , F eb ru ary 7, 1991 / N otices
proceed with the preparation of a
development application to construct
and operate the project.
B. Comments, Protests, or Motions to
Intervene—Anyone may submit
comments, a protest, or a motion to
intervene in accordance with the
requirements of the Rules of Practice
and Procedures, 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.
C. Filing and Service o f Responsive
Documents—Any filings must bear in all
capital letters the title “COMMENTS”,
“NOTICE OF INTENT TO FILE
COMPETING APPLICATION”,
“COMPETING APPLICATION”,
“PROTEST", “MOTION TO
INTERVENE”, as applicable, and the
Project Number of the particular
application to which the filing refers.
Any of the above-named documents
must be filed by providing the original
and the number of copies provided by
the Commission’s regulations to: The
Secretary, Federal Energy Regulatory
Commission, 825 North Capitol Street
NE., Washington, DC 20426. An
additional copy must be sent to Dean
Shumway, Director, Division of Project
Review, Federal Energy Regulatory
Commission, room 1027 (8101st), at the
above-mentioned address. A copy of
any notice of intent, competing
application or motion to intervene must
also be served upon each representative
of the Applicant specified in the
particular application.
D2. Agency Comments—Federal,
state, and local agencies are invited to
file comments on the described
application. A copy of the application
may be obtain 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
Applicant’s representatives.
Dated: February 1,1991, Washington, DC.
Lois D. CasheU,

Secretary.
[FR Doc. 91-2876 Filed 2-6-91; 8:45 am]
BILLING CODE 6717-01-«

[Docket Nos. RP90-108-000. RP90-107-000,
RP90-103-000]

Columbia Gas Transmission Corp., et
al.; Informal Settlement Conference
January 31,1991.
In the matter of: Columbia Gas
Transmission Corp.; Columbia Gulf
Transmission Company; Pennsylvania
Natural Gas Assn, and Independent Oil &
Gas Assn, of West Virginia v. Columbia Gas
Transmission Corp.

Take notice that an informal
settlement conference will be convened
in this proceeding on Wednesday,
Feruary 6,1991 at 1 p.m. and Thrusday,
February 7,1991 at 10 a.m., at the offices
of the Federal Energy Regulatory
Commission, 810 First Street NE.,
Washington, DC 20426, for the purpose
of exploring the possible settlement of
the above-referenced dockets.
Any party, as defined by 18 CFR
385.102(c), or any participant as defined
by 18 CFR 385.102(b), is invited to
attend. Persons wishing to become a
party must move to intervene and
receive intervenor status pursuant to the
Commission’s regulations. (18 CFR
385.214).
For addifional information, contact Hollis J.
Alpert, (202) 208-1093 or Jennifer B. Corwin,
(202) 208-0740.
Lois D. CasheU,

Secretary.
[FR Doc. 91-2875 Filed 2-5-91; 8:45 am]
BILLING CODE 6717-01-«

4989

(Lower Greenhorn) member of the
Greenhorn Formation 8 quality as tight
formations under section 107(b) of the
Natural Gas Policy Act of 1978. The
notices of determination cover certain
State and Federal lands located in
Phillips County, Montana, and include
Montana’s and BLM's findings that the
formations (each of which is part of the
Lower Colorado Group) meet the
requirements of the Commission’s
regulations set forth in 18 CFR part 271.
The notices of determination are
available for inspection, except for
material which is confidential under 18
CFR 275.206, at the Federal Energy
Regulatory Commission, 825 North
Capitol Street NE., Washington, DC
20426. Persons objecting to any of these
determinations may file a protest, in
accordance with 18 CFR § § 275.203 and
275.204, within 20 days after the date
this notice is issued by the Commission.
Lois D. CasheU,
Secretary.
[FR Doc. 91-2874 Filed 2-6-91; 8:45 am)
BILUNG CODE 6717-01-M

Office of Fossil Energy
[F E D ocket No. 90-94-NG]

Clajon Marketing, L.P., Order Granting
Blanket Authorization to Export
Natural Gas

Department of Energy, Office of
Fossil Energy.
ACTION: Notice of an order granting
blanket authorization to export natural
gas to Mexico.
AGENCY:

[Docket Nos. JD91-02876T; JD91-02877T;
JD91-02878T]

The Department of Natural Resources
and Conservation, Board of Oil and
Gas Conservation for the State of
Montana and the United States
Department of the Interior, Bureau of
Land Management, Determinations
Designating Tight Formations
January 31,1991.

Take notice that on January 25,1991,
the Department of Natural Resources
and Conservation, Board of Oil and Gas
Conservation for the State of Montana
(Montana) and the United States
Department of the Interior, Bureau of
Land Management (BLM) submitted the
above-referenced joint notices of
determination to the Commission,
pursuant to § 271.703(c)(3) of the
Commission’s regulations, that the
Bowdoin (Carlile) Formation,1 the
Greenhorn Limestone member of the
Greenhorn Formation,2 and the Phillips
1 Docket No. JD91-02876T. Montana-2.
* Docket No. JD91-02877T, Montana-3.

The Office of Fossil Energy of
the Department of Energy gives notice
that it has issued an order granting
Clajon Marketing, L.P., blanket
authorization to export up to a total of
365 Bcf of natural gas over a two-year
period beginning on the date of the first
export.
A copy of this order is available for
inspection and copying in the Office of
Fuels Programs Docket Room, 3F-056,
Forrestal Building, U.S. Department of
Energy, 1000 Independence Avenue SW.,
Washington, DC 20585, (202) 586-9478.
The docket room is open between the
hours of 8 a.m. and 4:30 p.m., Monday
through Friday, except Federal holidays.
sum m ary:

3 Docket No. JD91-02878T, Montana-4.

4990

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

Issued in Washington, DC, January-31,
1991.
Clifford P. Tomaszewski,

Acting Deputy Assistant Secretary for Fuels
Programs, Office o f Fossil Energy.
[FR Doc. 91-2985 Filed 2-6-91; 8:45 am]
BILLING CODE 6450-01-M

[FE Docket No. 90-113-NG]
Coenergy Ventures, Inc.; Application
to Export Natural Gas to Canada
AG ENCY: Department o f Energy, Office o f
Fossil Energy.
a c t i o n : Notice of application for
blanket authorization to export natural
gas to Canada.

The Office of Fossil Energy of
the Department of Energy (DOE) gives
notice of receipt on December 31,1990,
of an application hied by Coenergy
Ventures, Inc. (CVI), requesting blanket
authorization to export up to 20 Bcf of
natural gas from the United States to
Canada over a two-year period
commencing with the date of first
delivery. CVI intends to use existing
pipeline facilities within the United
States and at the international border
for transportation of the exported
natural gas. CVI states that it will
submit quarterly reports detailing each
transaction.
The application w as filed under
section 3 of the Natural Gas Act and
DOE Delegation Order Nos. 0204-111
and 0204-127. Protests, motions to
intervene, notices of intervention and
written comments are invited.
d a t e : Protests, motions to intervene, or
notices of intervention, as applicable,
requests for additional procedures and
written comments are to be filed at the
address listed below no later than 4:30
p.m. e.s.t, March 11,1991.
a d d r e s s : Office of Fuels Programs,
Fossil Energy, U.S. Department of
Energy, Room 3F-058, FE-50, Forrestal
Building, 1000 Independence Avenue
SW., Washington, DC 20585.
sum m ary:

FOR FURTHER INFORMATION CONTACT:

Charles E. Blackburn, Office of Fuels
Programs, Fossil Energy, U.S.
Department of Energy, Forrestal
Building, Room 3F-094,1000
Independence Avenue SW.,
Washington, DC 20585, (202) 586-7751.
Lot Cooke, Office of A ssistant General
Counsel, for Fossil Energy, U.S.
Department of Energy, Forrestal
Building, Room 6E-042,1000
Independence Avenue SW.,
Washington, DC 20585, (202) 586-0503.
SUPPLEM ENTARY INFORMATION: CVI is a
Michigan corporation with its principal

place of business in Detroit, Michigan.
CVI requests authorization to export
natural gas for its own account or as an
agent on behalf of domestic suppliers or
Canadian purchasers. CVI expects that
most of the gas exported under the
requested authorization will be sold on
a firm or interruptible basis to
unaffiliated purchasers in Canada under
terms and conditions, negotiated on a
case-by-case basis, and which reflect
competition for the gas supply and
services being offered. The application
states tht the contractual arrangements
will benefit domestic producers and gasproducing states, as well as the U.S. as a
whole by reducing the trade deficit.
This export application will be
reviewed under section 3 of the Natural
Gase Act and the authority contained in
DOE Delegation Order Nos. 0204-111
and 0204-127. In deciding w hether the
proposed export of natural gas is in the
public interest domestic need for the
natural gas will be considered, and any
other issue determined to be
appropriate, including whether the
arrangement is consistent with DOE
policy of promoting competition in the
natural gas marketplace by allowing
commercial parties to freely negotiate
their own trade arrangements. Parties,
especially those that may oppose this
application, should comment on these
matters as they relate to the requested
export authority. The applicant asserts
that there is no current need for
domestic gas that would be exported
under the proposed arrangements.
Parties opposing this arrangement bear
the burden of overcoming this assertion.
NEPA Compliance
The National Environmental Policy
Act (NEPA) (42 U.S.C. 4321 et seq.)
requires DOE to give appropriate
consideration to the environmental
effects of its proposed actions. No final
decision will be issued in this
proceeding until DOE has met its NEPA
responsibilities.
Public Comment Procedures
In response to this notice, any person
may file a protest, motion to intervene
or notice of intervention, as applicable,
and w ritten comments. Any person
wishing to become a party to the
proceeding and to have the written
comments considered as the basis for
any decision on the application must,
however, file a motion to intervene or
notice of intervention, as applicable.
The filing of a protest with respect to
this application will not serve to make
the protestant a party to the proceeding,
although protests and comments
received from persons who are not
parties will be considered in

determining the appropriate action to be
taken on the application. All protests,
motions to intervene, notices of
intervention, and written comments
must meet the requirements that are
specified by the regulations in 10 CFR
part 590. Protests, motions to intervene,
notices of intervention, requests for
additional procedures, and written
comments should be filed with the
Office of Fuels Programs at the address
listed above.
It is intended that a decisional record
on the application will be developed
through responses to this notice by
parties, including the parties’ written
comments and replies thereto.
Additional procedures will be used as
necessary to achieve a complete
understanding of the facts and issues. A
party seeking intervention may request
that additional procedures be provided,
such as additional written comments, an
oral presentation, a conference, or trialtype hearing. Any request to file
additional written comments should
explain why they are necessary. Any
request for an oral presentation should
identify the substantial question of fact,
law, or policy a t issue, show that it is
material and relevant to a decision in
the proceeding, and demonstrate why an
oral presentation is needed. Any request
for a conference should demonstrate
why the conference would materially
advance the proceeding, any request for
a trial-type hearing must show that there
are factual issues genuinely in dispute
that are relevant and material to a
decision and that a trial-type hearing is
necessary for a full and true disclosure
of the facts.
If an additional procedure is
scheduled, notice will be provided to all
parties. If no party requests additional
procedures, a final option and order may
be issued based on the official record,
including the application and response
filed by parties pursuant to this notice,
in accordance with 10 CFR 590.316.
A copy of CVTs application is
available for inspection and copying in
the Office of Fuels Programs Docket
Room, room 3F-056 at the above
address. The docket room is open
between the hours of 8 a.m. and 4:30
p.m., e.s.t, Monday through Friday,
except Federal holidays.
Issued at Washington, DC on January 4,
1991.
Clifford P. Tomaszewski,

Acting Deputy Assistant Secretary for Fuels
Programs, Office o fFossil Energy.
[FR Doc. 91-2988 Filed 2-6-91; 8:45 am]
BILU NG CODE 6450-01-M

Federal Register / VoL 56, No. 26 / Thursday, February 7, 1991 / Notices
[FE Docket No. S0-10Q-NG ]

PSI Gas Marketing, Inc; Order Granting
Authorization to Export Natural Gas
AGENCY: Department

of Energy Office of
Fossil Energy.
ACTION: Notice of an order granting
blanket authorization to export natural
gas to Canada and Mexico.
The Office of Fossil Energy
(FE) of the Department of Energy (DOE)
gives notice that it has issued an order
granting PSI Gas Marketing, Inc. (PGM)
authorization to export natural gas to
Canada and Mexico. The order issued in
FE Docket No. 90-100-NG authorizes
PGM to export from the United States to
Canada and Mexico up to 146 Bcf of
natural gas over a two-year period
beginning on the date of first delivery.
A copy of this order is available for
inspection and copying in the Office of
Fuels Programs Docket Room, 3F-056,
Forrestal Building, 1000 Independence
Avenue SW., Washington, DC 20585,
(202) 586-9478. The docket room is open
between the hours of 8 a.m. and 4:30
p.m., Monday through Friday, except
Federal holidays.
SUMMARY:

(TEMCO) authorization to import,
utilizing new facilities, up to 75,000 Mcf
per day of Canadian natural gas during
a term beginning on the effective date of
this order and ending October 31, 2002,
on behalf of three local distribution
companies (LDCs), Baltimore Gas &
Electric Company, Long Island Lighting
Company and Public Service Electric &
Gas Company. This order also grants
TEMCO blanket authorization to import,
utilizing new facilities, up to 75,000 Mcf
per day of natural gas authorized but
not purchased under the LDC contracts
for a two-year term beginning on the
date of first delivery.
A copy of this order is available for
inspection and copying in the Office of
Fuels Program Docket Room, room 3F056, Forrestal Building, 1000
Independence Avenue SW.,
Washington, DC 20585, (202) 586-9478.
The docket room is open between the
hours of 8 a.m. and 4:30 p.m., Monday
through Friday, except Federal holidays.
Issued in Washington, DC, January 31,
1991.
Clifford P. Tomaszewski,

Acting Deputy Assistant Secretaryfor Fuels
Programs, Office o fFossil Energy.

Issued in Washington, DC, January 31,
1991.
Clifford P. Tomaszewski,

BILLING CODE 6450-01-M

Acting Deputy Assistant Secretary for Fuels
Programs, Office o fFossil Energy.
[FR Doc. 91-2987 Filed 2-6-01; 8:45 am]

[FE Docket No. S0-97-NG]

[FR Doc. 91-2988 Filed 2-6-91; 8:45 am]

City of Warroad, Minnesota; Order
Granting Authorization to Import
Natural Gas From Canada

BILLING CODE S450-01-M

[FE Docket No. 89-45-NG]

AGENCY: Office of Fossil Energy,
Department of Energy.
a c t io n : Notice of an order granting
authorization to import natural gas from
Canada.

Transco Energy Marketing Co.; Order
Granting Final Long-Term and ShortTerm Authorization to Import Natural
Gas From Canada
a g e n c y : Office of Fossil Energy,
Department of Energy.
ACTION: Notice of an order granting
long-term and short-term authorization
to import natural gas from Canada.

The Office of Fossil Energy of
the Department of Energy gives notice
that it has issued an order granting
Transco Energy Marketing Company
su m m a r y :

The Office of Fossil Energy
(FE) of the Department of Energy gives
notice that it has issued an order in FE
Docket No. 90-97-NG granting
authorization to the City of Warroad,
M innesota (Warroad) to import from
Canada up to 550 MMcf of natural gas
annually (365 MMcf on a firm basis and
185 MMcf for overrun supplies) from the
date on which gas flows under the
S um m ary:

unbundling of Inter-City Minnesota
Pipelines Ltd. (Inter-City) through
October 31,1995. The natural gas would
be imported from Canada to a point on
the U.S.-Canadian border near Sprague,
Manitoba.
A copy of this order is available for
inspection and copying in the Office of
Fuels Programs Docket Room, 3F-056,
Forrestal Building, 1000 Independence
Avenue, SW., Washington, DC 20585,
(202) 586-9478. The docket room is open
between the hours of 8 a.m. and 4:30
p.m., Monday through Friday, except
Federal holidays.
Issued in Washington, DC, January 31,
1991.
Clifford P. Tomaszewski,

Acting Deputy Assistant Secretary for Fuels
Programs, Office o fFossil Energy.
[FR Doc. 91-2989 Filed 2-6-91; 8:45 am]
BILL)NO COOE 6450-01-M

Office of Hearings and Appeals
Cases Filed During the Week of
December 28, Through January 4,1991

During the Week of December 28
through January 4,1991, the applications
for relief listed in the Appendix to this
Notice w as filed with the Office of
Hearings and Appeals of the
Department of Energy. A submission
inadvertently omitted from an earlier list
has also been included.
Under DOE procedural regulations, 10
CFR part 205, any person who will be
aggrieved by the DOE action sought in
these cases may file written comments
on the application within ten days of
service of notice, as prescribed in the
procedural regulations. For purposes of
the regulations, the date of service of
notice is deemed to be the date of
publication of this Notice or the date of
receipt by an aggrieved person of actual
notice, whichever occurs first. All such
comments shall be filed with the Office
of Hearings and Appeals, Department of
Energy, Washington, DC 20585.
Dated: February 1,1991.
George B. Breznay,

Director, Office o f Hearings and Appeals.

R efund A pplications Received
[W e e k o f D e ce m b e r 28 through Ja n ua ry 4 ,1 9 9 1 ]
Date received
02/26/90................ ................. ....
12/31/90...................................
01/02/91____ _________
01/02/91................ ....... ,.............
01/02/91.................................. ....
01/04/91...............................
12/28/90 thru 01/04/91...............................
12/28/90 thiu 01/04/91...............................

4991

Name of refund proceeding/name of refund applicant
Starr Gas Co.....................„..........................
Phillips 6 6 ..................................... ....
Charles B. Wise............................................... .
Thomson Oil Co.....................................
Era Helicopters Inc................... „
Virg's Arco Service....................
Crude oil refund, applications received...............
Gulf oil refund, applications received______________ _________ _

Case No.
RF304-12164.
RF330-1.
RC272-108.
RF326-205.
RF326-206.
RF304-12165.
RF272-85639 thru RF272-85759.
RF300-14629 thru RF300-14690.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

4992

R e f u n d A p p l ic a t io n s R e c e iv e d — Continued
Name of refund proceeding/name of refund applicant

Date received

Case No.

12/28/90 thru 01/04/91............................... Texaco oil refund, applications received............—....................... — ..... ........ RF321 -12442 thru RF321-12518.

Date

Name and location of applicant

Jan. 4,1991........... Amoco ll/Alabama Montgomery, Al-------------------- RM251-243

[FR Doc. 91-2991 Filed 2-6-91; 8:45 am]
BILLING CODE M 50-01-M

ENVIRONMENTAL PROTECTION
AGENCY
[OPP-64013: F R L 3843-6]

Cancellation of Pesticides for Non*
Payment of 1990 Registration
Maintenance Fees

Environmental Protection
Agency (EPA).
ACTION: Notice.

AGENCY:

SUMMARY: The

October, 1988
amendments to the Federal Insecticide,
Fungicide, and Rodenticide Act (FIFRA)
imposed a new requirement for payment
of annual m aintenance fees to keep
pesticide registrations in effect. The fee
due last March 1 has gone unpaid for
about 4,500 registrations. Section
4(i)(5)(D) of FIFRA provides that the
Administrator may cancel these
registrations by order and without a
hearing; orders to cancel all but a few of
them have been issued within the past
few days. The Agency is deferring
cancellation for certain of these
registrations, however, to permit time
for affected users to explore alternatives
to cancellation directly with the
registrants.
d a t e s : Reports of agreements to support
continued registration or transfer of the
registrations for which cancellation is
being deferred must be received by May
8,1991.
FOR FURTHER INFORMATION CONTACT: To
report agreemeiits to support continued
registration of any of the products for
which cancellation has been deferred,
for instructions qn payment of
delinquent m aintenance fees for these
products, or for further information on
the maintenance fee program in general,
contact by mail: John M. Carley, Office
of Pesticide Programs (H7504C),
Environmental Protection Agency, 401 M

Type of submission

Case No.

Request for Modification/Rescission in the Amoco II Refund
Proceeding. If granted: The December 30, 1986 Decision and
Order (RQ251-341) issued to Alabama would be modified
regarding the state’s application for refund submitted in the
Amoco II second stage refund proceeding.

St., SW., Washington, DC 20460. Office
location and telephone number: Rm. 222,
CM # 2,1921 Jefferson Davis Highway
South, Arlington, VA 22202, (703) 5572315.
SUPPLEMENTARY INFORMATION:

I. Introduction
Section 4(i) of FIFRA as amended in
October, 1988 requires that all pesticide
registrants pay an annual registration
maintenance fee, due by March 1 of
each year, to keep their registrations in
effect.
In early February of 1990, all holders
of either section 3 registrations or
section 24(c) registrations were sent lists
of their active registrations, along with
forms and instructions for responding.
They were asked to identify which of ,
their registrations they wished to
m aintain in effect, and to calculate and
remit the appropriate maintenance fees.
Most responses were received by the
statutory deadline of March 1, or soon
thereafter. A supplemental notice was
sent in May, however, to registrants
who had not responded after
acknowledging receipt of the original
notice, and individual phone calls were
placed as well to hundreds of registrants
to remind them of the fee requirement
and to clarify their intentions. Late
payments of the fees were accepted
until November 1, when the actual
process of cancellation w as begun.
The maintenance fee has been paid
for about 20,000 section 3 registrations,
or about 83 percent of the registrations
on file in January, and for about 3,000
section 24(c) registrations, or about 79
percent of the total on file in January.
Cancellations for nonpayment of the
maintenance fee affect just under 3,800
section 3 registrations and just over 700
section 24(c) registrations.
EPA is concerned about the possible
impacts of such a large number of
cancellations, and especially concerned
for potential impact on minor uses of
pesticides. The Agency has assessed

these impacts carefully, and has taken
special steps to avoid adverse impacts
where possible.
II. Product Cancellations Not Affecting
Status of Active Ingredient
Our analyses indicate that the
majority of these cancellations are
housekeeping transactions. For over
2,200 section 3 registrations (59 percent
of the total canceled) no production has
been reported since before 1987. This
group includes all registrations for 38
active ingredients, which will be
dropped from the registration rolls. For
another 650 registrations (17 percent of
the total canceled) no production was
reported in 1989, the last year for which
data are available. Thus 76 percent of
all the section 3 registrations canceled
for non-payment of the maintenance fee
are no longer in production. Their
disappearance is likely to have no
discem able impact on pesticide markets
or users.
We believe most of the canceled 24(c)
registrations for special local needs are
similarly obsolete. We do not have
comparable production data for these'
registrations, but we know that over 64
percent of them were issued more than 5
years ago, most for a finite period of 1 to
5 years. We also know that many have
been made obsolete by subsequent
section 3 registrations for the same uses.
The remaining cancellations, of about
880 section 3 registrations in current
production and about 265 section 24(c)
registrations issued in the past 5 years,
have been the principal focus of our
further impact analyses. In most of these
cases—all but 64 registrations—the
active ingredients will remain available
in other registered products. We
anticipate two types of impact for the
bulk of these cancellations. First, some
of these disappearing registrations will
be survived in the market by
substantially identical registrations.
These substantially identical products
may not, however, be readily available

Federal Register / Vol. 50, No. 20 / Thursday, February 7, 1991 / Notices
wherever a disappearing product w as
sold, so there may be local or regional
disruptions while distribution patterns
are adjusted. We expect these
disruptions to be minor and temporary.
The cancellation orders generally permit
registrants to continue to sell and
distribute existing stocks of the canceled
products until the due date for the next
annual registration m aintenance fee,
March 1,1991. Existing stocks already in
the hands of dealers or users, however,
can generally be used legally until they
are exhausted.
The exceptions to these general rules
are cases where more stringent
restrictions on sale, distribution, or use
of the products have already been
imposed, through Special Reviews or
other Agency actions. The general
provisions for disposition of stocks
should serve in most cases to cushion
the impact of these cancellations while
the market adjusts.
Second, in some cases unique uses
will disappear, although the active
ingredients will remain available for
different uses in other products. We
cannot estimate how often this may
happen. W hen it does, in addition to
possible distribution problems there
may be more serious impacts on users of
the canceled products. Once again,
existing stocks of the canceled products
already in channels of trade will be
usable to mitigate these impacts in the

short term. For the longer term the
mechanisms of section 3 amendments
and 24(c) registrations will remain
available to obtain replacement
registrations.
Neither of these types of impact
leaves users without the means to
replace lost registrations, and neither is
considered to justify further deferral of
cancellations for non-payment of the
maintenance fee. Thus all these
registrations for which the active
ingredient will remain in other products
have been canceled.

III. Cancellations Leading to
Disappearance of Active Ingredients
The most significant impacts will arise
when an active ingredient with recent
production disappears. There are 42
registered active ingredients for which
production has been reported in at least
1 year in the span from 1987 through
1989, but for which no 1990 maintenance
fees have been paid.
Nine of these 42 ingredients have been
the object of earlier Agency regulatory
actions; impacts of their disappearance
have already been extensively
addressed, and will not be reconsidered
here. We have canceled all remaining
registrations in which these nine
ingredients occur.
Ignoring these 9, some 33 active
ingredients remain. Four of them were
last produced in 1987; 11 others were

4993

last produced in 1988; and the remaining
18 reported production in 1989, the last
year for which data are available. These
33 ingredients—all with recent
production and none subject to prior
regulatory action, and all slated to
disappear as a consequence of these
cancellations—span a broad range of
pesticide uses, as summarized in the
following Table 1:

Table 1.—S ummary Distribution
Disappearing Active Ingredients
Predominant Use Pattern
Use Pattern

Number
of
Chemi­
cals

of
by

Number of
Registra­
tions

Agricultural/Omamental
Uses..................... .......

11

26

Domestic Animal/Pet
Treatments....................

7

20

Disinfectants/
Antimicrobials................

15

16

T otals........................

33

64

These 33 ingredients, grouped in these
same general categories of use patterns,
are individually listed along with the
EPA company number of their
registrants in the following Table 2:

Table 2 —Active Ingredients with Recent Production Pending Cancellation of all Products for Non-Payment of 1990
Registration Maintenance F ees , in S equence b y Broad Use P attern
Chemical Name (Chemical Abstracts Number)

A. Agricultural/Omamental Uses:
Aminocarb (CAS 2032-59-9)

Year
Last
Prod

1987

Rgístratfon No.

Product name

003125-00206
003125-00327

Matacil Technical
Matacli 180 Flowabte Insecticide

Ammonium thiosulfate (CAS 7783-18-8)

1988

009499-00001

Spurge-X

Bifenox (CAS 42576-02-3)

1988

000264-00460
000264-00463

Bifenox Technical Grade
Modown Herbicide 4 Flowable

Chlordimeform (CAS 6164-98-3)

1989

000100 MS-86-0005
000100 SC-86-0004

Cinnamaldéhyde (CAS 104-55-2)

1989

002517-00056
041847-00001
041847-00004
041847-00005

Dinitramine (CAS 29091-05-2)

1989

055947-00037

Dinitramine

Isobutyl 2,4-D (CAS 1713-15-1)

1989

001990-00138
001990-00180
001990-00401
001990-00406
034704-00007
034704-00080
061272-00002

Co-Op Weed-Out Butyl Ester 6-Pound
Co-Op Weed-Out Butyl Ester 4-Pound
Techne No. 4 Butyl Ester Weed Killer
Techne No. 6 Butyl Ester
Balcom Butyl 6 Ester Weed Killer
Clean Crop 2,4-D Ester Aerial Non-Emulsifiable
2,4-D Iso Butyl Ester Technical

1-(8-Methoxy-4,8-dimethytnonyl)-4-(1 -methylethyt)benzene
(CAS 53905-38-7)

1987

010182-00246

Pro-Drone

Nickel sulfate hexahydrate (CAS 10101-97-0)

1989

000707-00124

Dithane S-31

Galecron 4 EC Insecticide on Cotton
Galecron 4 EC Insecticide on Cotton
Sergeant’s Outdoor Dog and Cat Repellent
Hefty Dog/cat Repellent
Hefty Animal Guard Dog/cat Repellent Trash Bags
Hefty II Animal Guard Dog/cat Repellent Trash Bags

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

4994

Table 2.—Active Ingredients with R ecent Production P ending C ancellation of all Products for Non-Payment of 1990
Registration Maintenance F ees , in S equence by B road Use Pattern —Continued
Chemical Name (Chemical Abstracts Number)

Year
Last
Prod

Ryania speciosa, powdered stems of (CAS 15662-33-6)

1988

Terbutryn (CAS 886-50-0)

1988

B. Domestic Anlmal/Pet Treatment:
Alkenyl* dimethyl ammonium acetate *(75% C18, 25% C16)
(CAS 10460-00-1)

1989

005185-00026

Bio Guard HEDS Hatching Egg Detergent Sanitizer

Alkyl* bis(2-hydroxyethyl) ammonium acetate *(as in fatty
acids of coconut oil) (No CAS No.)

1989

005185-00026

Bio Guard HEDS Hatching Egg Detergent Sanitizer

Alkyl* dodecylbenzy! dimethyl ammonium chloride *(70%
C12, 30% C14) (CAS 87175-02-8)

1989

005185-00026

Bio Guard HEDS Hatching Egg Detergent Sanitizer

Alkyl* trimethyl ammonium bromide *(95% C14, 5% C16)
(CAS 1119-97-7)

1989

001457-00015

Bromat

Chtorfenvinphos (CAS 470-90-6)

1988

000059-00189
000059-00197
000059-00203

Dermaton Dust
Dermaton Dog Collar
Dermaton III

Phenothiazine (CAS 92-64-2)

1989

000602-00119
000602-00120
000602-00286
006482-00002
006482-00003
007138-00011
007138-00013
007627-00010
007631-00013
009078-00001
009374-00001
009374-00002
010461-00002
010461-00009

Purina Check-Fly and Wormer Block (medicated)
Purina Check-Fly and Worm Control
Purina Check-Fly Block II
Lone Star 28% Equivalent Super Hi-Pro-Fly Medicated
Lone Star 14% Protein Bar-Fly Hi-Pro-Min Medicated
Pasture Balancer Cattle Block
Livestock Fly & Worm Mineral Medicated
Stockade Kil-A-Pest No. 12 Fly Control Block
Walnut Grove 4x4 Beef Shake 31 (f)
Co-Op Pasture Balancer Medicated for Ruminants Only
Ranch-O Bar-Fly Protein Supplement Block Medicated
Ranch-O-Bar Fly #2 Hi Boot Mineral Supplement Bloc
Pasture Aid Bar Fly Block #10
V.M.S. Enproai Fly Control Supplement

Salicylic add (CAS 69-72-7)

1989

000387-00006

Glover's Imperial Sarcoptic Mange Ointment for Dog

C. Disinfectant/Antimicrobial Uses:
1-(Alkyl* amino)-3-aminopropane benzoate *(as in fatty addsof coconut oil) (CAS 61791-63-7)

1988

008928-00001

Corexit 7675 Bactericide

/VAIkyr-ZVethyl morphoHum ethyl sulfate* (66% C16, 25%
C16, 8% C18, 1% C14) (CAS 61791-34-2)

1987

001677-00038
001677-00041

Soilax Bathroom Cleaner
Q-077 Quaternary Ammonium Concentrate

Alkyl* dimethyl benzyl ammonium chloride *(67% C12, 24%
C14, 9% C10-C18) (CAS 63349-41-2)

1988

003573-00026

Bowl Quick Liquid Bowl Cleaner

Alkyl* dimethyl 3,4-dichlorobenzyl ammonium chloride
*(50%C12, 30% C14, 17% C16, 3% C18) (CAS 8023-538)

1989

004000-00060

Lemon Scented Hospital Disinfectant

/V-Cetyl-/V-ethylmorpholinium ethyl sulfate (CAS 78-21-7)

1989

011333-00002

Hy-Test Mildew Spray
TCGU Tetrachloroglycdurii

Product name

Rgistration No.
000690-00018
047154-00001

Perkerson’s Blam Money Back Guar. Kill All Roaches
50% Ryania

000100-00540 Terbutryn Technical
000100 OK-82-0016 Igran 80W on Wheat
000100 OR-88-0001 Igran 80W

i fAJ;

:||;| | i \:;i.

Chlorinated glycolurii (CAS 776-19-2)

1987

046482-00004

3-Chloro-2-biphenylol, sodium salt (CAS 10605-11-5)

1989

000861-00069

Pine Odor Disinfectant Sav-On Coef. 5

2-Chloro-4-phenylpheno) (CAS 92-04-6)

1988

003696-00055
018962-00003

Texize Pine Power Type Disinfectant
FB

5-Chlorosalicyianilide (CAS 4638-48-6)

1988

018962-00003

FB

3,5-Dibromosalicytanilide (CAS 2577-72-2)

1987

005664-00039

Phenicide A

Dodecyl dimethyl benzyl ammonium naphthenate (No CAS
No.)

1988

001100-00013
001100-00014
001100-00042

Nuodex 100 WD
Nuodex 100 SS
Nuodex 100 V.T.

Ethanolamine (CAS 141-43-5)

1989

058018-00001

Pro Way Brand Retriclean Spray Concentrate

Potassium hydroxide (CAS 1310-58-3)

1989

005664-00037

Bromophene 128

Sodium dihydroxyethytglydne (CAS 17123-43-2)

1988

001297-00015

Buckingham Mint Disinfectant Coef. 5

Sodium nitrite (CAS 7632-00-0)

1989

006095-00003

Improved Air Eactor DOG

p -:‘6 ---

The names and addresses of the registrants are listed in sequence by the EPA Company Number in the following Table 3:

Federal Register / Vol. 56, No. 26 / T h u rsd ay , F eb ru ary 7, 1991 / N otices
Table 3.—Registrants o f Active In­
gredients Pending C ancellation
for Non-payment o f 1990 R egistra­
tion Maintenance Fee
EPA
Company
No.
000059
000100
000264
000387
000602
000690
000707
000861
001100
001297
001457
001677
001990
002517
003125
003573
003696
004000
005185
005664
006095
006482
007138
007627
007631
008928
009078
009374
009499
010182
010461

Registrant Name and Address

Coopers Animal Health Inc., 1201
Douglas Ave, Kansas City, KS
66103.
Ciba-Geigy Corp.,
Box 18300,
Greensboro, NC 27419.
Rhone-Poulenc Ag Co., Box 12014,
Research Triangle Park, NC 27709.
H. Clay Glover Co., Inc., Box 432,
Toms River, NJ 08754.
Purina Mills, Inc., Box 66812, St
Louis, MO 63166.
Perk Products & Chemical Co., Inc.,
Box 100585, Nashville,, TN 37210.
Rohm & Haas Co., Agri. Chemicals
Registration, Independence Mall
W., Philadelphia, PA 19105.
Uncle Sam Chemical Co. Inc., 575 W
131st St, New York, NY 10027.
Huls America, Inc., Box 365, Piscataway, NJ 08855.
Buckingham Wax Co., Inc., 51-03
Van Dam Street, Long Island City,
NY 11101.
Hexcel Corp., 11555 Dublin Rd Box
2312, Dublin, CA 94568.
Ecolab Inc., 370 Wabasha SL Ecolab
Center, St Paul, MN 55102.
Universal Cooperatives, Ina, c/o
Diana Williams, Box 460, Minne­
apolis, MN 55440.
Conagra Pet Products Co.. 1405
Cummings Drive, Richmond, VA
23220.
Mobay Corp., Agricultural Chemicals
Division, Box 4913, Kansas City,
MO 64120.
The Proctor & Gamble Co., 6060
Center Hill Rd., Cincinnati, OH
45224.
Dowbrands Inc., Box 368, Greenville,
SC 29602.
Southern Chemical Products Co.,
Subsidiary of Carroll Co., 2900 W.
Kingsley Rd., Garland, TX 75041.
Bio-Labs Inc., Box 1489, Decatur, GA
30031.
Canto) Inc., 2211 N American Street,
Philadelphia, PA 19133.
Aireactor Of America, Inc., 315 Peck
Street, New Haven, CT 06513.
Texas Farm Products Co., PO Box 9,
Nacogdoches, TX 75961.
Southern States Cooperative, Inc.,
6606 W. Broad Street Richmond,
VA 23230.
Harvest Brands, Inc., Country Club
Rd. & 69 Bypass, Box 46, Pittsburg,
KS 66762.
Walnut Grove Products, 201 Linn St,
Atlantic, IA 50022.
Exxon Chemical Co., 8230 Stedman
Street, Houston, TX 77029.
Tennessee Farmers Co-op, Box 3003,
Lavergne, TN 37086.
Ragland Mills Inc., Route 8 Box 168,
Neosho, MO 64850.
National Chelating Co., 6549 E Som­
erset Blvd, Paramount, CA 90723.
ICI Americas Inc., New Murphy Rd. &
Concord Pike, Wilmington, DE
19897.
V M S Inc., Box 406, Montgomery, AL
36101.

Table 3.—Registrants of Active In­
gredients Pending C ancellation
for Non-payment of 1990 R egistra­
tion Maintenance Fee —Continued
EPA
Company
No.
011333
018962
034704
041847

047154
048482
055947
058018
061272

Registrant Name and Address
Hy-Test 303 Corp., 9 Meadow Rd,
Rutherford, NJ 07070.
Chemie Research & Mfg. Co., Box
181279, Casselberry, FL 32711.
Platte Chemical Co., 419 18th St. Box
667, Greeley, CO 80632.
Mobil Chemical Co., Consumer Prod­
ucts Division, 729 Pittsford-Palmyra
Rd, Technical Center Rt #31, Macedon, NY 14502.
G.B. Enterprises, 1900 Elm Ave., Mo­
desto, CA 95351.
EES Corp., Subsidiary of Eltech Sys­
tems Corp.,' 12850 Boumewood
Drive, Sugar Land, TX 77478.
Sandoz Crop Protection Cororation,
1300 E. Touhy Ave., Des Plaines,
IL 60018.
Professional Chemists, 1005 Hawkeye Drive Box 21.7, Hiawatha, IA
52233.
Nufarm USA Inc., c /o Registrations
Plus, 425 W. 194th Street, Glenwood, IL 60425.

4995

businesses or low volume or minor
uses).
In addition to publishing this notice in
the Federal Register, we are sending it
directly to the States, to the U.S.
Department of Agriculture, and to other
parties who have previously expressed
concern for minor uses. They should be
receiving the notice at approximately
the same time it is published. We hope
that this notification effort, and the
deferral of cancellations for the most
sensitive registrations, will serve to
prevent any avoidable loss of critical
minor use pesticides.
Because so many registrations are
involved, it would be impractical to list
all the cancellations in this notice.
Complete lists of registrations canceled
for non-payment of the maintenance fee
will, however, be available for reference
during normal business hours in the OPP
Public Docket, Rm. 248 CM # 2,1921
Jefferson Davis Highway South,
Arlington VA, and at each EPA Regional
Office. Product-specific status inquiries
may be made by telephone by calling
toll-free 1-800-444-7255.
Dated: January 22,1991.

If the last section 3 registration for an
ingredient disappears, the section 24(c)
registration process is unlikely to be
able to compensate for the loss. Thus
EPA is deferring cancellation of these 64
registrations to allow adversely affected
users to pursue alternatives to
cancellation.
We encourage individual users or user
groups concerned about the potential
loss of these active ingredients to work
directly with the identified registrants. It
may be possible to persuade them to
continue to support the ingredient, or to
agree to transfer the registration to a
third party who would be willing to
support the ingredient. We also
encourage users to consult with the
Cooperative Extension Service or other
local sources to identify alternatives
which will remain or may become
registered.
If the Agency is notified within 90
days of this notice at the address given
above either (1) that the registrant will
continue to support the registration, or
(2) that an agreement has been reached
to transfer the registration to another
party, we will retain the registration in
full active status as soon as the
delinquent maintenance fee payment is
received. It should be emphasized,
however, that any such registrations
would 8till be subject to all data and
other requirements for reregistration,
including reregistration fees (except as
they may be reduced through the
statutory provisions for small

Linda J. Fisher,

Assistant Administrator, Office of Pesticides
and Toxic Substances.
[FR Doc. 91-2965 Filed 2-6-91; 8:45 am]
BILLING CODE 6560-50-F

[OPP-66145; F R L 3843-8]

Receipt of Requests to Cancel Certain
Pesticide Registrations
a g e n c y : Environmental Protection
Agency (EPA).
ACTION: Notice of receipt.

In accordance with section
6(f)(1) of the Federal Insecticide,
Fungicide and Rodenticide Act (FIFRA),
as amended, EPA is issuing a notice of
receipt of requests by registrants to
voluntarily cancel certain pesticide
registrations.
DATE: Unless a request is withdrawn, all
cancellations will be effective May 8,
1991.
FOR FURTHER INFORMATION CONTACT: By
mail: James A. Hollins, Office of
Pesticide Programs (H7502C),
Environmental Protection Agency, 401 M
St., SW., Washington, DC 20460. Office
location for commercial courier delivery
and telephone number: Rm. 210, CM # 2,
1921 Jefferson Davis Highway,
Arlington, VA 22202 (703) 557-4461.
sum m ary:

4996

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

SUPPLEMENTARY INFORMATION:

I. Introduction
Section 6(f)(1) of the Federal
Insecticide, Fungicide and Rodenticide
Act (FIFRA), as amended, provides that
a pesticide registrant may, at any time,
request that any of its pesticide
registrations be cancelled. The Act
further provides that EPA must publish a
notice of receipt of any such request in
the Federal Register before acting on the
request.
The recent 1990 Farm Bill
incorporated some specific changes in
section 6(f)(1) of FIFRA. In cases where
a pesticide is registered for minor
agricultural use, it calls for waiting 90
days instead of 30, before cancelling the
request. As part of this requirement for
making “reasonable efforts” to reach
minor users, the requests in this notice
will not be cancelled until May 8,1991.
II. Intent to Cancel
This Notice announces receipt by the
Agency of requests to cancel some 26
pesticide registrations under section 3 or
24(c) of FIFRA. These registrations are
listed in sequence by registration

number (or company number and 24(c)
number) in the following Table 1:

Table 1.—R egistrations with Pending
R equests for C ancellation
Registration No.
000100-00545
000100-00868
000237-00009
000279-01853
000352-00343
000400-00409
000464-00579
000499-00141
000618-00028
000618-00072
001706-00167
002517-00035
002724-00154
002724-00173
002724-00225
002900-00017
005412-00005
008590-00033

Product Name
Phosphamidon Technical
Swat 8E Insecticide-Mitidde
MSCO #15X Mushroom
Zineb Dust
Elgetol Fungicide Apple
Thinner
Tersan LSR Fungicide
Terrador Super-X G/Fungicide
MCP Ester Herbicide
Dog-Stopper
Agri-Strep
Agri-Strep 500
Nalco 3WT-138
Sergeant's
Flea
Tick
Powder
Starbar Smax Rat Mouse
Bait
Protex Flea Collar for
Dogs
Starbar Golden Sugar Bait
Shepard's Rea Killer
#38 Citrus Pads-Biphenyl
Treated
Agway Maneb-Sevin 4,55D

Table 1.—Registrations with P ending
Requests for C ancellation—Con­
tinued
Registration No.

Product Name

Chlorine-Liquefied Gas
Ranch-O Mineral Mix w/
Rabon
010182-00216 Parathion Technical
035915-00002 Oxon Ametryn Technical
035915-00008 Chloridazon Technical
045385-00065 Chem-Tox Malathion 3% "
059920-AZ890012 Super IQ Insecticide LC &
APT
062550-20005 Cal Hypo Idroklopel
009159-00142
009374-00007

Unless a request is withdrawn by the
registrant within ninety (90) days of
publication of this notice, orders will be
issued cancelling all of these
registrations. Users of these pesticides
or anyone else desiring the retention of
a registration should contact the
applicable registrant directly during this
96-day period. The names and
addresses of record for all registrants of
the products in Table 1 are included in
sequence by EPA company number in
the following T able 2:

Table 2.— R egistrants R equesting V oluntary C ancellations
EPA Co.
Number
000100

000237
000279
000352
000400
000464
000499
000618
001706
002517
002724
002900
005412
008590
009159
009374
010182
035915
045385
059920
062550

Company Name and Address
Ciba-Geigy Corp., Box 18300, Greensboro, NC 27419.
Mushroom Supply Co., Box 486, Toughkenamon, PA 19374.
FMC Corp., Product Registration ACG, 2000 Market St., Philadelphia, PA 19103.
E.l. du Pont de Nemours and Co., Inc., Agricultural Products Dept, Box 80038, Wilmington, DE 19880.
Uniroyal Chemical Co., Inc., 74 Amity Road, Bethany, CT 06525.
Dow Chemical U.SA, Regulatory Compliance Dept, 1803 Building, Midland, Ml 48674.
Whitmire Research Laboratories, Inc., 3568 Tree CL Industrial Blvd., S t Louis, MO 63122.
Merck & Co. Inc., Hillsborough Rd., Three Bridges, NJ 08887.
Nalco Chemical Co., One Nalco Center, Naperville, IL 60563.
Conagra Pet Products Co., 1405 Cummings Dr., Richmond, VA 23220.
Zoecon Corp., A. Sandoz Co., 12200 Denton Dr., Dallas, TX 75234.
Shepard Chemical Works, Inc., c/o Registration Consulting Assoc., 12184 Woodland CL, Auburn, CA 95603.
Citrus-Pak Corp., 600 E. Landsteet Rd., Orlando, FL 32824.
Agway Inc., Crop Services, Box 4933, Syracuse, NY 13221.
Kaiser Aluminum & Chemical Corp., 300 Lakeside Dr., Oakland, CA 94643.
Ragland Mills, Inc., Rte. 8, Box 168, Neosho, MO 64850.
ICI Americas, Inc., Agricultural Products, New Murphy Road & Conconrd Pike, Wilmington, DE 19897.
Oxon Italia S.P.A., c/o Sostram Corp., 70 Mansell CL, Suite 230, RosweH, GA 30076.
Chem-Tox, Inc., 21 N. 988 Pepper Rd., Barrington, IL 60010.
Biodyne Americas Corp., 6802 96th Ave., S.E., Mercer Island, WA 98040.
Samatec, c/o Enichem Americas, Inc., 1211 Avenue of the Americas, New York, NY10036.

III. Procedures for W ithdrawal of

Request
Registrants who chose to withdraw a
request for cancellation must submit
such w ithdrawal in writing to James A.
Hollins, at the address given earler,
postmarked before May 8,1991. This
written withdrawal of the request for
cancellation must include a commitment
to pay any reregistration or registration
maintenance fees due, and to fulfill any

applicable unsatisfied date
requirements.
IV. Provisions for Disposition of Existing
Stocks
The orders effecting these requested
cancellations will generally permit
registrants to continue to sell and
distribute existing stocks of the
cancelled products for 1 year after the
date of this notice. The orders will also
generally provide for use of stocks

already in the hands of dealers or users
until they are exhausted. Exceptions to
these general rules will be made in
specific cases when more stringent
restrictions on sale, distribution, or use
of the products or their ingredients have
already been imposed, as in Special
Review actions, or where the Agency
has identified significant potential risk
concerns associated with a particular
chemical.

Federal Register / Vol. 56, No. 26 / T h u rsd ay , F eb ru ary 7, 1991 / N otices
Dated: January 18,1991.
Douglas D. Campt,

Director, Office of Pesticide Programs.
[FR Doc. 91-2966 Filed 2-6-91; 8:45 am]
BILLING CODE 6560-50-F

[PP 8G3680/T603; F R L 3875-7]

Myclobutanil; Renewal of a Temporary
Tolerance

Environmental Protection
Agency (EPA).
a c t io n : Notice.

AGENCY:

SUMMARY: EPA

has renewed a
temporary tolerance for residues of the
fungicide myclobutanil and its
metabolites containing both the
chlorophenyl and triazole rings (free and
bound) in or on the raw agricultural
commodity stone fruits group (except
dried plums) at 2 parts per million
(ppm).
DATES: This temporary tolerance expires
October 31,1991.
FOR FURTHER INFORMATION CONTACT: By

mail: Susan Lewis, -Product Manager
(PM) 21, Registration Division (H7505C),
Office of Pesticide Programs,
Environmental Protection Agency, 401M
St., SW., Washington, DC 20460. -Office
location and telephone number: Rm. 229,
CM #2,1921 Jefferson Davis Highway,
Arlington, VA, 703-557-1900.
SUPPLEMENTARY INFORMATION: EPA
issued a notice, published in the Federal
Register of April 19,1989 (54 FR 15803),
stating that a temporary tolerance had
been established for residues of the
fungicide myclobutanil, alpha-butylalpha-(4-chlorophenyl)-l//-l,2,4-triazole1-propanenitrile and its metabolites
containing both the chlorophenyl and
triazole rings (free and bound) in or on
the raw agricultural commodity stone
fruits group (except dried plums) at 2
parts per million (ppm). This tolerance is
renewed in response to pesticide
petition (PP) 8G3680, submitted by Rohm
and H aas Co., Independence Mall West,
Philadelphia, PA 19105.
The company has requested a 1-year
renewal of a temporary tolerance for
residues of the fungicide to permit the
continued marketing of the above raw
agricultural commodity w hen treated in
accordance with the provisions of the
experimental use permit 707-EUP-119,
which is being renewed under the
Federal Insecticide, Fungicide, and
Rodenticide Act (FIFRA) as amended
(Pub. L. 95-396, 92 Stat. 819; 7 U.S.C.
136). The scientific data reported and
other relevant m aterial were evaluated,
and it w as determined that a renewal of
the temporary tolerance will protect the

public health. Therefore, the temporary
tolerance has been renewed on the
condition that the pesticide be used in
accordance with the experimental use
permit and with the following
provisions:
1. The total amount of the active
ingredient to be used must not exceed
the quantity authorized by the
experimental use permit.
2. Rohm and Haas Co., must
immediately notify the EPA of any
findings from the experimental use that
have a bearing on safety. The company
must also keep records of production,
distribution, and performance and on
request make the records available to
any authorized officer or employee of
the EPA or the Food and Drug
Administration.
This tolerance expires October 31,
1991. Residues not in excess of this
amount remaining in or on the above
raw agricultural commodity after this
expiration date will not be considered
actionable if the pesticide is legally
applied during the term of, and in
accordance with, the provisions of the
experimental use permit and temporary
tolerance. This tolerance may be
revoked if the experimental use permit
is revoked or if any experience with or.
scientific data on this pesticide indicate
that such revocation is necessary to
protect the public health.
The Office of Management and Budget
has exempted this notice from the
requirements of section 3 of Executive
Order 12291.
Pursuant to the requirements of the
Regulatory Flexibility Act (Pub. L. 96354, 94 Stat. 1164, 5 U.S.C. 601-612), the
Administrator has determined that
regulations establishing new tolerances
or raising tolerance levels or
establishing exemptions from tolerance
requirements do not have a significant
economic impact on a substantial
number of small entities. A certification
statem ent to this effect w as published in
the Federal Register of May 4,1981 (46
FR 24950).
Authority: 21 U.S.C. 346a(j).
Dated: January 25,1991.
Anne E. Lindsay,

Director, Registration Division, Office of
Pesticide Programs.
[FR Doc. 91-2967 Filed 2-6-91; 8:45 amj
BILLING CODE 6560-50-F

[OPTS-53137; F R L 3875-4]

Premanufacture Notices; Monthly
Status Report for NOVEMBER 1990
a g e n c y : Environmental Protection
Agency (EPA).

a c t io n :

4997

Notice.

Section 5(d)(3) of the Toxic
Substance Control Act (TSCA) requires
EPA to issue a list in the Federal
Register each month reporting the
premanufacture notices (PMNs) and
exemption request pending before the
Agency and the PMNs and exemption
requests for which the review period has
expired since publication of the last
monthly summary. This is the report for
NOVEMBER 1990.
Nonconfidential portions of the PMNs
and exemption request may be seen in
the TSCA Public Docket Office NE-G004
at the address below between 8 a.m.
and noon and 1 p.m. and 4 pun., Monday
through Friday, excluding legal holidays.
ADDRESSES: W ritten comments,
identified with the document control
number ‘(OPTS-53137)’ and the specific
PMN and exemption request number
should be sent to: Document Processing
Center (TS-790), Office of Toxic
Substances, Environmental Protection
Agency, 401M St., SW., Rm L-100,
Washington, DC 20460, (202) 382-3532.

SUMMARY:

FOR FURTHER INFORMATION CONTACT:

Michael M. Stahl, Director,
Environmental Assistance Division (TS799), Office of Toxic Substances,
Environmental Protection Agency, Rm
EB-44, 401M St., SW., Washington, DC
20460 (202) 382-3725.
SUPPLEMENTARY INFORMATION: The
monthly status report published in the
Federal Register as required under
section 5(d)(3) of TSCA (90 Stat. 2012 (15
U.S.C. 2504)), will identify: (a) PMNs
received during NOVEMBER; (b) PMNs
received previously and still under
review at the end of NOVEMBER; (c)
PMNs for which the notice review
period has ended during NOVEMBER;
(d) chemical substances for which EPA
has received a notice of commencement
to manufacture during NOVEMBER; and
(e) PMNs for which the review period
has been suspended. Therefore, the
NOVEMBER 1990 PMN Status Report is
being published.
Dated: February 1,1991.
Steven Newburg-Rinn,

Acting Director, Information Management
Division, Office o f Toxic Substances.
Premanufacture Notice Monthly Status
Report for NOVEMBER 1990.
I. 169 Premanufacture notices and exemption
requests received during the month:

PMN No.
P
P
P
P

91-0116
91-0129
91-0133
91-0137

P
P
P
P

91-0126
91-0130
91-0134
91-0138

P
P
P
P

91-0127
91-0131
91-0135
91-0139

P
P
P
P

91-0128
91-0132
91-0136
91-0140

Federal Register / Vol, 58, No. 28 / Thursday, February 7, 1991 / Notices

4998
P 91-0141
P 91-0145
P 91-0149
P 91-0153
P 91-0157
P 91-0101
P 91-0165
P 91-0109
P 91-0173
P 91-0177
P 91-0181
P 91-0185
P 91-0189
P 91-0193
P 91-0197
P 91-0201
P 91-0205
P 91-0209
P 91-0213
P 91-0217
P 91-0221
P 91-0225
P 91-0229
P 91-0233
P 91-0237
P 91-0243
P 91-0247
P 91-0251
P 91-0255
P 91-0259
P 91-0264
P 91-0268
P 91-0273
P 91-0278
Y 91-0030
Y 91-0040
Y 91-0044
Y 91-0051

P 91-0142 P 91-0143 P
P 91-0140 P 91-0147 P
P 91-0150 P 91-0151 P
P 91-0154 P 91-0155 P
P 91-0158 P 91-0159 P
P 91-0162 P 91-0183 P
P 91-0166 P 91-0107 P
P 91-0170 P 91-0171 P
P 91-0174 P 91-0175 P
P 91-0178 P 91-0179 P
P 91-0182 P 91-0183 P
P 91-0186 P 91-0187 P
P 91-0190 P 91-0191 P
P 91-0194 P 91-0195 P
P 91-0198 P 91-0199 P
P 91-0202 P 91-0203 P
P 91-0206 P 91-0207 P
P 91-0210 P 91-0211 P
P 91-0214 P 91-0215 P
P 91-0218 P 91-0219 P
P 91-0222 P 91-0223 P
P 91-0226 P 91-0227 P
P 91-0230 P 91-0231 P
P 91-0234 P 91-0235 P
P 91-0238 P 91-0239 P
P 91-0244 P 91-0245 P
P 91-0248 P 91-0249 P
P 91-0252 P 91-0253 P
P 91-0256 P 91-0257 P
P 91-0260 P 91-0262 P
P 91-0265 P 91-0266 P
P 91-0270 P 91-0271 P
P 91-0274 P 91-0275 P
Y 91-0033 Y 91-0034 Y
Y 91-0037 Y 91-0038 Y
Y 91-0041 Y 91-0042 Y
Y 91-0045 Y 91-0049 Y
Y 91-0052 Y 91-0053

91-0144
91-0148
91-0152
91-0156
91-0160
91-0164
91-0168
91-0172
91-0178
91-0180
91-0184
91-0188
91-0192
91-0196
91-0200
91-0204
91-0208
91-0212
91-0216
91-0220
91-0224
91-0228
91-0232
91-0236
91-0242
91-0246
91-0250
91-0254
91-0258
91-0263
91-0267
91-0272
91-0277
91-0035
91-0039
91-0043
91-0050
Y 91-

UUMI H1-UUÖO
II. 242 Premanufacture notices received
previously and still under review at the end of
the month:

PMN No.
P
P
P
P
P
P
P
P

84-0660
86-0501
87-0105
87-1872
88-0217
88-0408
86-0836
88-1035

P
P
P
P
P
P
P
P

85-0433
80-1322
87-0323
87-1881
86-0319
88-0515
88-0918
88-1212

P
P
P
P
P
P
P
P

85-0619
86-1602
87-0723
87-1882
86-0320
860576
88-1020
86-1460

P
P
P
P
P
P
P
P

85-0730
86-1607
87-1555
88-0083
88-0353
88-0831
86-1021
86-1473

IV. 449 C hemical su b st a n c e s
PMN N a

P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P

86-1618 P 86-1619
86-1631 P 88-1632
86-1783 P 88-1807
88-1937 P 86-1938
88-1984 P 88-1985
88-2000 P 88-2001
88-2196 P 88-2210
88-2228 P 88-2229
86-2238 P 86-2237
86-2529 P 86-2530
89-0090 P 89-0091
89-0321 P 89-0328
89-0387 P 89-0396
69-0721 P 89-0764
89-0776 P 89-0867
89-0957 P 89-0958
89-0977 P 89-0978
89-1010 P 89-1038
89-1148 P 90-0002
90-0142 P 90-0158
90-0220 P 90-0226
90-0249 P 90-0260
90-0263 P 90-0319
90-0360 P 90-0364
90-0404 P 90-0405
90-0456 P 90-0489
90-0559 P 90-0560
90-0603 P 90-0608
90-0707 P 90-1280
90-1318 P 90-1319
90-1322 P 90-1338
90-1364 P 90-1366
90-1422 P 90-1454
90-1473 P 90-1511
90-1529 P 90-1530
90-1555 P 90-1556
90-1624 P 90-1635
90-1687 P 90-1718
90-1722 P 90-1723
90-1731 P 90rl732
90-1797 P 90-1809
90-1825 P 90-1830
90-1844 P 90-1845
90-1893 P 90-1937
90-1969 P 90-1973
90-2000 P 90-2003
91-0043 P 91-0051
91-0065 P 91-0069
91-0080 P 91-0086
91-0100 P 91-0101
91-0108 P 81-0109
91-0112 P 91-0113
91-0123 P 91-0124

for which

EPA h as

P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P

86-1622
86-1753
88-1809
86-1980
88-1995
88-2100
88-2212
86-2230
88-2484
88-2568
89-0225
69-0385
89-0538
800769
800924
89-0959
800979
80-1058
900009
900159
900237
900261
900321
90-0372
900406
900550
900564
900643
90-1308
90-1320
90-1353
90-1384
90-1464
90-1527
90-1531
90-1564
90-1636
90-1720
90-1728
90-1745
90-1818
90-1839
90-1846
90-1965
90-1984
910004
91-0055
91-0074
91-0087
910102
910110
91-P114

P 88-1630
P 88-1761
P 88-1811
P 88-1982
P 88-1999
P 88-2169
P 86-2213
P 88-2231
P 88-2518
P 890089
P 890254
P 890386
P 890589
P 890775
P 890942
P 890963
P 89-0980
P 89-1062
P 900013
P 900211
P 900248
P 900262
P 900347
P 900384
P 90-0441
P 90-0556
P 900581
P 90-0669
P 90-1311
P 90-1321
P 90-1358
P 90-1413
P 90-1472
P 90-1528
P 90-1541
P 90-1592
P 90-1650
P 90-1721
P 90-1730
P 90-1785
P 90-1821
P 90-1840
P 90-1864
P 90-1968
P 90-1985
P 91-0011
P 91-0064
P 91-0075
P 91-0091
P 91-0107
P 91-0111
P 91-0118

III. 176 Premanufacture notices and
exemption request for which the notice review
period has ended during the month. (Expiration
of the notice review period does not signify that
the chemical has been added to the inventory).

PMNNo.
P 88-1620 P 88-1621 P 88-2469
P 89-1104 P 90-0231 P 90-0333
P 90-0440 P 90-0480 P 90-0657
P 90-1337 P 90-1357 P 90-1565
P 90-1643 P 90-1644 P 90-1645
P 90-1647 P 90-1648 P 90-1649
P 90-1759 P 90-1760 P 90-1761
P 90-1763 P 90-1764 P 90-1765
P 90-1767 P 90-1768 P 90-1769
P 90-1771 P 90-1772 P 90-1773
P 90-1775 P 90-1776 P 90-1777
P 90-1779 P 90-1780 P 90-1781
P 90-1783 P 90-1784 P 90-1786
P 90-1788 P 90-1789 P 90-1790
P 90-1792 P 90-1793 P 90-1794
P 90-1796 P 90-1798 P 90-1799
P 90-1801 P 90-1802 P 90-1803
P 90-1805 P 90-1806 P 90-1807
P 90-1810 P 90-1811 P 90-1812
P 90-1814 P 90-1815 P 90-1816
P 90-1819 P 90-1820 P 90-1822
P 90-1824 P 90-1820 P 90-1827
P 90-1829 P 90-1831 P 90-1832
P 90-1834 P 90-1835 P 90-1836
P 90-1838 P 90-1841 P 90-1842
P 90-1847 P 90-1848 P 90-1849
P 90-1854 P 90-1855 P 90-1856
P 90-1859 P 90-1860 P 90-1861
P 90-1865 P 90-1666 P 90-1867
P 90-1869 P 90-1870 P 90-1871
P 90-1873 P 90-1874 P 90-1875
P 90-1878 P 90-1879 P 90-1880
P 90-1882 P 90-1883 P 90-1884
P 90-1886 P 90-1887 P 90-1888
P 90-1890 P 90-1891 P 90-1892
P 90-1895 P 90-1896 P 90-1897
P 90-1899 P 90-1900 P 90-1901
P 90-1903 P 90-1909 P 90-1918
Y 90-0292 Y 91-0016 Y 91-0017
Y 91-0019 Y 91-0020 Y 91-0021
Y 91-0023 Y 91-0024 Y 91-0025
Y 91-0027 Y 91-0028 Y 91-0029
Y 91-0031 Y 91-0032 Y 91-0033
Y 91-0035 Y 91-0036 Y 91-0037 Y

P 88-2473
P 90-0335
P 90-1285
P 90-1642
P 90-1646
P 90-1677
P 90-1762
P 90-1786
P 90-1770
P 90-1774
P 90-1778
P 90-1782
P 90-1787
P 90-1791
P 90-1795
P 90-1800
P 90-1804
P 90-1808
P 90-1813
P 90-1817
P 90-1823
P 90-1828
P 90-1833
P 90-1837
P 90-1843
P 90-1853
P 90-1857
P 90-1863
P 90-1868
P 90-1872
P 90-1870
P 90-1881
P 90-1885
P 90-1889
P 90-1894
P 90-1898
P 90-1902
P 90-1982
Y 91-0018
Y 91-0022
Y 91-0026
Y 91-0030
Y 91-0034
91-0038

received notices of commencement to manufacture

Identity/Generic Name

P
P
P
P
P
P
P
P

85-0648
85-0773
85-0775
85-0776
85-0779
86-0214
86-0501
86-0707

G lsopropy!idene-bis-( 1,1 -dimethyipropyl) derivative.............................................................................................- ............... .....................
G 4-(Trans-4-n-alkylcyck>hexyl)-n-a!koxybenzene............................................... .....
G 2-Aikoxyphenyl-5-alkyi pyrimidine.... .......................................................................... .................................. .
„.
G 5-n-Alkyl-2-{4-n-alkoxypber>yl)-1,3-pyrimidine..........................................................................................................
........................
G 5-n-Alkyl-2-{4-n-aIkoxyphenyt>-1,3-pyrimidine................................................................................................. .................... ■ ■ - ■ ■-......
G Functionalized etyrene-cM> polymer...................................................................... ...................................................................- ...........
G Aromatic rimmine......................................
....................................... .................................................................................................
G Alkyd resin solution............................................................................................................................................................... „..............

P
P
P
P
P
P
P
P

86-1771
87-0004
87-0571
87-1161
87-1278
87-1390
88-0218
88-0251

G Benzotriazole derivative............................................................................................................................................. .......... ........
...
G Bis-(p-ettiylbenzyiidene) sorbitol. .........
............. .......................................... ..............................-.......... G Cycloalkenyl substituted alkenone................................................................................................. - ..... ... ..... .........................................
G Polyester resin........................................................................... ..................................... ....................... ..... ......... ,................................
G Acrylate acrylonitrile copolymer................................................................................. ........................................ ................................... G Benzoate ester ot C-20 alcohol...............
....................................................-................... - ................
G Organopoiysiloxane containing hydrigen groups.................. . _____________
__________
_ _
Fimaric acid; sulfuric acid.................................................................. ................... .....
................................................................ .........

Date of
Commencement
October 18,1990.
March 15,1990.
October 4,1990.
October 4,1990.
October 4,1990.
April 11.1988.
August 7,1989.
September 28,
1990.
August 29,1988.
February 1,1988.
August 16,1990.
October 4,1990.
October 4,1990.
October 9,1990.
October 4.1990.
September 24,
1990.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices
IV. 449 C h e m ic a l

s u b s t a n c e s f o r w h ic h

PMN No.

EPA

4999

h a s r e c e iv e d n o t ic e s o f c o m m e n c e m e n t t o m a n u f a c t u r e — Continued

Identity/Generic Name

P 88-0340

Q Styrenaied acrylate methacrylate____

P
P
P
P
P
P
P

88-0831
88-1480
88-1583
88-1602
88-2097
88-2281
89-0003

Phenol. 4,4’-(9H-fluoren-9-ylid8ne)bis-__________________ ____ ___ ______ .____ ___
G 2,5-Dimercapto-1,3,4-thiadiazole reaction product_____________________________
G Long oil alkyd resin; based on mixed fatty acids._____ _________________ ______
G Acrylic copolymers emulsion._____________________________________ _______
G Aliphatic aromatic polyalcohol ether amine__________________„ _______ _______
G Polymer of an aromatic diisocyanate, aliphatic diots, a diepoxide and an aliphatic diamine
2-{2-(2-Hydroxyethoxy)ethoxy)ethylamine___________________ ___________________

P
P
P
P
P
P
P
P
P
P

89-0006
89-0007
89-0072
89-0073
89-0077
89-0180
89-0192
89-0204
89-0205
89-0268

G Substituted ketazine__ ______ ____________________
G Substituted phenone______ ______________________
G Acid neutralized amine modified epoxy resin__________
G Urethane acrylate................................. .............................
G Polyester acrylate...............................................................
G Carboxylic acid, metal sa lt________________________

P
P
P
P
P
P
P
P
P
P

89-0430
89-0431
89-0432
89-0433
89-0434
89-0435
89-0437
89-0436
89-0510
89-0593

Aluminum chloride hydroxide sulfate__ ________________
G Aromatic aliphatic polyester__ ,____________________
G Styrene containing acrylate polymer.___________...___
G Alkyl amine............................................ ...............:_____

Date of
Commencement
September 21,
1990.
August 27, 1989.
January 4,1990.
October 11,1990.
March 14, 1989.
August 31,1990.
October 19,1990.
September 19,
1990.
October 8,1989.
October 4,1989.
October 15,1990.
August 16, 1990.
October 15,1990.
March 22, 1989.
March 20,1989.
October 15,1990.
May 1,1989.
November 15,
1989.
October 18,1989.
October 18, 1989.
October 18,1989.
October 18,1989.
October 18,1989.
October 18, 1989.
October 18, 1989.
June 1,1989.
May 22, 1990.
May 29, 1990.

G Blocked aromatic isocyanate____________ ____________________________________________________________________
G Blocked aromatic isocyanate______ ____________________________________________________ _____________________ _
G Blocked aromatic isocyanate______ ____ ______ __________________________________________________ _____________
G Blocked aromatic isocyanate_____________ _______________ ______ ____________________ __ _____ __ _____ __
G Blocked aromatic isocyanate......... .... .....____________________ ___ ___ _________ __________________ ____ ....__......____
G Blocked aromatic isocyanate__ ____ _________________________________________________________________________
G Blocked aromatic isocyanate__________________ ,___________________________________________ __________________
G Polymethylene polyphenyl isocyanate__________________________________________________________________________
G Polyamido polyurea.___ ____________ _____________,___________________________________ ______________________
G Reaction product of sodium metabisulfite with polymer of polyalkyiene glycol; atkyldio!; and monocyclic dicarboxyiic acid, dialkyl
ester..
P 89-0695 Triethylene glycol and ammonia.____ ___,________________ _______________________________________________________ August 28,1990.
P 89-0745 G Fatty acids, C-16 substituted dimers, polymers with alkyl diacid, 1,2-ethanediamine, 1-piperazine ethaneand polyetherdiamine....... October 22,1990.
October 16, 1990.
P 89-0825
P 89-0879 G Organosilicone copolymer___ ___________________________________________________ ..__ ________________ ,_______ October 18,1990.
P 89-0882 G Partially hydrolyzed alkyl silicate-polyol-siliane polymer.____________________________________________________________ October 9,1989.
P 89-0895 G Modified organo siloxane______________________________________________________ ___________._________________ October 4,1990.
P 89-1073 G Diureas...................................................................... .... ........ ....... ... ......................... ..................... ..... ................................................. December 27,
1989.
December 27,
P 89-1074 G Diureas..
1989.
P 90-0048 Random copolymer of 1,3-butadiene with 2-propenenitriJe atpha-N-f2-(1-piperazyl)-ethyl) 4-cyano-4-methytbutyramide-omega-2,2- October 11,1990.
dimethylethane-nltrile..
P 90-0049 Random copolymer of 1,3-butadiene with 2-propeneniirrte aipha-N(2-( l -piperazyl)ethyl)4 -cyano-4 -methy!butyamide-omega-2 -meth- October 11,1990.
yttxityronitrile..
P 90-0050 Homopolymer of 1,3-butadiene with alpha-(4-cyano-4 -methylbutyric acid)-omega-2,2-dimethylethaneortrtie_____________________ October 11,1990.
P 90-0069 G Acrylate acrylic polymer.____________________________________________________________________________________ October 11,1990.
P 90-0070 G Modified alkyl acrylate polymer_______________________________________ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ s- - - - - - October 11,1990.
P 90-0073 G Aromatic isocyanate-based urethane prepotymer________________________________________________________________ May 7,19«).
P 90-0078 G Phenolate sodium salt_______________ _____ ________________________ .________________________________________ October 11,1990.
P 90-0080 G Adduct of styrene/allyl alcohol_____ ___________ ______________________________________________________________ October 11,1990.
P 90-0081 G Thiadiazole derivative_________ ____ ___________ ____________________________________ __________________________ October 11, 1990.
P 90-0115 G Halogen-substituted hexahydro pentaalkyl substituted-indere____________________________________ _________________ March 17, 1990.
P 90-0171 G Alkenyl-substituted heterocyclic benzoic acid_______________ ____________________ _______________________________ October 18, 1990.
P 90-0191 G Emulsion pentapolymer.............................................. ...... ..._____ ____,__ ___________________________ _____ _____ ____ September 27,'
1990.
August 30, 1990.
P 90-0292 G Triisocyanurate prepolymer............................................
P 90-0381 G Polyaromatic resin..........................................................
September 9,
1QQA

90-0412
90-0422

G Epoxy resin............................................................... ......
G Polyamide resin............................. ......................... ......

90-0454
90-0459

G Organopolysiloxane__________ ____ _____ _________________________ ________________________________
G Reaction product of: tofa glycerine phthalic anhydride, benzoic add phenolic resin, poiyhydric alcohol, aliphatic oil.

90-0470
90-0514
90-0549
90-0575
90-0642

G Rosin, polymer with substituted phenols, formaldehyde, pentaerythritol and metal hydrooxide..
G Substituted nickel dithiene...................................... ...................... ................... .... ..... .................
G Benzoate ester..........;................................................................................... *__________ _____
G Groups and hydroxy-terminated polyisocyanate...___________________ ____________ __...
G Halogen substitution-modified methacrylate polymer___ ______________________________

P 90-0658

G Polyacrylate....................................

P 90-0684

G Salts of acrylic-aromatic polymers..

P 90-0706
P 90-0718
P 90-0720

G Dialkyl phosphonate, polymers with alkyl alkanolamine, borate________________
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.

June l i 1990.
September 30,
1990.
October 4, 1990.
September 24,
1990.
May 19,1990.
October 1,1990.
October 7,1990.
August 16, 1990.
September 27,
1990.
September 13,
1990.
September 6,
1990.
October 9, 1990.
October 10, 1990.
October 11, 1990.

5000
IV.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

449 C h e m ic a l

PMN N o .
P 90-0721
P 90-0722
P 90-0723
P 90-0724
P 90-0725
P 90-0726
P 90-0727
P 90-0728
P 90-0729
P 90-0731
P 90-0732
P 90-0733
P 90-0734
P 90-0735
P 90-0736
P 90-0737
P 90-0738
P 90-0739
P 90-0740
P 90-0741
P 90-0742
P 90-0743
P 90-0744
P 90-0745
P 90-0746
P 90-0747
P 90-0748
P 90-0749
P 90-0751
P 90-0752
P 90-0753
P 90-0754
P 90-0755
P 90-0756
P 90-0757
P 90-0758
P 90-0759
P 90-0760
P 90-0761
P 90-0762
P 90-0763
P 90-0764
P 90-0765
P 90-0766
P 90-0767
P 90-0768
P 90-0769
P 90-0771
P 90-0772
P 90-0773
P 90-0774
P 90-0775
P 90-0776
P 90-0777
P 90-0778
P 90-0779
P 90-0780
P 90-0781
P 90-0782
P 90-0784
P 90-0785
P 90-0786
P 90-0787
P 90-0788
P 90-0789
P 90-0791
P 90-0792
P 90-0794
P 90-0795
P 90-0796
P 90-0861
P 90-0862
P 90-0863
P 90-0864
P 90-0865
P 90-0866
P 90-0867
P 90-0868
P 90-0869

s u b s t a n c e s f o r w h ic h

EPA

h a s r e c e iv e d n o t ic e s o f c o m m e n c e m e n t t o m a n u f a c t u r e — Continued

Identity/Generic Name
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymer and salts thereof...
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymer and salts thereof...
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrytic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and
saltsthereof.
G Acrylic copolymers and salts thereof:styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof:styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrytic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrytic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrytic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrytic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrytic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof, styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts thereof styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..

Date of
Commencement
October 11, 1990.
October 11, 1990.
October 11, 1990.
October 11, 1990.
October 15, 1990.
October 15, 1990.
October 10, 1990.
October 15, 1990.
October 15, 1990.
October 15, 1990.
October 11, 1990.
October 12, 1990.
October 12, 1990.
October 15, 1990.
October 10, 1990.
October 10, 1990.
October 10, 1990.
October 11, 1990.
October 11, 1990.
October 11, 1990.
October 11, 1990.
October 11, 1990.
October If, 1990.
October 15, 1990.
October 15, 1990.
October 10, 1990.
October 15, 1990.
October 15, 1990.
October 15, 1990.
October 11, 1990.
October 12, 1990.
October 15, 1990.
October 15, 1990.
October 10, 1990.
October 10, 1990.
October 10, 1990.
October 11, 1990.
October 11, 1990.
October 11, 1990.
October 11, 1990.
October 11, 1990.
October 11, 1990.
October 15, 1990.
October 15, 1990.
October 10, 1990.
October 15, 1990.
October 15, 1990.
October 15, 1990.
October 11, 1990.
October 15, 1990.
October 15, 1990.
October 11, 1990.
October 11, 1990.
October 11, 1990.
October 15, 1990.
October 15, 1990.
October 10, 1990.
October 15, 1990.
October 15, 1990.
October 15, 1990.
October 11, 1990.
October 15, 1990.
October 11, 1990.
October 11, 1990.
October 15, 1990.
October 15, 1990.
October 15, 1990.
October 15, 1990.
October 11, 1990.
October 15, 1990.
October 10, 1990.
October 10, 1990.
October 10, 1990.
October 10, 1990.
October 11, 1990.
October 11, 1990.
October 11, 1990.
Octooer 11, 1990.
October 1 1. •990.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

IV. 449 C h e m ic a l
PMN No.
p
p
p
p
p
p
p
p
p
p
p
p
p
p
p
p
p
p
p
p
p
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p
p
p
p
p
p
p
p
p
p
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p
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p
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p
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P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P
P

90-0870
90-0871
90-0872
90-0873
90-0874
90-0875
90-0877
90-0878
90-0879
90-0880
90-0881
90-0882
90-0883
90-0884
90-0885
90-0886
90-0887
90-0888
90-0890
90-0891
90-0892
90-0937
90-0938
90-0939
90-0940
90-0941
90-0942
90-0943
90-0944
90-0946
90-0947
90-0948
90-0950
90-0951
90-0952
90-0953
90-0954
90-0955
90-0956
90-0957
90-0958
90-0959
90-0960
90-0961
90-0962
90-0963
90-0964
90-0966
90-0967
90-0968
90-0969
90-0970
90-0971
90-0972
90-0973
90-0974
90-0975
90-0976
90-0978
90-0979
90-0980
90-0981
90-0982
90-0983
90-0984
90-0985
99-0986
90-0987
90-0989
90-0991
90-0992
90-0993
90-0994
90-0995
90-0996
90-0997
90-0998
90-0999
90-1001

s u b s t a n c e s f o r w h ic h

EPA

5001

h a s r e c e iv e d n o t ic e s o f c o m m e n c e m e n t t o m a n u f a c t u r e — Continued

Identity/Generic Name
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrylic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
; styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
: Styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acryiic copolymers and salts thereof..
G Water dispersible polyurethar
G Acrylic copolymers and salts
styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
; styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
; styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts
: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts thereof. styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts thereof styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts thereof styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts thereof styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts thereof styrene/acrytic copolymers and salts thereof..
G Acrylic copolymers and salts thereof styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts thereof styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acryiic copolymers and salts thereof..
G Acrylic copolymers and salts thereof: styrene/acryiic copolymers and salts thereof..

Date of
Commencement
.... October 11, 1990.
__ October 15, 1990.
__ October 15, 1990.
.... October 10, 1990.
__ October 15, 1990.
.... October 15,1990.
.... October 15,1990.
.... October 11,1990.
.... October 15,1990.
..... October 15, 1990.
.... October 11,1990.
..... October 11,1990.
„... October 11,1990.
.... October 15,1990.
.... October 15,1990.
.... October 10, 1990.
..... October 15, 1990.
..... October 15, 1990.
.... October 15,1990.
__ October 11, 1990.
.... October 15, 1990.
.... October 11, 1990.
.... October 11,1990.
__ October 11,1990.
.... October 15,1990.
.... October 15,1990.
__ October 10,1990.
__ October 15,1990.
„... October 15,1990.
..... October 15, 1990.
__October 11,1990.
__ October 15,1990.
__October 10,1990.
__ October 10,1990.
__ October 10, 1990.
__October 10,1990.
.... October 11, 1990.
__ October 11,1990.
__October 11,1990.
.... October 11,1990.
__ October 11,1990.
__ October 11, 1990.
__ October 15,1990.
__ October 15,1990.
__ October 10, 1990.
.„. October 15,1990.
__ October 15,1990.
__ October 15,1990.
..„ October 11,1990.
__October 12,1990.
__ October 12,1990.
__October 15,1990.
__October 15,1990.
.... October 10,1990.
__October 10,1990.
..... October 10,1990.
__ October 10,1990.
.... October 10,1990.
.... October i t , 1990.
__ October 11, 1990.
__ October 11,1990.
..... October 11,1990.
__ October 12,1990.
__ October 15,1990.
__ October 15,1990.
__ October 10, 1990.
_ October 15,1990.
_October 15, 1990.
..... October 15, 1990.
.... October 12,1990.
.... October 15,1990.
__October 15,1990.
.... October 15, 1990.
..... October 10,1990.
..... October 10,1990.
_ October 10,1990.
_ October 10, 1990.
_ October 10,1990.
.... October 11,1990.

5002
IV.
PMN No.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

449 C h e m ic a l

s u b s t a n c e s f o r w h ic h

EPA

h a s r e c e iv e d n o t ic e s o f c o m m e n c e m e n t t o m a n u f a c t u r e — Continued

Identity/Generic Name

P 90-1002 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1003 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1004 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1005 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1006 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1007 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1008 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1009 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1010 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1012 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1013 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1014 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1015 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1016 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1017 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1018 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1019 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1020 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1021 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1022 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1023 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1024 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1025 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof.
P 90-1026 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1027 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1028 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1029 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1030 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1031 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1032 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1033 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1035 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1036 G Acrylic copolymers and salts thereof: styrene/acrylic. copolymers and salts thereof..
P 90-1037 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1038 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1039 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1040 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1041 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1042 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1043 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1044 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1045 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1046 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1047 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1048 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1049 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1050 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1051 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof..
P 90-1052 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1053 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1054 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1055 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1056 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1058 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1060 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1061 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1062 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1063 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1064 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1065 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1067 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1068 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1069 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1070 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1071 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof...
P 90-1072 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof....
P 90-1073 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof....
P 90-1074 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof....
P 90-1075 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof. ...
P 90-1076 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof....
P 90-1077 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof. ...
P 90-1078 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof....
P 90-1079 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof. ...
P 90-1081 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof. ...
P 90-1082 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof. ...
P 90-1083 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof. ...
P 90-1084 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof....
P 90-1085 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof. ...
P 90-1086 G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof....

Date of
Commencement
.. October 11, 1990.
.. October 11, 1990.
.. October 11,1990.
.. October 12, 1990.
.. October 15, 1990.
.. October 15, 1990.
.. October 10, 1990.
.. October 15, 1990.
.. October 15, 1990.
.. October 15, 1990.
,. October 11,1990.
. October 12, 1990.
. October 15, 1990.
. October 15, 1990.
. October 15, i990.
. October 10, 1990.
. October 10, 1990.
. October 10, 1990.
. October 10, 1990.
. October 10, 1990.
. October 11, 1990.
. October 11, 1990.
. October 11, 1990.
. October 11, 1990.
. October 11, 1990.
. October 12, 1990.
. October 15, 1990.
. October 15, 1990.
. October 10, 1990.
. October 15, 1990.
. October 15, 1990.
. October 15, 1990.
. October 11, 1990.
. October 15, 1990.
. October 12, 1990.
. October 15, 1990.
. October 15, 1990.
. October 10, 1990.
. October 10, 1990.
October 10, 1990.
October 10, 1990.
October 10, 1990.
October 11, 1990.
October 11, 1990.
October 11, 1990.
October 11, 1990.
October 11, 1990.
October 12, 1990.
October 15, 1990.
October 15, 1990.
October 10, 1990.
October 15, 1990.
October 15, 1990.
October 15, 1990.
October 12, 1990.
October 15, 1990.
October 15, 1990.
October 15, 1990.
October 10, 1990.
October 10, 1990.
October 10, 1990.
October 10, 1990.
October 11, 1990.
October 11, 1990.
October 11, 1990.
October 11, 1990.
October 11,1990.
October 12, 1990.
October 15, 1990.
October 15, 1990.
October 10, 1990.
October 15, 1990.
October 15, 1990.
October 15, 1990.
October 11, 1990.
October 12, 1990.
October 15, 1990.
October 15, 1990.
October *5, 1990.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / N otices
IV. 449 C hemical substances
PMN No.
90-1133
90-1134
90-1135
90-1136
90-1137
90-1138
90-1139
90-1140
90-1141
90-1142
90-1143
90-1144
90-1145
90-1146
90-1147
90-1148
90-1150
90-1151
90-1152
90-1153
90-1154
90-1155
90-1180
90-1181
90-1182
90-1183
90-1184
90-1185
90-1186
90-1187
90-1188
90-1189
90-1192
90-1197
90-1198
90-1277
P 90-1312
P 90-1324
P 90-1330
P 90-1365
P 90-1378
P 90-1381
P 90-1385
P
P
P
P

90-1389
90-1396
90-1397
90-1398

P 90-1401
P 90-1420
P 90-1427
P 90-1434
P 90-1466
P 90-1468
P 90-1471
P
P
P
P
P

90-1480
90-1502
90-1505
90-1506
90-1507
90-1549
90-1550
90-1553
90-1554
90-1557
90-1562
90-1581

for which

EPA

5003

has received notices of commencement to manufacture —Continued
Identity/Generic Name

G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymer and salts thereof...
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts thereof,
G Acrylic copolymers and salts thereof: styrene/acrylic copolymers and salts theroef.
G Acrylic copolymers and salts thereof, styrene/acrylic copolymers and salts thereof.
G Disubstituted aliphatic-terminated silicone....._______

Date of
Commencement

October 10,1990.
October 10,1990.
October 10,1990.
October 10,1990.
October 10,1990.
October 11,1990.
October 11,1990.
October 11,1990.
October 11, 1990.
October 11,1990.
October 12,1990.
October 15,1990.
October 15,1990.
October 10,1990.
October 15,1990.
October 15,1990.
October 15,1990.
October 11, 1990.
October 12, 1990.
October 15,1990.
October 15,1990.
October 15,1990.
October 10,1990.
October 10,1990.
October 10,1990.
October 10,1990.
October 11, 1990.
October 11,1990.
October 11,1990.
October 11,1990.
October 11,1990.
October 12,1990.
October 10,1990.
October 11,1990.
October 12,1990.
September 4,
1990.
G Rosin ester..
September 19,
1990.
G Urethane modified tall oil fatty add alkyd....... ..... .................... ........ .................. ................... ...... ..... ....... ..........___..........__ ...._.... August 11, 1990.
G Black polymer of alkane diacid with alkane diamines, poiysubstituted cycloalkanes and alkanes diols........ .
September 14,
1990.
Polymer of: trimeiatic anhydride, diethylene glycol, phthalic anhydride, dimethylol propionic acid, iso-phthalic add, dimethyl amino August 20, 1990.
ethanel, dimethylol cyclohexane, diethanol amine, morpholine, ammonia, methyl amino propanol, pentaerythritol, trimethylol
propane, malic add..
G Ziegler catalyst precursor....._________________________________ ___________________ _____________ ____________ ___ September 27,
1990.
G Polynudear polyhydroxy phenol________
October 1,1990.
G Substituted ethylene copolymer............___
September 10,
1990.
G Aromatic poiyimide.________ _______________ __________________________________________ ......__________ __________ August 27, 1990.
G Stryene-acrylate-methacrylate copolymer..... ..... .................................................... .... .................... ........ ...........
,
August 31, 1990.
G Dialkylamine hydrohalide___________________________ ___ _______________________ ______....________ ___ __________ August 24, 1990.
2-(2,4-biis(1,1-dimethy!propyl)phenoxy)-N-(4-(4,5-dihydro-5-oxo-3-(1 -pyrrolidinyl)-1 H-pyrazol-1 -yl)phenyl)phenyl)butanamide monohy- August 28, 1990.
drochloride..
G Polyether benzamide__________ ____ _______________________________________ ______ ..__ __________ .________ ____ October 22, 1990.
G Substituted melamine polymer._______ ________ ____...____________ ________________ .....________________ ,
M , September 4,
1990.
G Hydroxy functional acrylic polymer..
September 19,
1990.
G Hydroxy functional acrylic resin.......
September 12,
1990.
G Aqueous polyurethane dispersion....................................................................................................................... ........................______ October 13,1990.
G Dialkyl substituted heterocyclic aromatic compound....__ ................ .................. ...............
,,, ,
.......
•
October 2, 1990.
Fatty adds, C14-18, C16-22 unsaturated, esters with 2-octyl-1-dodecanol____ ___ ________ _____ ______..............................
September 25,
1990.
G Perfluoroalkoxy polymer........__ ...._____.....___________.._________________ .........................___ __________ .......................___ _ October 12, 1990.
G MetaRzed sulfophenyl azo oxy phenyl azo benzoate, sodium salt———,
___ ___________________________ _
October 10,1990.
G Metalized disulfophenyl azo (substituted) naphthalene; triazine.................................. ........ ................. .... ........ .... ........ ....... .... .... .... October 10,1990.
G Copper phthalocyanine sulfonyl sulfo derivative, sodium s a lt....__.............__ ....................._________ ___............_........_______ _ October 10,1990.
G PyrozoUc add ethene diyl bis sulfo phenylene chloro triazine suit phinyl azo substituted sulfo phenylene azo bis substituted October 10,1990.
sulfo phenyl, sodium salt.
G Salt 61 an acylated polyamine..................................................._____ ________
October 4, 1990.
G Salt of an acylated polyamine_________ ___ _________ ________ _________
October 4, 1990.
G Benzothiophenone derivative_________________ ________ ______________
October 4, 1990.
G Substituted benzensulfonamide__ _________ ......______________________
October 22,1990.
G Substituted alkyl sulfonic add derivative. ....... ..... ... ....... .... ........ ........ ..............
October 3,1990.
G Styrenated hydroxy functional acrylic.__ ........... .. ............. .... ...... ..... .............
October 1,1990.
G Alkoxylated aromatic amine............ ....__ ___ ___ __________ ____________...
October 23,1990.

5 0 0 4 ___________ Federai Register / Vol. 56, No. 26 / Thursday, F ebruary 7, 1991 / N otices
IV. 4 4 9 C h e m ic a l
PMNNo.
P
P
P
Y
Y

s u b s t a n c e s f o r w h ic h

EPA

h a s r e c e iv e d n o t ic e s o f c o m m e n c e m e n t t o m a n u f a c t u r e - - C o n tin u e d

Identity/Generic Name

90-1589 G Polyoxyalkyl aromatic amine.
......... .... ..... ..................... ...............
.„ _______________ .....
90-1593 G Hydroxytated functional styrene, acrylate and methacrylate polymer................ ...........................
90-1621 G Fatty acid ester.
_____ „
*
' S . ....... .... .......... ..................................................... ...... ...........
89-0072 G Chain terminated aikyd resin......................................................................................
......... ..................................................
89-0144 G Modified polypropylene....................................................................

Y 89-0157
Y 89-0178
Y 89-0179
Y 89-0181
Y 89-0182
Y 89-0183
Y 89-0184
Y 89-0185
Y 89-0186
Y 89-0187
Y 89-0189
Y 89-0190
Y 89-0191
Y 89-0193
Y 89-0194
Y 89-0195
Y 89-0196
Y 89-0197
Y 89-0198
Y 89-0199
Y 89-0202
Y 89-0203
Y 89-0204
Y 89-0206
Y 89-0207
Y 69-0208
Y 69-0209
Y 89-0210
Y 89-0212
Y 89-0213
Y 90-0042
Y 90-0043
Y 90-0045
Y 90-0046
Y 90-0047
Y 90-0049
Y 90-0050
Y 90-0051
Y 90-0056
Y 90-0058
Y 90-0066
Y 90-0067
Y 90-0068
Y 90-0069
Y 90-0070
Y 90-0072
Y 90-0073
Y 80-0075
Y 90-0079
Y 90-0081
Y 90-0082
Y 90-0083
Y 90-0182
Y 90-0192
Y 90-0205
Y 90-0220
Y 90-0221
Y 90-0222
Y 90-0253
Y 90-0263
Y 90-0281

Date of
Commencement
October t t , 1990.
October 5,1990.

May 15.1989.
September 6.
1990.
G Polyester polyurethane methacrylate graft copolymer.............................................................................................
August 6.1990.
G Aqueous acrylic copolymer and aqueous acrylic copolymer salts........ ....................................... .................. ..................... ...... ..... October 12,1990.
G Aqueous acrylic copolymer and aqueous acrylic copolymer salts............................................
................................................
G Aqueous acrylic copolymer and aqueous acrylic copolymer salts............ ..... ...
....................... ...... _........................................ October 10.1990.
G Aqueous Acrylic copolymer and aqueous acrylic copolymer salts.................................. .................................... .................................. October 10,1990.
G Aqueous acrylic copolymer and aqueous acrylic copolymer salts.»..................................... ....... .........„.............................................. October 10, 1990.
G Aqueous acrylic copolymer and aqueous acrylic copolymer salts..............................................................................
rvtnher 11, 1990.
G Aqueous acrylic copolymer and aqueous acrylic copolymer salts. . .............. ............. ....................................... ................. October 10,1990.
G Aqueous acrylic copolymer and aqueous scrylic copolymer salts..................................................
October 1J* 1990.
G Aqueous acrylic copolymer and aqueous acrylic copolymer salts.....................................................................
»
.
__
_ ...................... .........._.............. October 10,1990.
G Acrylic copolymer and salts thereof______________ __
G Acrylic copolymer and salts thereof........................................................................,.............
October 12,1990.
G Acrylic copolymer and salts thereof___________
„
.
_
................ ... .....................
G Acrylic copolymer and salts thereof......................................................... .
...................................... October 10, 1990.
G Acrylic copolymer and salts thereof.»...________ .„ ». . ___
___ . „
___ ________ ______ „ October 10, 1990.
G Acrylic copolymer and salts thereof.....................................................................................................................
G Acrylic copolymer and salts thereof.......................................................................
October 11, 1990.
_ ...
___
.. „
.
__
___ _____ ____
G Acrylic copolymer and salts thereof.... »___ _______
October 10,1990.
................. .............
G Acrylic copolymer and salts thereof...................... ....... ........................ ............ ..
October 11,1990.
G Acrylic copolymer and salts thereof...................................................................................
October 11,1990.
. . .
................
............................ ..... October 12,1990.
G Acrylic copolymer and salts thereof...................... ..
G Acrylic copolymer and salts thereof...................... ....
»
„
______
_.
......
............... ................. October 12, 1990.
.................... October 15,1990.
G Acrylic copolymer and salts thereof..............................................................................................
G Acrylic copolymer and salts thereof.... ».....................
... _____
__ __________
October 10,1990.
...
»
.
G Acrylic copolymer and salts thereof.........................
October 10,1990.
G Acrylic copolymer and salts thereof...»...............................».
.......... .........
„...
................................ . October 10, 1990.
G Acrylic copolymer and salts thereof...... .............................
.................
_
_
_____ _________ _________ October 10, 1990.
G Acrylic copolymer and salts thereof....................................................................
October 11, 1990.
G Acrylic copolymer and salts thereof...... »...............» .»
__
. ______
_
„
_
rVtnher 11, 1990.
G Acrylic copolymer and salts thereof.................................
...........
October 11,1990.
G Aqueous acrylic copolymer and its salts..................................................................... ................................ ............................................ October 12,1990.
G Aqueous acrylic copolymer and its salts.......................................
October 12,1990.
G Aqueous acrylic copolymer and its salts.......».......... ......... ..... ........................
October 10,1990.
..........
G Aqueous acrylic copolymer and its salts..............................
October 10,1990.
G Aqueous acrylic copolymer and its salts................................
October 10, 1990.
G Aqueous acrylic copolymer and its salts.............................
............
October 11,1990.
. . ________ .
__ ». ........................................ October 11, 1990.
G Aqueous acrylic copolymer and its salts.______ ___
G Aqueous acrylic copolymer and its salts.................................. ....
October 10, 1990.
G Slloxanes and silicones, methyl alkyl................................................... .......
September 1,
1990.
G Aqueous acrylic copolymer and salts thereof............................................................................ ...........................
October 12,1990.
G Aqueous acrylic copolymer and salts thereof.......... .......
..............
....
October 10,1990.
G Aqueous acrylic copolmer and salts thereof................................ ................
October 10,1990.
G Aqueous acrylic copolymer and salts thereof................................................................... ....... ................................................................ October 10,1990.
G Aqueous acrylic copolymer and salts thereof............................
...........................
October 11, 1990.
G Aqueous acrylic copolymer and salts thereof_________________ _____
. ... .
_________ _____
October 11,1990.
G Aqueous acrylic copolymer and salts thereof..........................................................
G Aqueous acrylic copolymer and salts thereof__ _
. _____ ___ ___
...................
......
................................... October 15,1990.
.............................
G Aqueous acrylic copolymer and salts thereof....................................................
October 10, 1990.
G Aaueoua acrylic copolymer and salts thereof.................. .
...........................
October 11,1990.
G Aqueous acrylic copolymer and salts thereof______ ».
October 11,1990
G Aqueous acrylic copolymer and salts thereof...............................
October 10,1990
G Aqueous acrylic copolymer and salts thereof.........................................
October 12, 1990.
G Tall oil fatty acid modified aikyd.......................................................................
April 25, 1990.
G Polyalkylarylether......................... ...... ..............................
May 2, 1990.
G Polyester.............................................................................
October 15,1990
G Hydroxyalkylsiloxane.................................................
......
September T7,
1990.
G Hydroxyalkylsiloxane............................................
September 17,
1990.
G Hydroxyalkylsiloxane....................................... ..................
...................
September T7,
1990.
G Modified ethylene-vinyl acetate copolymer. ».»„» ....
_
September 12,
1990.
HaJogenatea styrene teoprene/botadiene block copolymer._
_ .
............
.... ............... ..................................... September 18,
1990.
G Aikyd resin....................................... .......................... ......... .
September 20,
1990.

Federal Register / Vol. 56, No. 26 / Thursday, F ebruary 7, 1991 / N otices

V. 19 Premanufacture notices for which the
period has been suspended.

FED ERAL EM ERGENCY
MANAGEMENT AGENCY

PMNNo.

[FEM A -891-D R ]

P
P
P
P
P

90-0594
90-1797
90-1830
90-1845
90-1877 P

P 90-1454 P 90-1464
P 90-1809 P 90-1818
P 90-1839 P 90-1840
P 90-1848 P 90-1862
90-1893 P 91-0077

P
P
P
P

90-1787
90-1821
90-1844
90-1884

[FR Doc. 91-2968 Filed 2-6-91; 8:45 am]

Indiana; Amendment to Notice of a
Major Disaster Declaration
a g e n c y : Federal Emergency
Management Agency.
ACTION: Notice.

BILLING CODE 65S0-50-F

This notice amends the notice
of a major disaster for the State of
Indiana (FEMA-891-DR), dated January
5,1991, and related determinations.
d a t e d : January 29,1991.
sum m ary:

FEDERAL COMMUNICATIONS
COMMISSION
Public Information Collection
Requirement Submitted to Office of
Management and Budget for Review
January 31,1991.

The Federal Communications
Commission has submitted the following
information collection requirement to
OMB for review and clearance under
the Paperwork Reduction Act of 1980 (44
U.S.C. 3507).
Copies of this submission may be
purchased from the Commission’s copy
contractor, Downtown Copy Center,
1114 21st Street, NW., Washington, DC
20036, (202) 452-1422. For further
information on this submission contact
Judy Boley, Federal Communications
Commission, (202) 632-7513. Persons
wishing to comment on this information
collection should contact Jonas
Neihardt, Office of Management and
Budget, room 3235 NEOB, Washington,
DC 20503, (202) 395-4814.
OMB Number: 3060-0108.
Title: Emergency Broadcast System
(EBS) Activation Report.
Form Number: FCC Form 201.
Action: Extension.
Respondents: Businesses or other forprofit (including small businesses).
Frequency o f Response: On occasion.
Estimated Annual Burden: 500
responses, 084 hours average burden per
response, 42 hours total annual burden.
Needs and Uses: The FCC Form 201
w as developed as part of the EBS
planning program. The program is a
three agency agreement between the
FCC, the NOAA National W eather
Service, and the Federal Emergency
Management Agency (FEMA). The form
allows the three agencies to assess the
success of the program and pinpoint the
areas of the country that need further
assistance in developing their local EBS.
Federal Communications Commission.
Donna R. Searcy,

Secretary.
(FR Doc. 91-2927 Filed 2-6-91; 8:45 am]
BILLING CODE 6712-01-M

FOR FURTHER INFORMATION CONTACT:

Neva K. Elliott, Disaster Assistance
Programs, Federal Emergency
Management Agency, Washignton, DC
20472 (202) 646-3614.
n o t i c e : The notice of a major disaster
for the State of Indiana, dated January 5,
1991, is hereby amended to include the
following areas among those areas
determined to have been adversely
affected by the catastrophe declared a
major disaster by the President in his
declaration of January 5,1991:
The counties of Grant, Jefferson, Martin,
Steuben, Sullivan, and Vanderburgh for
Public Assistance (previously designated for
Individual Assistance); and
The counties of Benton, Jennings, LaPorte,
Perry, and Wells for Individual Assistance
and Public Assistance.
(Catalog of Federal Domestic Assistance No.
83.516, Disaster Assistance)
Grant C. Peterson,

Associate Director, State and Local Programs
and Support, Federal Emergency
Management Agency.
(FR Doc. 91-2945 Filed 2-6-91; 8:45 am]
BILLING CODE 6718-02-M

Indiana; Amendment to Notice of a
Major Disaster Declaration
[FEM A -891-D R ]

Federal Emergency
Management Agency.
a c t i o n : Notice.
AG ENCY:

This notice amends the notice
of a major disaster for the State of
Indiana (FEMA-891-DR), dated January
5,1991, and related determinations.
DATED: January 3Ì, 1991.

SUMM ARY:

FOR FURTHER INFORMATION CO N TACT:

Neva K. Elliott, Disaster Assistance
Programs, Federal Emergency
Management Agency, Washington, DC
20472 (202) 646-3614.
NOTICE: The notice of a major disaster
for the State of Indiana, dated January 5,

5005

1991, is hereby amended to include the
following areas among those areas
determined to have been adversely
affected by the catastrophe declared a
major disaster by the President in his
declaration of January 5,1991:
Madison County for Public Assistance
(previously designated for Individual
Assistance).
(Catalog of Federal Domestic Assistance No.
83.516, Disaster Assistance)
Grant C. Peterson,

Associate Director, State and Local Programs
and Support, Federal Emergency
Management Agency.
[FR Doc. 91-2946 Filed 2-6-91; 8:45 am]
BILUNG CODE 6718-02-M

FEDERAL MARITIME COMMISSION
Agreement(s) Filed

The Federal Maritime Commission
hereby gives notice of the filing of the
following agreement(s) pursuant to
section 5 of the Shipping Act of 1984.
Interested parties may inspect and
obtain a copy of each agreement at the
Washington, DC Office of the Federal
Maritime Commission, 1100 L Street,
NW., room 10220. Interested parties may
submit comments on each agreement to
the Secretary, Federal Maritime
Commission, Washington, DC 20573,
within 10 days after the date of the
Federal Register in which this notice
appears, the requirements for comments
are found in § 572.603 of title 46 of the
Code of Federal Regulations. Interested
persons should consult this section
before communicating with the
Commission regarding a pending
agreement.
Agreement No.: 224-200416-002.
Title: Georgia Ports Authority/
Jugolinija Terminal Agreement.
Parties: Georgia Ports Authority,
Jugolinija.
Synopsis: The Agreement amends the
schedule of rates for certain terminal
services provided under the basic
agreement.
By Order of The Federal Maritime
Commission.
Dated: February 1,1991.
Joseph C. Polking,

Secretary.
[FR Doc. 91-2870 Filed 2-6-91; 8:45 am]
BILUNG CODE 6730-01-M

5006

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / N otices

Security for the Protection of the
Public Financial Responsibility To
Meet Liability Incurred For Death o r
Injury to Passengers or Other Persons
on Voyages; Issuance of Certificate
(Casualty)

Notice is hereby given that the
following have been issued a Certificate
of Financial Responsibility to Meet
Liability Incurred for Death or Injury to
Passengers or Other Persons on Voyages
pursuant to the provisions of section 2,
Public Law 89-777 (46 U.S.c. 817(d)) and
the Federal Maritime Commission’s
implementing regulations at 46 CFR part
540, as amended:
California Cruise Lines, Inc., SeaEscape
Cruises Limited and Stena Cruise Line
AB, 7676 Hazard Center Drive, 5th
Floor, San Diego, CA 92108.
Vessel: Pride of San Diego
Dated: February 1,1991.
Joseph

M. Armengol, Vice President/
Secretary
Cortez Customhouse Brokerage
Company, 4950 W est Dickman Rd.,
Battle Creek, MI 49015, Officers:
Harold J. Henderson, President, David
P. Taylor, Vice President/Secretary,
Margaret B. Henderson, Director,
Mary Ann Crete, Director
Rose International Inc. dba Rose
Maritime Container-line, 80 River
Street, Hoboken, NJ 07030, Officers:
Martin F. Koenig, President, Sascha
Eske, Vice President
Dated: February

1,1891.

By the Federal Maritime Commission.
Joseph C. Polking,

Secretary.
[FR Doc. 91-2871 Filed 2-6-91; 8:45 am)
BILLING CODE 6730-01-M

C. Polking,

Secretary
[FR Doc. 91-2872 Filed 2-6-91; 8:45 am]

DEPARTM ENT O F HEALTH AND
HUMAN SERVICES

BILLING) CODE 6730-0t-M

Centers for Disease Control
Ocean Freight Forwarder License
Applicants

Hospital Infection Control Practices
Advisory Committee; Establishment

Notice is hereby given that the
following applicants have filed with the
Federal Maritime Commission
applications for licenses as ocean fre ig h t
forwarders pursuant to section 19 of the
Shipping Act of 1984 (46 U.S.C app. 1718
and 46 CFR 510).
Persons knowing of any reason why
any of the following applicants should
not receive a license are requested to
contact the Office of Freight Forwarder
and Passenger Vessel Operations,
Federal Maritime Commission,
Washington, DC 20573.
Expedite, Incorporated, 16542 Air Center
Blvd., Houston, TX 77032, Officers:
Richard S. Barfield, President/
Director, Mark L. Barfield, Vice
President, Christopher Stephen
Westell, Vice President, David H.
Barfield, Secretary
La Favorita Moving & Shipping, 161 W.
Cecil B. Moore Ave., Philadelphia, PA
19122, Eliezer Garcia, Sole Proprietor
Kosmo International, Inc., 2050 Center
Ave., suite 310, Fort Lee, NJ 07024,
Officers: Moo W. Park, President,
Samuel Hong, Secretary, Sam K. Ma,
Director
Seabridge International, 4710 Meise
Drive, Baltimore, MD 21206, Ronald J.
Albi, Sole Proprietor
Mondial Forwarding, Inc., 2361 S.W.
17th Terrace, Miami, FL 33145,
Officers: Joaquin A. Armengol,
President/Director/Stockholder, Jose

Notice of establishment—
Hospital Infection Control Practices
Advisory Committee.
a c tio n :

Pursuant to Federal Advisory
Committee Act, 5 U.S.C. Appendix 2, the
Centers for Disease Control (CDC)
announces the establishment by the
Secretary of Health and Human
Services, on January 19,1991, of the
following Federal advisory committee:
d e s i g n a t i o n : Hospital Infection Control
Practices Advisory Committee.
PURPOSE: This committee will provide
advice and guidance to the Director,
CDC, and the Director, Center for
Infectious Diseases, regarding the
practice of hospital infection control and
strategies for surveillance, prevention,
and control of nosocomial infections in
U.S. hospitals.
Authority for this committee will
expire January 19,1993, unless the
Secretary of Health and Human
Services, with the concurrence of the
Committee Management Secretariat,
General Services Administration,
formally determines that continuance is
in the public interest.
Dated: February

1,1991.

Elvin Hilyer,

Associate Directorfor Policy Coordination,
Centers for Disease Control.
[FR Doc. 91-2892 Filed 2-8-91; 8:45 am]
BILUNQ CODE 4160-18-M

National Cholesterol Reference
Method Laboratory Network’s
Program for Cholesterol Testing;
Meetings

The following meeting will be
convened by the Center for
Environmental Health and Injury
Control (CEHIC) of the Centers for
Disease Control (CDC) and will be open
to the public for observation,
participation, and comment, limited only
by the space available.
n a m e : Current status of the National
Cholesterol Reference Method
Laboratory Network’s program for
standardizing compact analysis systems
for cholesterol testing.
TIME AND d a t e : 8:30 a.m.-4:30 p.m .,
Monday, February 11,1991.
PLACE: Terrace Garden Inn, 3405 Lenox
Road, NE„ Atlanta, Georgia 30326,
M A T TER S TO B E DISCUSSED: H ie meeting
will provide a forum for the National
Cholesterol Reference Method
Laboratory Network Directors,
manufacturers, and professional
organizations, and government agencies
to discuss specific issues concerning
standardization of compact analysis
systems used in the measurement of
blood cholesterol.
Presentations and discussions during
the meeting will focus on (a) the
National Cholesterol Education
Program’s criteria for adequate
performance of cholesterol testing
systems, (b) capillary versus venous
blood sample difference, (c) specific
aspects of cholesterol testing which
need to be improved, and (d) the
appropriate mechanisms for the
standardization of cholesterol testing.
C O N T A C T PERSON FOR FURTHER
INFORMATION: Gary L. Myers, Ph.D.,

Chief, Clinical Chemistry
Standardization Activity (F25), Division
of Environmental Health Laboratory
Sciences, CEHIC, CDC, 1600 Clifton
Road, NE, Atlanta, Georgia 30333,
telephone 404/488-4126 or FTS 236-4126.
Dated: February 1,1991.
Elvin Hilyer,

Associate Directorfor Policy Coordination,
Centers for Disease Control.
[FR Doc. 91-2893 Filed 2-6-91; 8:45 am]
BILLING CODE 4160-18-M

Immunization Practices Advisory
Committee; Meeting

In accordance with section 10(a)(2) of
the Federal Advisory Committee Act
(Pub. L. 92-463), the Centers for Disease
Control (CDC) announces the following
Committee meeting:

Federal Register / Voi. 56, No. 26 / Thursday, F ebruary 7, 1991 / N otices
Name: Immunization Practices
Advisory Committee.
Time and Date: 8:30 a.m.—5:30 p.m.,
February 28,1991; 8 a.m.—1 p.m.,
February 27,1991.
Place: Auditorium A, Building 2, CDC
1600 Clifton Road, NE., Atlanta, Georgia
30333.
Status: Open to the public, limited
only by the space available.
Purpose: The Committee is charged
with advising the Director, CDC, on the
appropriate uses of immunizing agents.
M atters to be Discussed: The
Committee will discuss draft
recommendations for statem ents on
DTP, smallpox, influenza and hepatitis;
measles; rubella; polio; Haemophilus
influenzae type b; and will consider
other m atters of relevance among the
Committee’s objectives. Agenda items
are subject to change as priorities
dictate.
Contact Person for More Information:
Cheryl Counts, Staff Specialist, CDC (1B46), 1600 Clifton Road, NE., Mailstop
A2Q, Atlanta, Georgia 30333, telephone
404/639-3851 or FTS 236-3851.
Dated: February 1,1991.
Elvin Hilyer,

Associate Directorfor Policy Coordination,
Centers for Disease Control.
[FR Doc. 91-2890 Filed 2-6-91; 8:45 amj
BILLING CODE 4160-18-M

Injury Among a Cohort of Electrical
Line Mechanics; Meeting

The National Institute for
Occupational Safety and Health
(NIOSH) of the Centers for Disease
Control (CDC) announces the following
meeting.
Name: Injury Among a Cohort of
Electrical Line Mechanics.
Time and Date: 1 p.m.—4 p.im, March
6,1991.
Place: Appalachian Laboratory for
Occupational Safety and Health, room
203, NIOSH, CDC, 944 Chestnut Ridge
Road, Morgantown, W est Virginia
28505-2888.
Status: Open to the public, limited
only by the space available.
Purpose: To review the project
entitled, “Injury Among a Cohort of
Electrical Line Mechanics." Viewpoints
and suggestions from industry,
organized labor, academia, other
government agencies, and the public are
invited.

Contact Person fo r Additional
Information: Kimberly P. Groves,
Secretary, Division of Safety Research,
NIOSH, CDC, 944 Chestnut Ridge Road,
Mailstop S-110, Morgantown, W est
Virginia 26505-2888, telephone 304/2914574 or FTS 923-4574.

Dated: February 1,1991.
Elvin Hilyer,

Associate Directorfor Policy Coordination,
Centers for Disease Control.
[FR Doc. 91-2891 Filed 2-0-91; 8:45 am]
BILLING CODE 4160-T9-M

Food and Drug Administration

[Docket No. 91N-0037]
Drug Export; Adapin® (Doxepin HCL)
Capsules
AGENCY:

Food and Drug Administration,

HHS.
a c tio n :

Notice.

s u m m a r y : The Food and Drug
Administration (FDA) is announcing
that Fisons Corp. has filed an
application requesting approval for the
export of the human drug Adapin®
(doxepin HC1) Capsules to Canada.
ADD R ESSES: Relevant information on
this application may be directed to the
Dockets Management Branch (HFA305), Food and Drug Administration, rm.
4-62, 5600 Fishers Lane, Rockville, MD
20857, and to the contact person
identified below. Any future inquiries
concerning the export of human drugs
under the Drug Export Amendments Act
of 1986 should also be directed to the
contact person.

FOR FURTHER INFORMATION C O N TACT:

Frank R. Fazzari, Division of Drug
Labeling Compliance (HFD-313), Center
for Drug Evaluation and Research, Food
and Drug Administration, 5600 Fishers
Lane, Rockville, MD 20857, 301-2958073.
SUPPLEM ENTAR Y INFORMATION: The drug
export provisions in Section 802 of the
Federal Food, Drug, and Cosmetic A ct
(the act) (21 U.S.C. 382) provide that
FDA may approve applications for the
export of drugs that are not currently
approved in the United States. Section
802(b)(3)(B) of die act sets forth the
requirements that must be met in an
application for approval. Section
802(b)(3)(C) of the act requires that the
agency review the application within 30
days of its filing to determine whether
the requirements of section 802(b)(3)(B)
have been satisfied. Section 802(b)(3)(A)
of the act requires that the agency
publish a notice in the Federal Register
within 10 days of the filing of an
application for export to facilitate public
participation in its review of the
application. To meet this requirement,
the agency is providing notice that
Fisons Pharmaceuticals, Jefferson Rd.,
P.O. Box 1710, Rochester, NY 14603, has
filed an application requesting approval
for the export of the drug Adapin®

5007

(doxepin HC1) Capsules, to Canada.
This drug is indicated for use as an
antidepressant The application was
received and filed in the Center for Drug
Evaluation and Research on December
17,1990, which shall be considered die
filing date for purposes of the act.
Interested persons may submit
relevant information on the application
to the Dockets Management Branch
(address above) in two copies (except
that individuals may submit single
copies) and identified with die docket
number found in brackets in the heading
of this docum ent These submissions
may be seen in the Dockets
Management Branch between 9 a.m. and
4 p.m., Monday through Friday.
The agency encourages any person
who submits relevant information on the
application to do so by February 19,
1991 and to provide an additional copy
of the submission directly to die contact
person identified above, to facilitate
consideration of the information during
the 30-day review period.
This notice is issued under the Federal
Food, Drug, and Cosmetic Act (section
802 (21 U.S.C. 382)) and under authority
delegated to the Commissioner of Food
and Drugs (21 CFR 5.10) and redelegated
to the Center for Drug Evaluation and
Research (21 CFR 5.44).
Dated: January 28,1991.
Daniel L. Michels,

Director, Office o f Compliance, Centerfor
Drug Evaluation and Research.
[FR Doc. 91-2895 Filed 2-0-91; 8:45 am]
BILLING CODE 4160-01-«

Health Care Financing Administration
Privacy Act of 1974; System of
Records
: Department of Health and
Human Services (HHS), Health Care
Financing Administration (HCFA).
a c t i o n : Notice of proposed new routine
use for existing system of records.
agency

SUMM ARY: One of the top priorities of
HHS is to assure high quality and
effective health care. HCFA is proposing
to revise the system notice for the
Medicare Bill File (Statistics), System
No. 09-70-0005, by adding a new routine
use for release of Medicare Hospital
Mortality Information which is derived
from data in the Medicare Provider
Analysis and Review (MEDPAR) File,
and other files available to HCFA. The
purpose of this routine use is to allow
individuals hospitals to participate in
quality of care studies and activities by
using data that they have previously
supplied to HCFA. This new routine use

5008

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

will allow release to individual hospitals
of patient-specific data including
mortality predictors which have been
statistically derived.
EFFECTIVE D A TES: The proposed new
routine use shall take effect without
further notice March 11,1991, unless
comments received on or before that
date would w arrant changes.
ADD R ESSES: Please address comments
to Mr. Richard A. DeMeo, HCFA Privacy
Act Officer, Office of Budget and
Administration, Health Care Financing
Administration, room 108, Security
Office Park Building, 6325 Security
Boulevard, Baltimore, Maryland 21207.
We will make comments received
available for inspection at this location.
FOR FURTHER INFORMATION CONTACT:

Mrs. Rose Ellen Connerton, Office of
Statistics and Data Management, Bureau
of Data Management and Strategy,
Health Care Financing Administration,
room 3-A-10, Security Office Park
Building, 6325 Security Boulevard,
Baltimore, Maryland 21207, Telephone
(301) 597-3640.
SUPPLEM ENTARY INFORMATION: The
Medicare Bill File (Statistics), System
No. 09-70-0005, contains records oh bills
for services furnished to persons
enrolled in part A (hospital insurance)
and/or part B (supplementary medical
insurance) of the Medicare program. The
system notice for this system w as most
recently published in the Federal
Register (54 FR 32482) on August 8,1989.
Data in this system are used primarily
for statistical and research purposes
related to evaluating the operation and
effectiveness of the Medicare program.
A principal subfile in the system is the
MEDPAR File.
The MEDPAR File contains data from
hospital bills of Medicare beneficiaries
discharged from hospitals participating
in the Medicare program, including data
on beneficiary demographics, medical
diagnosis and surgery, and utilization of
hospital resources. HCFA developed
Medicare Hospital Mortality
Information as part of the quality of care
evaluation process to analyze hospital
mortality rates. Prior to the public
release of the HCFA hospital mortality
analysis, each hospital is sent a list of
its patients and the associated variables
used by HCFA in the analysis of
hospital mortality rates. Comments/
explanations from hospitals are then
included as part of the public release
which contains only summary
information overall by treatment
category.
After public release of Medicare
hospital mortality information, we
believe that making patient-specific data
on the hospital’s own patients (including

mortality predictors derived by HCFA)
available to the hospital will allow
hospitals the opportunity of
participating in quality of care studies
and objectives. This release is in
keeping with our responsibility to assure
that high quality of care is provided to
Medicare beneficiaries. We are adding a
routine use for this purpose.
HCFA will require that a recipient of
the Medicare Hospital Mortality
Information file meet certain criteria and
conditions before the data are released.
HCFA will release patient-identifiable
data only to the individual hospital
which provided the data. To obtain
these data, the hospital administrator
must make a request in writing on
hospital letterhead. There will be a
standard charge for these data. (We
observe that confidentiality
requirements applicable under State law
would also apply to the hospital’s use of
pâtient-specific information.)
W e are proposing that the routine use
for release of Medicare Hospital
Mortality Information data to the
provider becomes routine use number
(9) in the system notice for the Medicare
Bill File (Statistics), System No. 09-700005. It should read as follows:
(9)
With respect to the Medicare
Hospital Mortality Information file
derived from the MEDPAR File, to
individual hospitals that have
previously supplied to HCFA the
patient-identifiable data included in the
file. Release of these data to the hospital
would include mortality predictors
which have been statistically derived by
HCFA from data provided by the
hospital, national data, and the
information on previous hospitalizations
in all hospitals. Certain conditions must
be met before the data are released:
(a) The data may include information
only on patients that the requesting
hospital has previously supplied plus the
mortality predictors;
(b) The hospital administrator must
make a specific request for these data in
writing. This request must be on hospital
letterhead, must associate the need for
these data with the hospital’s quality of
care activities, and must idicate that the
hospital will continue to maintain the
confidentiality of the data;
(c) A standard fee must be paid, as
determined by HCFA, for these data
prior to their release to the hospital.
This proposed new routine use for the
MEDPAR File is consistent with the
Privacy Act, 5 U.S.C. 552a(a)(7), since,
as previously noted, it is compatible
with the purpose for which the
information is collected. Because this
addition of a routine use will not change
the purposes for which the information
is to be used or otherwise significantly

alter the system, we are not preparing a
report of altered system of records
under 5 U.S.C. 552a(r). We are
publishing the notice in its entirety
below for the convenience of the reader.
Dated: January 31,1991.
G ail R. W ilensky,

Administrator, Health Care Financing
Administration.
09-70-0005
SYSTEM NAME:

Medicare Bill file (Statistics) HHS,
HCFA, BDMS.
SECURITY c l a s s if i c a t io n :

None.
SYSTEM l o c a t io n :

HCFA Data Center, Lyon Building,
7131 Rutherford Road, Baltimore,
Maryland 21207.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Persons enrolled in hospital insurance
or supplementary medical benefits parts
of the Medicare program.
CATEGORIES OF RECORDS IN THE SYSTEM:

Bill data, demographic data on the
beneficiary; diagnosis and procedural
codes; provider characteristics and
identifying number (including
physicians).
AUTHORITY FOR MAINTENANCE OF THE
sy stem :

Section 1875 of the Social Security Act
(42 U.S.C. 139511).
PURPOSE OF THE SYSTEM:

To study the operation and
effectiveness of the Medicare program.
ROUTINE USES OF RECORDS MAINTAINED IN
THE SYSTEM, INCLUDING CATEGORIES OF
USERS AND THE PURPOSES OF SUCH USES:

Disclosure may be made:
(1) To a congressional office from the
record of an individual in response to an
inquiry from the congressional office
made at the request of that individual.
(2) To the Bureau of Census for use in
processing research and statistical data
directly related ot the administration of
Social Security programs.
(3) To the Department of Justice, to a
court or other tribunal, or to another
party before such tribunal, when:
(a) HHS, or any component thereof; or
(b) Any HHS employee in his or her
official capacity; or
(c) Any HHS employee in his or her
individual capacity where the
Department of Justice (or HHS, where it
is authorized to do so) has agreed to
represent the employee; or

Federal R egister / Vol. 58, No. 28 / Thursday, February 7, 1991 / N otices
(d)
The U nited S ta tes or any agency
thereof w here H H S determ ines that the
litigation is likely to affect H H S or any
o f its com ponents;
is party to litigation or h as a n interest in
such litigation, and HHS determ ines that
the u se o f such records by the
D epartm ent o f Justice, the tribunal, or
the other party is relevant and
n ecessary to the litigation and w ould
help in the effective representation of
the governm ental party, provided,
how ever, that in each c a se HHS
determ ines that such d isclosure is
com patible w ith the purpose for w h ich
the records w ere collected.
(4)
T o an individual or organization
for a research, evaluation, or
epidem iological project related to the
prevention o f d isea se or disability, or
the restoration or m aintenance o f health
if HCFA:
(a) D eterm ines that the u se or
disclosure d o es not v iolate legal
lim itations under w h ich the record w a s
provided, collected, or obtained;
(b) D eterm ines that the purpose for
w hich the disclosure is to be made:
(1} Cannot be reasonably
accom plished u n less the record is
provided in individually identifiable
form,
(2) Is o f sufficient im portance to
w arrant the effect an d /o r risk on the
privacy o f the individual that additional
exposure o f the record might bring, and
(3) There is reason ab le probability
that the objective for the u se w ould be
accom plished;
(c) R equires the inform ation recipient
to:
(1) E stablish reason ab le
adm inistrative, technical, and ph ysical
safeguards to prevent unauthorized u se
or disclosure o f the record, and
(2) R em ove or destroy the inform ation
that a llo w s the individual to be
identified at the earliest time at w hich
rem oval or destruction can be
accom plished consisten t w ith the
purpose o f the project u n less the
recipient presents an adequate
justification o f a research or health
nature for retaining such information;
and
(3) M akes no further u se or disclosure
of the record except:
(a) In em ergency circum stances
affecting the health or sa fety o f any
individual;
(b) For u se in another research
project, under these sam e conditions,
and w ith w ritten authorization o f HCFA;
(c) For disclosure to a properly
identified person for the purpose o f an
audit related to the research project, if
information that w ou ld en a b le research
subjects to b e identified is rem oved or

destroyed at the earliest opportunity
co n sisten t w ith the purpose o f the audit;
or

(d) W hen required by law.
(d)
Secures a written statement
attesting to the recipient’s
understanding and willingness to abide
by these provisions.
(5) To en tities w ith a legitim ate n eed
for data for sta tistica l a n a ly ses bearing
on M edicare paym ent p olicies for
inpatient hospital services. Information
d isclo sed for this purpose w ill not
include a ben eficiary’s health insurance
claim number, race, or M edicare status
code; the b eneficiary’s age w ill be
identified on ly by age intervals; the
beneficiary's resid en ce w ill be identified
only to the ex ten t o f stating w hether he
or sh e resid es in the sam e S tate as the
provider; the ad m ission and discharge
d ates w ill be identified only b y calendar
quarter; and the d a te o f surgery w ill be
identified on ly a s the number o f d ays
after adm ission. Each o f the MEDPAR
files— short-stay hospital serv ices file,
long-term hospital serv ices file, skilled
nursing facility serv ices file, and other
provider serv ices file— w ill be m odified
in accordance w ith the foregoing
provision for release. T he entity m ust
agree:

(a) Not to try to identify individual
beneficiaries;
(b) Not to disclose raw data to any
persons except contractors for data
processing and storage (and it must
agree to require any such contractor not
to release any data and not to retain any
data after performing the contract);
(c) Not to link this information to
other beneficiary-specific records;
(d) Not to publish or otherwise
disclose data in a form raising
unacceptable possibilities that
beneficiaries could be identified; and
(e) T o safeguard the con fid en tiality of
the data and to try to prevent
unauthorized a c c e ss to it.
(6) To a contractor for the purpose o f
collating, analyzing, aggregating or
oth erw ise refining or processing records
in this sy stem or for developing,
m odifying a n d /o r m anipulating ADP
softw are. D ata w ould a lso b e d isclo sed
to contractors incidental to consultation,
programming, operation, user
a ssista n ce, or m aintenance for A DP or
telecom m unications sy stem s containing
or supporting records in the system .
(7) W ith resp ect to the QC/M EDPAR
File, to en tities w ith a legitim ate n eed
for data for the purpose o f conducting
research or evalu ation on the quality
and e ffectiv en ess o f care provided in
h osp itals. R esearch or evalu ation under
this routine u se m ust focus on the
im provem ent o f health care or m easures
for determ ining, validating, and

5009

monitoring the quality and effectiven ss
o f hospital care in such areas a3 a ccess
to care, outcom es o f care, and
effectiv en ess o f care in improving,
restoring, or m aintaining the
indep en d en ce and functioning of
M edicare b eneficiaries. Information
d isclo sed under this routine u se w ill be
lim ited to the data elem en ts described in
A pp en d ix A.
The QC/M EDPAR File m ay be
rele a sed to an entity if HCFA
determ ines:
a. That the u se or disclosure d oes not
v iolate legal lim itations under w hich the
data w ere provided, collected , or
obtained.
b. T hat the purpose for w h ich the
disclosure is to b e made:
(1) C annot reason ab ly be
accom plished u n less the data are
provided in the d etailed form described
in A pp en d ix A;
(2) Is reason ab ly lik ely to b e
accom plished in v ie w o f the capabilities
o f the requesting entity and other
factors; and
(3) Is o f sufficient im portance to
w arrant the p o ssib le effect on the
privacy o f the individual that the
d isclosure o f the data might bring.
c. In order for HCFA to determ ine that
the requirem ents in section (b) are met,
the entity m ust subm it and HCFA must
approve:
(1) A research or evalu ation plan
specifying the ob jectives o f the research
or evaluation, the m anner in w hich the
data w ill be used, the financial support
for the plan, and the date the research or
evalu ation w ill be com pleted.
Evaluation plan s design ed to a ss ist
sp ecific providers m ust b e supported by
letters o f com m itm ent to the evaluation
by the providers. V alu es or differences
in v alu es that w ou ld trigger provider
action m ust be a d d ressed in the
evalu ation plan a s w ell a s the action the
provider intends to take; and
(2) A cop y o f an y report by a panel of
recognized experts review ing the
research or evalu ation plan (w hen such
review h as b een performed).
d. T he entity and its contractors, if
any, m ust sig n a statem ent
acknow ledging that sectio n 1106(a) o f
the S ocial Security A ct, w hich prohibits
the disclosure o f confidential
inform ation and im p oses crim inal
p en alties, m ay apply. T hey must also
agree to the following:
(1) N ot to link the data to other
b eneficiary-specific records nor to use
the data to identify individual
beneficiaries;
(2) N ot to u se the data for purposes
that are not related to HCFA-approved
research or evaluation o f the quality and

5010

Federal Register / Vol. 56, No. 26 / T h u rsd ay , F eb ru ary 7, 1991 / N otices

effectiveness of hospital inpatient care.
(1) Cannot reasonably be
Prohibited uses include but are not
accomplished unless the data are
limited to: marketing (for example,
provided in individually identifiable
identification and targeting of under or
form;
over-served health service markets
(2) Is of sufficient importance to
primarily for the purposes of commercial w arrant the effect an d/or risk on the
privacy of the individuals that
benefit), insurance (for example,
additional exposure of the record might
redlining areas deemed to offer bad
bring, and;
health insurance or underwriting risks),
(3) There is a reasonable probability
and adverse selection (for example,
that the objective for the use would be
identifying patients with high-risk
accomplished; and
diagnoses). The data must not be made
(d) Requires the recipient to:
available by the entity or its contractor
(1) Establish reasonable
for an activity not approved by HCFA,
administrative, technical, and physical
even if carried on within the entity or its
safeguards to prevent unauthorized use
contractor;
or disclosure of the record;
(3) Not to disclose the data to any
(2) Remove or destroy the information
persons or organizations unless the data
that allows the individual to be
are in aggregated form as described in
identified at the earliest time at which
paragraph 5. The data may be disclosed
removal or destruction can be
to a contractor for data processing if:
accomplished consistent with the
(a) The entity has specified in the
purpose of the request, unless the
research plan submitted to HCFA that
recipient presents an adequate
the contractor would receive the data
justification for retaining such
for that purpose, or the entity has
information;
obtained w ritten authorization from
(3) Make no further use or disclosure
HCFA to make the disclosure to the
of the record except:
contractor, and
(a) In emergency circumstances
(b) The contractor has signed a
affecting the health or safety of any
confidentiality statem ent with HCFA.
individual;
(4) Not to publish or otherwise
(b) For use in another project under
disclose the data in the form raising
the same conditions, and with written
unacceptable possibilities that
authorization of HCFA;
beneficiaries could be identified (i.e., the
(c) For disclosure to a properly
data must not be beneficiary-specific
identified person for the purpose of an
and must be aggregated to a level where
audit related to the project, if
no data cells have ten or fewer
information that would enable project
beneficiaries);
subjects to be identified is removed or
(5) To submit a copy of its plans for
destroyed at the earliest opportunity
any aggregation of the data intended for
consistent with the purpose of the audit;
publication to HCFA for approval prior
or
to publication;
(d) W hen required by law; and
(6) To establish appropriate
(4) Secure a written statement
administrative, technical, procedural
attesting to the recipient’s
and physical safeguards to protect the
understanding of and willingness to
confidentiality of the data and to
abide by these provisions. The recipient
prevent unauthorized access to it;
must agree to the following:
(7) To return all files to HCFA, and
(a) Not to use the data for purposes
destroy any copies that may have been
that are not related to the evaluation of
made, at the completion of the research
cost, quality, and effectiveness of care;
or evaluation plan.
(b) Not to publish or otherwise
(8) To an agency of a State
disclose the data in a form raising
Government, or established by State
unacceptable possibilities that
law, for purposes of determining,
beneficiaries could be identified (i.e., the
evaluating an d /o r assessing cost,
data must not be beneficiary-specific
effectiveness, an d /o r the quality of
and must be aggregated to a level where
health care services provided in the
no data cells have ten or fewer
State, if HCFA:
beneficiaries); and
(a) Determines that the use or
(c) To submit a copy of any
disclosure does not violate legal
aggregation of the data intended for
limitations under which the data were
publication to HCFA for approval prior
provided, collected, or obtained;
to publication.
(b) Establishes that the data are
(9)
With respect to the Medicare
exempt from disclosure under the State
Mortality Information file derived from
and/o r local Freedom of Information
the MEDPAR File and other files
Act;
available to HCFA, to individual
(c) Determines that the purpose for
hospitals that have previously supplied
which the disclosure is to be made:
to HCFA the patient-identifiable data

iricluded in the file. Release of these
data to the hospital would include
mortality predictors which have been
statistically derived by HCFA from data
provided by the hospital, national data,
and the number of previous
hospitalizations in all hospitals. Certain
conditions must be met before the data
are released:
(a) The data may include information
only on patients that the requesting
hospital has previously supplied plus the
mortality predictors;
(b) The hospital administrator must
make a specific request for these data in
writing. This request must be on hospital
letterhead, must associate the need for
these data with the hospital’s quality of
care activities, and must indicate that
the hospital will continue to maintain
the confidentiality of the data;
(c) A standard fee must be paid, as
determined by HCFA, for these data
prior to their release to the hospital.
Po licies and p ractices fo r storing,
retrieving, a ccessin g , retaining, and
d isp osing o f re co rd s in the system :
storage

:

All records are stored on magnetic
media.
R E T R IE V A B ILITY:

All records are indexed by health
insurance claim number and by hospital
provider number.
SAFEG U ARD S:

For computerized records, safeguards
established in accordance with
Department standards and National
Bureau of Standards guidelines (eg.,
security codes) will be used, limiting
access to authorized personnel.
RETEN TIO N A N D D IS P O S A L :

Records are maintained with
identifiers as long as needed for
program research.
SYSTEM M AN AG ER AN D ADD RESS:

Director, Bureau of Data Management
and Strategy, room 1 -A -ll, Security
Office Park, Baltimore, Maryland 21207.
N O TIFICA TIO N P R O C E D U R E :

For purpose of access, write the
systems manager, who will require
name of system, health insurance claim
number and for verification purposes,
name (woman’s maiden name, if
applicable), social security number,
address, date of birth and sex; and to
ascertain whether the individual’s
record is in the system, include
utilization and date of utilization under
Part A or Part B of Medicare services,
home health agency, hospital (inpatient),

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

hospital (outpatient) or skilled nursing
facility.
RECORD ACCESS PROCEDURES:

Same as notification procedures.
Requestors should also reasonably
specify the record contents being sought.
(These access procedures are in
accordance with the Department
Regulations (45 CFR 5b.5(a)(2)

5011

CONTESTINO RECORD PROCEDURES:

RECORD 80U R CE CATEGORIES:

Contact the system manager named
above, and reasonably identify the
record and specify the information to be
contested. State the corrective action
sought and the reasons for the
correction with supporting justification.
(These procedures are in accordance
with Department Regulations (45 CFR
5b.7).)

Medicare enrollment records:
Medicare bill records: Medicare
provider records for a sample of persons
treated as hospital patients (inpatient
and outpatient) and skilled nursing
facility patients.
SYSTEMS EXEMPTED FROM CERTAIN
PROVISIONS OF THE ACT:

None.

APPENDIX A.—DATA ELEMENTS CONTAINED IN THE QUALITY OF CARE MEDPAR FILE
Data element
1. Hi Claim Number.
2. Day of Admission

3. Sex
4. Medicare Status Code

5. Discharge Destination

6. Medicare Provider Number___________________

Description

Function

Encrypted to protect the identity of the beneficiary....
1—Sunday____ ____________ _________________
2—Monday________________ ........._________ ____
3—Tuesday__________ . .......___.......__ ......___ _
4—Wednesday_______ _______ ...............________
5—Thursday________.._________ .'.____________
6—Friday................. .................. .................................
7—Saturday....._______ __________ ______________
—male_____ _________________ __:_____ _.....
—female______ .....______________________ ___.'.
—unknown .................. .................. .....................
Code to show reason for beneficiary’s entitlement....

To determine the number of stays for a beneficiary.
To facilitate analysis of admission patterns.

—aged without ESRD________________________
—aged with ESRD....................................... ........ ......
—disabled without ESRD_____________&________
—disabled with ESRD........................... ..................__
—ESRD only_______ __________ ________ _______
—To home, self care...................................................
—To short-term hospital______ _______________.—.
—To SNF___________________________ .........__
—To other type facility____ ___________ ________
—To home health service_________ ____________
—Left against medical advice—..............._........____
—Died.________ ___________ .....________________
—Still a patient..,.....—.............................—__ •
Identification number of hospital.................................

7. Date of Admission...._________......____ ___ i___.... Date, plus/minus 1 to 20 days*___ ________ _____

8. Date of Discharge_____.....____..._______ ..._____ Date, plus/minus 1 to 20 days*..._________ _______

9. Length of Stay............................................................ Number of days in hospital stay.................. —......___
10. Intensive Care and Coronary Care Days............. .... Days in special care units of hospitals_________ __
11. Total Charges.....______ ...._____ ___________ __ All charge fields (fields 11-21) are in whole dollars...

12. Routine Accommodation Charges_____________
13. Intensive Care and Coronary Care Charges._
14. Total Departmental (Ancilliary) Changes......... .
15. Operating Room Chwges.______________ ______
16. Phamacy Charges ______..._______ ,____ _______
17. Laboratory Charges________________ ________
18. Radiology Charges__________________________
19. Supplies Charges....._____________________ .......
20. Anesthesia Charges_________________________
21. Inhalation Therapy Charges_.........................._
22. Principal and Other Diagnosis Codes................... .
Five ICD-9-CM Codes___________.....____
23. Surgical Codes........__________ ______ ________ Three ICD-9CM Volume 3 codes..— — .
24. Date of Surgery____________________ ___ ._____ Data plus/minus 1 to 20 days*— _______
25. Blood Furnished................... ....... ............... , .... Number of points_____________ ..._______
26. Diagnosis Related Group...________________ ___ DRG1-DRG475___ ________________ .........
27.
Date of death......__________ _______ ..... Date, plus/minus 1 to 20 days*_______ ___ _
28. Urban/fural residence.......____________________ 1= ruban_____________ ________
29. Zip-Code____
Special Unit Code

31. Beneficiary State of Residence
32. Source of Admission..____

5 digit zip_______ _____________.'._______
S—Psychiatric Unit_________ —______——
T—Rehabilitation Unit —____——___——..—
U—Swing-bed Hospital — ___._____ ____
V—Alcohol/Drug Unit Blank______________
Two-position SSA numeric code__________
Admission Type 1, 2, or 3 :______________

To measure sex-based differences.
To examine effectiveness of care for different catego­
ries of Medicare beneficiaries.

To group stays into Diagnois Related Groups (DRGs).

To allow for review of care on an institution-specific
basis.
To measure Intervals between hospital episodes.
To measure intervals between hospital episodes.
To examine days of care.
To measure outcomes in and use of special care
units.
Charge fields 11-21 are included to measure relative
resource use across cases.

Fields 22-23 are included to identify diagnostic/ sur­
gical information and to group stays into DRGs
To measure intervals between admission/discharge
and surgery.
To measure outcomes.
To define diagnostic groups used in the Prospective
Payment System.
t o determine mortality rates.
To examine variations in care in urban and rural
areas.
To exemine variations in care in small areas.
Distinguishes PPS-exempt unit records.

To facilitate seasonal migration studies.
To allow analysis of admissions and episodes of
care.

5012

Federal Register / Vol. 56, No. 26 / Thursday, F ebruary 7, 1991 / N otices

APPENDIX A.—DATA ELEMENTS CONTAINED IN THE QUALITY OF CARE MEDPAR FILE—Continued
Data element

Description

Function

1—Physician Referral............................................. ........
2—Clinic Referral.............................................................
3—HMO Referral.......-........- t- .....................................
4—Transfer from Hospital...............................................
5—Transfer from SNF.....................................................
6—Transfer from Another Health Care Facility______
7—Emergency Room................ ... .................................
8—Court/Law Enforcement...................................... .....
9—Unknown...........................................................„.......
Admission Type 4:......................................................
1—Normal Delivery................. .... ............... „
2—
Premature Delivery......................................
3—Sick Bahy.................................................................
4—Extramural..................................................................
5—Unknown.............................................. ... ...........
33. Type of Admission............ ................................ .... . 1—Emergency.................................................................. To allow analysis of admissions and episodes of
care.
2—Urgent.......................................................................
3—Elective___ ________ ____________
__
4—Newborn..................................................................
9—Unknown....................................................... ..... .......
34. Number of Diagnosis Codes..................................... 1 through 5 ...................................................................... Enable search of diagnosis fields.
35. Number of Surgical Codes........................................ 1 through 3 ......................................................... _ . . Enable search of surgical procedures fields.
36. Actual Age...................................... .
Three-position age of beneficiary based on the date To measure age-based differences.
of admission.
‘The same random number will be added to all dates in every discharge record occurring for a beneficiary during the year. The random number we range from
±1 through 20.

[FR Doc. 91 2894 Filed 2-6-91; 8:45 am]
BILLING CODE 4120-03-M

Health Resources and Services
Administration
Rural Health Outreach Grant Program

Health Resources and Services
Administration, HHS.
a c t i o n : Notice of availability of funds.
AG ENCY:

s u m m a r y : The Office of Rural Health
Policy, Health Resources and Services
Administration (HRSA), announces that
applications are being accepted for rural
health outreach demonstration grants to
expand or enhance the availability of
essential health services in rural areas.
Awards will be made from funds
appropriated under Pub. L. 101-517
(HHS Appropriation Act for FY 1991). It
is anticipated that approximately $18
million will be available to support the
program. The program is authorized
under section 301 of the Public Health
Service Act. Given the wide range of
health care needs in rural areas, this
program could address any or all of the
Health People 2000 objectives.
D ATES: Applications for the program
must be received by the close of
business on May 8,1991. Applications
must be received by the Grants
Mangement Officer at the address
shown below.
Applications shall be considered as
meeting the deadline if they are either
(1) received on or before the deadline
date* or (2) postmarked on or before the

deadline date and received in time for
submission to the review committee. A
legible dated receipt from a commercial
carrier or U.S. Postal Service will be
accepted in lieu of a postmark. Private
metered postmarks will not be
acceptable as proof of timely mailing.
Late applications will be returned to the
sender.
a d d r e s s e s : Requests for grant
application kits and guidance should be
directed to: Gary Houseknecht, Grants
Management Officer, Bureau of Health
Care Delivery and Assistance, 12100
Parklawn Drive, Rockville, M aryland
20857, (301) 443-0665. The standard
application form and general
instructions for completing applications
(Form PHS-5181-1, OMB #0937-0189)
have been approved by the Office of
Management and Budget.
FOR FURTHER INFORMATION CO N TACT:

Requests for technical or programmatic
information should be directed to Jake
Culp, Associate Director, Office of Rural
Health Policy, room 14-22, Parklawn
Building, 5600 Fishers Lane, Rockville,
Maryland 20857, (301) 443-0835.
SUPPLEM ENTARY INFORMATION:

Program Objectives
The purpose of the program is to
support projects that demonstrate new
and innovative models of outreach and
care services in rural areas that lack
basic health services. Grants are
intended either for the direct provision
of health services to rural populations,
especially for those who are not
currently receiving them, or to enhance

access to and utilization of available
services.
This program will address the needs
of a wide range of special rural
population groups, including the elderly,
the disabled adolescents, rural minority
populations, and pregnant women,
mothers and infants. A full range of
innovative projects are encouraged.
One area of particular interest are
outreach proposals having the potential
to reduce high rates of infant mortality
and morbidity in some rural areas by
increasing the number of high-risk
pregnant women living in high-rate
areas who receive comprehensive, riskappropriate prenatal care early in
pregnancy; and increasing the number of
new mothers and infants who remain in
care throughout the full (one-year)
postnatal care period.
A central goal of the demonstration
program is to develop new and
innovative models for more effective
integration and coordination of health
services in rural areas. It is hoped that
some of these models will prove
significant to solving rural health
problems in States, regions of the
country, or throughout the country. For
example, high infant mortality rates are
of general concern in rural areas
throughout the country. In order to
better integrate the provision of health
services in rural areas the program
requires the formation of consortium
arrangements amont three or more
existing providers of services to carry
out the demonstrations. A consortium
must be composed of three or more

Federal Register / Vol. 56, No. 26 / Thursday, F ebruary 7, 1991 / Notices
existing health care providers, or a
combination of three or more health
care and social service providers.
Individual members of a consortium
might include such entities as rural
health clinics, mental health centers,
hospitals, medical group practices,
public health departments, social
service agencies, health professions
schools, community and migrant health
centers, etc.
Eligible Applicants
All public and private entities, both
nonprofit and for-profit may participate
as members of a consortium
arrangement as described above.
However, a grant aw ard will be made to
only one entity in a consortium which
must be a nonprofit or public entity
located in a non-Metropolitan Statistical
Area of the country as defined by the
Office of Management and Budget.
Review Consideration
Grant applications will be evaluated
on the basis'of the following criteria:
(1) The extent to which the
application is responsive to the purposes
of the outreach program.
(2) The extent to which the applicant
has justified and documented the
need(s) for the project and developed
measurable goals and objectives for
meeting the need(s).
(3) The strength of the applicant's
plans for administrative and financial
management of the project.
(4) The reasonableness of the budget
proposed for the project.
(5) The extent to which the proposed
project would be capable of replication
in rural areas with similar needs and
characteristics.
(6) Plans for how the project will be
continued after federal grant support is
completed.
(7) The level of local commitment and
involvement with the project, including
the extent of cost participation by the
applicant.
(8) The strength of the project
evaluation plan.
The HRSA hopes to achieve a wide
geographic dispersion of awards.
Contingent upon the outcome of the
review process, HRSA would make an
effort to aw ard grants in as many states
as possible.
Other Award Information
Individual grant aw ards under this
notice will be limited to a total dollar
amount of $3000 thousand (direct and
indirect), although applications for
smaller are encouraged. Applicants may
propose project periods for up to three
years.

Grantees will be required to use at
least 85 percent of the total amount
aw arded for outreach and care services
as opposed to administrative costs.
Grant funds may not be used for
purchase, construction or renovation of
real property or to support the delivery
of inpatient services.
Executive Order 12372
The Rural Health Outreach Grant
Program has been determined to be a
program which is subject to the
provisions of Executive Order 12372
concerning intragovemmental review of
Federal programs by appropriate health
planning agencies, as implemented by 45
CFR part 100. Executive Order 12372
allows States the option of setting up a
system for reviewing applications from
within their States for assistance under
certain Federal programs. Applicants
(other than federally-recognized Indian
tribal governments) should contact their
State Single Point of Contact (SPOCs) as
early as possible to alert them to the
prospective applications and receive
any necessary instructions on the State
process. For proposed projects serving
more then one State, the applicant is
advised to contact the SPOC of each
affected State. The due date for State
process recommendations is 60 days
after the application deadline for new
and competing awards. The granting
agency does not guarantee to
"accommodate or explain” for State
process recommendations it receives
after that date. (See part 148,
Intergovernmental Review of PHS
Programs under Executive Order 12372
and 45 CFR part 1000 for a description of
the review process and requirements.
(The OMB Catalog of Federal Domestic
Assistance number is 93.912.)
Dated: January 30,1991.
Robert G. Harmon,

Administrator.
[FR Doc. 91-2851 Filed 2-6-91; 8:45 am]
BILUNQ COE 4160-1S-M

National Institutes of Health
National Center for Research
Resources; Meeting of the Biomedical
Research Support Advisory
Committee

Pursuant to Public Law 92-463, notice
is hereby given of the meeting of the
Biomedical Research Support Advisory
Committee, National Center for
Research Resources (NCRR), National
Institutes of Health, March 15,1991,
Building 31C, Conference Room 7,9000
Rockville Pike, Bethesda, Maryland
20892.

5013

This meeting will be open to the
public on March 15, from 9:30 a.m. to
adjournment to discuss program policies
and options concerning the Biomedical
Research Support Grant Program.
Attendance by the public will be limited
to space available.
Mr. James J. Doherty, Information
Officer, NCRR, W estwood Building,
room 10A15, National Institutes of
Health, Bethesda, Maryland 20892, 301/
496-5545, will provide a summary of the
meeting and a roster of the Committee
members upon request.
Dr. Bill Bunnag, Executive Secretary,
Biomedical Research Support Advisory
Committee, 301/496-6743, will furnish
substantive program information upon
request, and will receive any comments
pertaining to this announcement.
(Catalog of Federal Domestic Assistance
Program No. 93.337, Biomedical Research
Support, National Institutes of Health)
Dated: February 4,1991.
Betty J. Beveridge,

Committee Management Officer, NIH.
(FR Doc. 91-2969 Filed 2-6-91; 8:45 am]
BILLING CODE 4140-01-M

National Heart, Lung, and Blood
institute; Meeting of Blood Diseases
and Resources Advisory Committee

Pursuant to Public Law 92-463, notice
is hereby given of the meeting of the
Blood Diseases and Resources Advisory
Committee, National Heart, Lung, and
Blood Institute, February 25-26,1991,
Building 31C, Conference Room 6,
National Institutes of Health, 9000
Rockville Pike, Bethesda, Maryland
20892.
The entire meeting will be open to the
public from 9 a.m. on February 25, to
adjournment February 26, to discuss the
status of the Blood Diseases and
Resources program needs and
opportunities. Attendance by the public
will be limited to space available.
Ms. Terry Bellicha, Chief,
Communication s and Public Information
Branch, National Heart, Lung, and Blood
Institute, Building 31, room 4A21,
National Institutes of Health Bethesda,
Maryland 20892, (301) 496-4236, will
provide a summary of the meeting and a
roster of the Committee members.
Dr. Fann Harding, Assistant to the
Director, Division of Blood Diseases and
Resources, National Heart, Lung, and
Blood Institute, Federal Building Room
5A08, National Institutes of Health,
Bethesda, Maryland 20892, (301) 4961817, will furnish substantive program
information.
(Catalog of Federal Domestic Assistance
Program No. 13.839, Blood Diseases and

5014

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / N otices

Resources Research, National Institutes of
Health)
Dated: February 4,1991.
Betty ). Beveridge,

Committee Management Officer, NilI.
[FR Doc. 91-2970 Filed 2-0-01; 8:45 am]
BILUNGI CODE 4140-01-M

National Institute of Environmental
Health Sciences; Meeting of Advisory
Council on Hazardous Substances
Research and Training

Pursuant to Public Law 92-463, notice
is hereby given of a meeting to be held
in the main auditorium of the W ilbur J.
Cohen Building (formerly the HEW
North Building) at 330 Independence
Avenue, SW., Washington, DC. Acces to
the Cohen Building is controlled for
security purposes. Please use the “C”
Street entrance between 3rd and 4th
Streets. The meeting is open to the
public and is scheduled to begin 8:30
a.m., on Tuesday, February 19 and will
adjourn at noon on W ednesday,
February 20.
This meeting was originally scheduled
for October 25,1990 but w as postponed.
There are three objectives for the
meeting in February. First, to brief the
Council on progress in the research and
training programs implemented since
1986. Second, to present to Council a
draft Research Plan to continue
promising research and training efforts
now underway and to fill information
gaps which are not the focus of current
research studies. Third, to discuss
strategies for pilot and field testing new
methods developed by scientist
receiving Superfund research grants and
to assure that proven new methods are
made available to persons and
organizations responsible for the
management of hazardous substances.
With respect to the second item, the
President signed Public Law 101-508,
extending the programmatic authorities
of the Comprehensive Environmental
Response, Compensation, and Liability
Act of 1980 as amended by the
Superfund Amendments and
Reauthorization Act of 1986 (SARA)
through September 30,1994. SARA
authorized the various research and
training authorities subject to
coordination by the Advisory Council.
SARA also required that NIEHS draft a
plan for the implementation of its
Superfund basic research and training
program. The Research Man w as
reviewed by the Council in its first
meeting in August 1987. The latest
reauthorization does not specifically
require another plan. However, since the
original plan described a program of
research consistent with the five year

life of SARA, NIEHS is drafting a
second Research Plan for the three year
extension enacted by Congress. A
preliminary Research Plan will be
presented at the meeting.
Attendance is limited only by space
available. For further information,
please contact Mr. Daniel C.
VanderMeer, Executive Secretary,
NIEHS, P.O. Box 12233, Research
Triangle Park, NC, 27709 or telephone
(919) 541-3484. The government
representative for this meeting will be
Dr. Anne P. Sassaman.
(Catalog of Federal Domestic Assistance
Program No. 13.143. NIEHS Superfund
Hazardous Substances Basic Research and
Training Program, NIH)
Dated: February 4,1991.
Betty J. Beveridge,

Committee Management Officer, NIH.
[FR Doc. 91-2971 Filed 2-6-91; 8:45 am]
BILLING! CODE 4140-01-M

DEPARTMENT OF THE INTERIOR
Office of the Secretary
Privacy Act of 1974— Establishment
and Deletion of Notices of Systems of
Records

Pursuant to the provisions of the
Privacy Act of 1974, as amended (5
U.S.C. 552a), notice is hereby given that
the Department of the Interior proposes
to establish two new notices, and delete
three notices describing systems of
records maintained by the Bureau of
Land Managmeent (BLM). One new
notice is entitled "Name File System—
Interior, LLM-31” and describes the
system of records containing a central
file for names of all entities transacting
business with BLM, and is designed to
interface with all Privacy Act Systems
in BLM. The names of individuals stored
in the Name File System are only those
names appearing in existing BLM
Privacy Act systems with which it
interfaces.
One new notice is entitled “Land &
Minerals Authorization Tracking
System—Interior, LLM-32” and
describes the system of records
containing information pertaining to
land records, including the names and
addresses of claimants and applicants,
area descriptions, and payments due as
a result of leasing or mineral extraction.
This notice combines three previously
published system notices, i.e., "Alaska
Native Claims—Interior, BLM-5” which
w as previously published in the Federal
Register on July 10,1986 (51 FR 25107);
"Land and Resource Case File—Interior,
BLM-7” which w as previously published
in the Federal Register on July 10,1986

(51 FR 25108); and "Recordation of
Mining Claims—Interior, BLM-29"
which w as previously published in the
Federal Register on July 10,1986 (51 FR
25112). These three systems are being
deleted horn the Department’s inventory
of Privacy Act systems of records
notices. The two proposed new systems
notices are published in their entirety
below.
As required by the Privacy Act of
1974, as amended (5 U.S.C. 552a(r)), the
Office of Management and Budget, the
Senate Committee on Governmental
Affairs, and the House Committee on
Government Operation have been
notified of this action. 5 U.S.C.
552a(e)(ll) requires that the public be
provided a 30-day period in which to
comment on the intended use of the
information in the system of records.
The Office of Management and Budget
in its Circular A-130 requires a 60-day
period to review such proposal.
Therefore, written comments on this
proposal can be addressed to the
Department Privacy Act Officer, Office
of the Secretary (PMI), Room 2242, Main
Interior Building, U.S. Department of the
Interior, Washington, DC 20240.
Comments received within 60 days of
publication in the Federal Register
(April 8,1991), will be considered. The
notice shall be effective as proposed
without further publication at the end of
the comment period, unless comments
are received which would require a
contrary determination.
Dated: January 23,1991.
Oscar W. Mueller, Jr.,

Director, Office o fManagement Improvement
LLM-31
SYSTEM NAME:

Name File System—Interior, LLM-31.
SYSTEM l o c a t io n :

(1)
U.S. Department of the Interior,
Bureau of Land Management, Service
Center, Denver Federal Center, Building
50, Denver, Colorado 80225-0047, (2)
field offices listed in Appendix XI.
CATEGORIES OF INDIVIDUALS COVERED BY THE
sy stem :

Individuals, companies, partnerships,
and governmental agencies transacting
business with the Bureau of Land
Management relating to lands and
minerals programs. Some of the records
in the system which pertain to
individuals may reflect personal
information, however, only the records
reflecting personal information are
subject to the Privacy Act. H ie system
also contains records concerning
corporations and other business entities.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / N otices
These records are not subject to the
Privacy Act.

agency or consumer reporting agency to
effect payment for a Federal claim.

CATEGORIES OF RECORDS IN THE SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENIES:

Information identifying an entity by
name and address; category of name
(private or individual, corporation, or
governmental agency), and a unique
computer-assigned number.
AUTHORITY FOR MAINTENANCE OF THE
sy stem :

43 U.S.C. 1601 (Alaska Native Claims
Settlement Act), 43 U.S.C. 1701 (Federal
Land Policy and Management Act), and
the various statutes as listed in the
regulations in chapter II of title 43 of the
Code of Federal Regulations.

Disclosure may be made from this
system to consumer reporting agencies
as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681a(f)) or the Federal
Claims Collection Act of 1968 (31 U.S.C.
3701(a)(3)).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
storage:

Electronic.
RETRIEV ABILITY:

PURPOSE OF THE SYSTEM

The purpose of the system is to (1)
provide a single storage location for a
name, thus reducing the amount of
information storage required by the
interfacing BLM Privacy Act Systems,
and (2) eliminate multiple entries of the
same name.

Indexed by name and name
identification number.
SAFEGUARDS:

M aintained with safeguards meeting
the requirements of 43 CFR 2.51(c) for
computerized records.
RETENTION AND DISPOSAL:

ROUTINE USES OF RECORDS MAINTAINED IN
THE SYSTEM, INCLUDING CATEGORIES OF
USERS AND THE PURPOSE OF EACH USE:

Disclosure outsdie the Department of
the Interior may be made: (1) To
appropriate Federal agencies when
concurrence or supporting information is
required prior to granting or acquiring a
right or interest in lands or resources, (2)
to the U.S. Department of Justice or in a
proceeding before a court or
adjudicative body when (a) the United
States, the Department of the Interior, a
component of the Department, or when
represented by the government, an
employee of the Department is a party
to litigation or anticipated litigation or
has an interest in such litigation, and (b)
the Department of the Interior
determines that the disclosure is
relevant or necessary to the litigation
and is compatible with the purpose for
which the records were compiled, (3) to
disclose pertinent information to
appropriate Federal, State, local, or
foreign agency responsible for
investigating, prosecuting, enforcing, or
implementing a statute, regulation, rule,
or order, where the disclosing agency
becomes aware of an indication of a
violation or potential violation of civil or
criminal law or regulation, (4) to a
member of Congress or a Congressional
staff member from the record of an
individual in response to an in q uiry
made at the request of that individual,
(5) to the Department of the Treasury to
effect payment to Federal, State, and
local government agencies,
nongovernmental organizations, and
individuals, and (6) to a debt collection

Indivdual data elements destroyed
when superseded or no longer needed
for administrative purposes. See BLM
Records Schedule 20, Item 64.
SYSTEM MANAGER(S) AND ADDRESS:

Service Center Director, Bureau of
Land Management, U.S. Department of
the Interior, Denver Federal Center,
Building 50, Denver, Colorado 802250047.
NOTIFICATION PROCEDURES:

A w ritten request addressed to the
System Manager, or to a field office
cited in Appendix XI, is required. See 43
CFR 2.60.
RECORD ACCESS PROCEDURES:

To see your record, write to the (1)
System Manager, (2) BLM Privacy Act
Officer, Headquarters Office, (3) State
Office Director(s), or (4) BLM Director,
Boise Interagency Fire Center. A request
for access must meet the content requirements of 43 CFR 2.63. See
Appendix XI for addresses.
CONTESTING RECORD PROCEDURES:

To request corrections in your record,
write to the System Manager. A petition
for amendment must meet the content
requirements of 43 CFR 2.71.
RECORD SOURCE CATEGORIES:

Claimants and applicants.
LLM-32
SYSTEM NAME:

Land & Minerals Authorization
Tracking System—Interior, LLM-32.

5015

SYSTEM LOCATION:

(1)
U.S. Department of the Interior,
Bureau of Land Management, Service
Center, Denver Federal Center, Building
50, Denver, Colorado 80225-0047, (2)
Field offices listed in Appendix XI.
CATEGORIES OF INDIVIDUALS COVERED BY THE
system :

Individuals, companies, partnerships,
and governmental agencies transacting
business with th Bureau of Land
Management relating to lands and
minerals programs. Some of the records
in the system which pertain to
individuals may reflect personal
information, however, only the records
reflecting personal information are
subject to the Privacy Act. The system
also contains records concerning
corporations and other business entities.
These records are not subject to the
Privacy Act.
CATEGORIES OF RECORDS IN THE SYSTEM:

Case serial number, type (authority
for action), acreage, and status; name
and address, percent and type of
interest; legal description; actions; and
general remarks (supplemental
information about the case), e.g., the
extent of oil and gas or other mineral
holdings in national resource lands, and
information on payments due as a result
of lease and/or extraction of minerals or
oil from the leased lands.
AUTHORITY FOR MAINTENANCE OF THE
system :

43 U.S.C. 1601 (Alaska Native Claims
Settlement Act), 43 U.S.C. 1701 (Federal
Land Policy and Management Act), 42
U.S.C 4601 (Uniform Relocation
Assistance and Real Property
Acquisition Policies Act) and the
various statutes as listed in the
regulations in Chapter II of title 43 of the
Code of Federal Regulations.
PURPOSE OF THE SYSTEM:

The primary uses of records in the
system are to facilitate the (1)
processing of claims or application, (2)
recordation of adjudicative actions, and
(3) indexing of documentation in case
files supporting adminstrative actions.
ROUTINE USES OF RECORDS MAINTAINED IN
THE SYSTEM, INCLUDING CATEGORIES OF
USERS AND THE PURPOSE OF SUCH USES:

Disclosure outside the Department of
the Interior may be made: (1) To
appropriate Federal agencies when
concurrence or supporting information is
required prior to granting or acquiring a
right or interest in lands or resources, (2)
to Federal, State, or local agencies or a
member of the general public in
response to a specific request for

5016

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

pertinent information, (3) to the U.S.
Department of Justice or in a proceeding
before a court or adjudicative body
when (a) the United States, the
Department of the Interior, a component
of the Department, or when represented
by the government, an employee of the
Department is a party to litigation or
anticipated litigation or has an interest
in such litigation, and (b) the
Department of the Interior determines
that the disclosure is relevant or
necessary to the litigation and is
compatible with the purpose for which
the records were compiled, (4) to
disclose pertinent information to
appropriate Federal, State, local, or
foreign agency responsible for
investigating, prosecuting, enforcing, or
implementing a statute, regulation, rule,
or order, where the disclosing agency
becomes aw are of an indication of a
violation or potential violation of civil or
criminal law or regulation, (5) to a
member of Congress or a Congressional
staff member from the record of an
individual in response to an inquiry
made at the request of that individual,
(6) to the Department of the Treasury to
effect payment to Federal, State, and
local government agencies,
nongovernmental organizations, and
individuals.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Disclosures may be made from this
system to consumer reporting agencies
as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681a(f)) or the Federal
Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
storage:

Electronic and manual records.
r e t r ie v a b il it y :

Indexed by name and a name
identification number.
sa feg u a rd s:

M aintained with safeguards meeting
the requirements of 43 CFR 2.51(c) for
computerized records.
r e t e n t io n a n d d i s p o s a l :

Individual data elements destroyed
when superseded or no longer needed
for administrative purposes. See BLM
Records Schedule 20, Item 64.
SYSTEM MANAGER(S) AND ADDRESS:

Service Center Director, Bureau of
Land Management, U.S. Department of
the Interior, Denver Federal Center,
Building 50, Denver, Colorado 802250047.

NOTIFICATION PROCEDURES:

A w ritten request addressed to the
System Manager, or to the offices cited
in Appendix XI, is required. See 43 CFR
2.60.
RECORD ACCESS PROCEDURES:

To see your record, write to the (1)
System Manager, (2) BLM Privacy Act
Officer, Headquarters Office, (3) State
Office Director, or (4) BLM Director,
Boise Interagency Fire Center. A request
for access must meet the content
requirements of 43 CFR 2.63. See
Appendix XI for addresses.
CONTESTING RECORD PROCEDURES:

To request corrections in your record,
write to the System Manager. A petition
for amendment must meet the content
requirements of 43 CFR 2.71.
RECORD SOURCE CATEGORIES:

Claimants and applicants.
[FR Doc. 91-2906 Filed 2-6-91; 8:45 am]
BILLING CODE 4310-84-M

Privacy Act of 1974— Revision and
Update of Systems of Records

This notice updates and revises the
information which the Department of the
Interior has published describing system
of records m aintained by the Bureau of
Land Management (BLM) which are
subject to the requirements of the
Privacy Act of 1974, as amended, (5
U.S.C. 552a); As noted below, all
changes being published are editorial in
nature, and reflect organization changes
which have occurred since the previous
publication of the material in the
Federal Register.
Part XI of the Appendix to the
compilation of the Department's systems
of records notices contains the
addresses of BLM facilities which are
referenced in various systems notices.
Part XI, which w as last published in the
Federal Register on July 10,1986 (51 FR
25112), is revised, updated, and
published below.
Since these changes do not involve
any new or intended use of the
information in the Department’s systems
of records, the revisions, shall be
effective February 7,1991.
Additional information regarding
these revisions may be obtained from
the Privacy Act Officer, Bureau of Land
Management, U.S. Department of the
Interior, 1725 “I” Street, NW., m.s. 208,
Washington, DC 20006.

Dated: January 23,1991.
Oscar W. Mueller, Jr.,

Director Office o f Management Improveme ?*.
XL BUREAU OF LAND MANAGEMENT
A. Headquarters Office: Department of the
Interior, Bureau of Land Management 1849 C
Street, NW., Washington, DC 20240
B. Filed Offices (Add Bureau of Land
Management, U.S. Department of the Interior,
to all addresses):
Service Center, Building 50, Denver Federal
Center, P.O. Box 25047, Denver, CO 80225.
Alaska State Office (Area of
administration: Alaska), 222 W. 7th Avenue
No. 13, Anchorage, AK 99513.
Arizona State Office (Area of
administration: Arizona), 3707 North 7th
Street, P.O. Box 16563, Pheonix, AZ 85011.
California State Office (Area of
administration: California), Federal Building,
2800 Cottage Way, E-2841, Sacramento, CA
95825.
Colorado State Office (Area of
^administration: Colorado), 2850 Youngfield
Street, Lakewood, CO 80215.
Idaho State Office (Area of administration:
Idaho), 3380 Americana Terrace, Boise, ID
83706.
Montana State Office (Area of
administration: Montana, North Dakota,
South Dakota), Granite Tower 222 North 32nd
Street, P.O. Box 36800, Billings, MT 59107.
Nevada State Office (Area of
administration: Nevada), 850 Harvard Way,
P.O. Box 12000, Reno, NV 89520.
New Mexico State Office (Area of
administration: New Mexico, Kansas,
Oklahoma, Texas), Joseph M. Montoya
Federal Building, South Federal Place, P.O.
Box 1449, Santa Fe, NM 87504.
Oregon State Office (Area of
administration: Oregon, Washington), 1300
N.E. 44th Avenue, P.O. Box 2965, Portland,
OR 97208.
Utah State Office (Area of administration:
Utah), 324 South State Street, P.O. Box 45155,
Salt Lake City, UT 84145.
Wyoming State Office (Area of
administration: Wyoming, Nebraska), 2515
Warren Avenue, P.O. Box 1828, Cheyenne,
WY 82003.
Eastern States Office (Area of
administration: All States bordering on and
east of the Mississippi River), 350 South
Pickett Street, Alexandria, VA 22304.
Boise Interagency Fire Center (Area of
administration: National); 3905 Vista Avenue,
Boise, ID 83705.
[FR Doc. 91-2907 Filed 2-6-91; 8:45 am]
BILU NG CODE 4310-S4-M

Bureau of Land Management
[W Y-060-91-5101-09-YKKE]

Exxon Wyoming-Dakota Pipeline
Segment et ai.; Notice of Availability
AGENCY:

Bureau of Land Management,

Interior.
Notice of Availability of the
Exxon Wyoming-Dakota Pipeline
ACTION:

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / N otices
Segment 2 and Hartzog Draw Unit C 02
Projects Environmental Assessment
(EA)-_______________________________
The Exxon Wyoming-Dakota
Pipeline Segment 2 and Hartzog Draw
Unit C02 Projects EA is available for
public review. It has been distributed to
those who responded to the public
scoping notice. Copies of the EA can be
obtained by contacting any of the BLM
offices identified below. Any comments
received will be taken into
consideration prior to making a decision
whether or not to approve the proposals
analyzed in the EA.
DATES: Comments will be accepted until
March 1,1991.
a d d r e s s e s : Comments should be sent
to Mr. Glen Nebeker, Casper BLM
Office, 1701 East “E” Street, Casper,
Wyoming 82601, Phone: (307) 261-7600.
SUMM ARY:

FOR FURTHER INFORMATION CO N TA CT:

Copies of the EA can be obtained from
the office identified above or at the
following locations: BLM Wyoming
State Office, Fourth Floor Public Room,
2515 W arren Avenue, Cheyenne,
Wyoming 82032; Platte River Resource
Area, 815 Connie, Mills, Wyoming 82644,
Telephone: (307) 216-7500; Buffalo
Resource Area, 189 North Cedar,
Buffalo, Wyoming 82834, Telephone:
(307) 684-5586; or Lander Resource
Area, South Highway US 287, Lander,
Wyoming 82520, Telephone: (307) 3327822.
SUPPLEMENTARY INFORMATION: The
purpose of the EA is to address the
reactivation of Exxon’s Bairoil/Dakota
C02 Projects. The entire pipeline
project, from MP 26 of the Rangley
Pipeline in southwestern Wyoming, to
Tioga, North Dakota, has been studied
in a DEIS/FEIS and R /W routes were
approved in a Record of Decision issued
in February 1986. However, only the
section from Opal, Wyoming, to Bairoil,
Wyoming, was approved for
construction by BLM. That portion of the
line is now in operation.
Exxon Company, USA, Exxon
Pipeline, and numerous other interested
parties have submitted an application to
BLM to obtain a R /W for construction
and operation of a C02 pipeline from
MP-112 near Bairoil, Wyoming to about
MP-266, near Sussex, Wyoming, and for
constructing ancillary facilities for
enhanced oil recovery (EOR) purposes
in the Hartzog Draw field. The Hartzog
Draw EOR project includes well field
facilities, a gas reinjection plant, and
possibly a gas separation plant.
The EA analyzed the site-specific and
cumulative effects of constructing,
operating and maintaining the proposed
C02 pipeline, the Hartzog Draw plants,

and all field facilities associated with
the proposed C 02 EOR proposal.
Dated: January 28,1991.
James W. Monroe,

District Manager.
[FR Doc. 91-2858 Filed 2-6-01; 8:45 amj
BILLING CODE 4310-22-11

Albuquerque, NM; District Grazing
Advisory Board Meeting
[G-010-4320-12/G1-0104]
agency

:

Bureau of Land Management,

Interior.
Notice of Albuquerque District
Advisory Board meeting.
a c tio n :

SUMM ARY: The BLM’s Albuquerque
District Grazing Advisory Board will
meet on Tuesday, March 12,1991, at 9:30
a.m., in the BLM District Office located
at 435 Montano NE. in Albuquerque,
New Mexico.
The agenda for the meeting will
include:
1. Introduction and Opening Remarks.
2. Election of Officers.
3. Approval of the minutes.
4. Preliminary Review of FY 92 Range
Improvement Projects.
5. W ater Rights Update.
6. Roles of Industry and the BLM
concerning grazing on public lands.
7. Public comment period 11 a.m.
8. Sikes Act Update.
The meeting is open to the public.
Anyone interested in attending this
meeting to make a presentation must
notify the District Manager by March 7,
1991. W ritten statements may also be
filed for the Board’s consideration.
Summary minutes of the meeting will
be on file in the Albuquerque District
Office and available for public
inspection during business hours within
30 days of the meeting.
FOR FURTHER INFORMATION CO N TACT:

Gary Wood, District Range
Conservationist, BLM, 435 Montano NE.,
Albuquerque, New Mexico 87107.
Dated: January 29,1991.
Patricia E. McLean,

Associate District Manager.
[FR Doc. 91-2859 Filed 2-8-91; 8:45 amj
BILUNG CODE 4310-FB-M

Susanville, CA: Grazing Advisory
Board Meeting

Interior, Bureau of Land
Management, Susanville District
Grazing Advisory Board, Susanville,
California.
a c t i o n : Notice of meeting.
AG ENCY:

5017

Notice is hereby given that
the Susanville District Grazing Advisory
Board, created under the Secretary of
the Interior’s discretionary authority on
May 14,1986, will meet on March 7,
1991.
The March 7 meeting will begin at 10
a.m. at the Alturas Resource Area
Office, Bureau of Land Management, 608
W. 12th Street, Alturas, California.
Subjects to be covered during the
meeting will include a report of progress
on range improvements for FY 1991, a
report on new and revised Allotment
Management Plans (AMPs) for FY 1991,
a report on the wild horse and burro
program, a discussion of the proposed
Black Rock/High Rock Emigrant Trails
National Conservation Area, and a
discussion of other items as appropriate.
The meeting is open to the public.
Interested persons may make oral
statements to the Board between 3 p.m.
and 4:30 p.m. on March 7,1991 or file a
written statement for the Board’s
consideraiton. Anyone wishing to make
an oral statement must notify the
District Manager, Bureau of Land
Management, 705 Hall Street,
Susanville, California 96130 by March 1,
1991. Depending upon the number of
persons wishing to make oral
statements, a per person time limit may
be established.
Summary minutes of the Board
meeting will be maintained in the
District Office, and will be available for
public inspection and reproduction
(during regular business hours) within 30
days following the meeting.
SUMM ARY:

John Bosworth,

Acting District Manager.
[FR Doc. 91-2860 Filed 2-6-91; 8:45 amj
BILLING CODE 4310-40-M

Fish and Wildlife Service
Meeting, Klamath Fishery Management
Council
agency
a c tio n :

Department of the Interior.
Notice of meeting.

:

Pursuant to section 10(a)(2) of
the Federal Advisory Committee Act (5
U.S.C. App. I), this notice announces a
meeting of the Klamath Fishery
Management Council, established under
the authority of the Klamath River Basin
Fishery Resources Restoration Act (16
U.S.C. 460ss et seq.). The meeting is
open to the public.
D ATES: The Klamath Fishery
Management Council will meet from 9
a.m. to 5 p.m. on Thursday, February 14,
1991; and from 8 a.m. to 12:30 p.m. on
Friday, February 15,1991.
sum m ary:

5018

Federal Register / Vol. 56, No. 26 / T h u rsd ay , F eb ru ary 7, 1991 / N otices

The meeting will be held in the
conference room of the Red Lion Inn,
1929 Fourth Street, Eureka, California.
PLACE:

FOR FURTHER INFORMATION CONTACT:

Dr. Ronald A. Inverson, Project Leader,
U.S. Fish and Wildlife Service, P.O. Box
1006 (1030 South Main), Yreka,
California 96097-1006, telephone (916)
842-5763.
SUPPLEM ENTARY INFORMATION: For
background information on the
Management Council, please refer to the
notice of their initial meeting that
appeared in the Federal Register on July
8,1987 (52 FR 25639). On February 14,
the Council will discuss content of a
public review draft of a long-range plan
for management of harvest of Klamath
anadromous fish stocks. The Council
will hear technical reports on 1990 fish
harvests, and on numbers of spring and
fall chinook salmon expected to be
available for harvest in 1991. On
February 15, the Council will review,
and make recommendations on, plans
for 1991 harvest of Klamath stocks of
chinnok salmon and other anadromous
fish.

statem ents to the Council or may file
w ritten statements for the Council’s
consideration. Anyone wishing to make
oral statements may do so at 10 a.m.
p.s.t. on Thursday, March 7.
Summary minutes of the Council’s
meeting will be maintained in the
district office and will be available for
public inspection, or personal copies
may be purchased for the cost of
duplication, within 30 days of the
meeting.
d a t e s : The meeting will begin at 10 a.m.
p.s.t. W ednesday, March 6,1991, and
continue to 12 noon. A field trip to the
Oregon Trail Interpretive Center project
office and the Flagstaff Hill site will
take place from 1:30 to 4:30. The meeting
will resume at 8 a.m. on Thursday,
March 7, and conclude at 12 noon p.s.t.
ADD R ESSES: The meeting will be held in
the meeting room of the Kopper Kitchen
restaurant, 480 Campbell Street, Baker
City, OR 97814.
FOR FURTHER INFORMATION CONTACT:

William E. Martin,

Gerard Hubbard, Bureau of Land
Management, Vale District, 100 Oregon
Street, Vale, OR 97918 (Telephone 503
473-3144).

Acting Regional Director, U.S. Fish and
Wildlife Service.

Associate District Manager.

Dated: January 28,1991.

Geoffrey Middaugh,

[FR Doc. 91-2857 Filed 2-6-91; 8:45 am]

[FR Doc. 91-2908 Filed 2-6-91; 8:45 am]

BILLING CODE 4310-55-M

BILU NG CODE 4310-33

Bureau of Land Management

[W Y-920-41-5700; W YW 117184]

[OR-030-01-4320-02: 61-016]

Vale District Multiple-Use Advisory
Council; Meeting

Vale District, Bureau of Land
Management, Interior.
AG ENCY:
ACTION:

Notice of meeting.

s u m m a r y : Notice is given in accordance
with Public Law 92-463 that a meeting of
the Vale District Multiple-Use Advisory
Council will be held March 6 and 7,
1991.
The agenda of the meeting will
include: Overview of the National
Historic Oregon Trail Interpretive
Center project, Changes in grazing
management on public lands if drought
conditions persist, Maintenance strategy
for range improvement projects, Update
on plans and activities related to
mineral development at Grassy
Mountain, Update on plans and
activities in the Trout Creek Mountains,
Update on issues related to biodiversity,
Update on riparian restoration, and
Plans for range and riparian
improvement in the Harper Allotment.
The meeting is open to the public.
Interested persons may make oral

Notice of Proposed Reinstatement of
Terminated Oil and Gas Lease

Pursuant to the provisions of Public
Law 97-451, 96 Stat. 2462-2466, and
Regulation 43 CFR 3108.2-3 (a) and
(b)(1), a petition for reinstatement of oil
and gas lease WYW117184 for lands in
Johnson County, Wyoming, w as timely
filed and ws accompanied by all the
required rentals accruing from the date
of termination.
The lessee has agreed to the amended
lease terms for rentals and royalties at
rates of $10 per acre, or fraction thereof,
per year and 16% percent, respectively.
The lessee has paid the required $500
administrative fee and $125 to reimburse
the Department for the cost of this
Federal Register notice.
The lessee has met all the
requirements for reinstatement of the
lease as set out in section 31 (d) and (e)
of the Mineral Lands Leasing Act of 1920
(30 U.S.C. 188), and the Bureau of Land
Management is proposing to reinstate
lease WYW117184 effective September
1,1990, subject to the original terms and
conditions of the lease and the

increased rental and royalty rates cited
above.
Pamela J. Lewis,

Supervisory Land Law Examiner.
[FR Doc. 91-2909 Filed 2-6-91; 8:45 am]
BILUNG CODE 4310-22-M

[C A -9 4 0 -0 1-5410-10 -B 0 12; C A C A 27774
and CA-940-01-5410-10-B013; C A C A
27792]

Conveyance of Mineral Interests in
California
agency

:

Bureau of Land Management,

Interior.
ACTION:

Notice of segregation.

The private lands described
in this notice, aggregating 18.50 acres,
are segregated and made unavailable for
filings under the general mining laws
and the mineral leasing laws to
determine their suitability for
conveyance of the reserved mineral
interest pursuant to section 209 of the
Federal Land Policy and Management
Act of October 21,1976.
The mineral interests will be
conveyed in whole or in part upon
favorable mineral examination.
The purpose is to allow consolidation
of surface and subsurface of minerals
ownership where there are no known
mineral values or in those instances
where the reservation interferes with or
precludes appropriate nonmineral
development and such development is a
more beneficial use of the land than the
mineral development.
sum m ary:

FOR FURTHER INFORMATION CONTACT:

Judy Bowers, California State Office, ,
Federal Office Building, 2800 Cottage
Way, Room E-2845, Sacramento,
California 95825, (916) 978-4820.
Serial Nos. CACA 27774, CACA 27792.
T. 3 S., R. 27 E., Mount Diablo Meridian
Sec. 34, fractional SWV4SEV4.
County—Mono
Minerals Reservation—All coal and other
minerals

Upon publication of this Notice of
Segregation in the Federal Register as
provided in 43 CFR 2720.1-1(b), the
mineral interests owned by the United
States in the private lands covered by
the applications shall be segregated to
the extent that they will not be subject
to appropriation under the mining and
mineral leasing laws. The segregative
effect of the applications shall terminate
by publication of an opening order in the
Federal Register specifying the date and
time of opening; upon issuance of a
patent or other document of conveyance
to such mineral interests: or two years

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices
from the date of publication of this
notice, whichever occurs first.
Dated: January 29,1991.
Nancy J. Alex,

Chief, Lands Section.
[FR Doc. 91-2910 Filed 2-6-91; 8:45 am]
BILLING CODE 4310-40-M

[AZ-0 2 0-9 1-4410-08]

Kingman Resource Area Resource
Management Plan; Extension of
Comment Period

agreement for partial support of the
SCEC is appropriate.
Further Information: For further
information contact Elaine Padovani,
U.S. Geological Survey, Geologic
Division—MS 905,12201 Sunrise Valley
Drive, Reston, VA 22092. Telephone 703684-8722.
(Catalog of Federal Domestic Assistance
Number 15.807)
Dated: February 1,1991.
Jack J. Stassi,

Assistant Directorfor Administration.
[FR Doc. 91-2938 Filed 2-6-91; 8:45 am]

Bureau of Land Management,
Phoenix District, Kingman Resource
Area, Interior.
ACTION: Notice of comment period
extension.
AGENCY:

SUMMARY: The Kingman Resource Area
has extended the public comment period
for the draft Kingman Resource Area
Resource Management Plan and
Environmental Impact Statement from
March 8,1991 to April 13,1991.
FOR FURTHER INFORMATION CONTACT:

Gordon Bentley, Team Leader, 2475
Beverly Avenue, Kingman, Arizona
86401 (Phone (602) 757-3161, FTS 2610200).
SUPPLEM ENTARY INFORMATION: The
purpose of the extension of the comment
period is to provide for further
consultation and cooperation with the
affected public land users. Any groups
or individuals who are interested in
meeting with the planning team should
contact Gordon Bentley at the above
address before the end of the comment
period.

Dated: February 1,1991.
Henri R. Bisson,

District Manager.
[FR Doc. 91-2911 Filed 2-6-91; 8:45 am]
BILUNG CODE 4310-32-M

Geological Survey
Southern California Earthquake Center
(SCEC); Restriction of Eligibility for
Cooperative Agreement Award

The USGS intends to aw ard
cooperative agreement 14-08-0001A0899 to the University of Southern
California for partial support of the
SCEC. Initial USGS funding will be
$1,850,000.
Project Scope: The SCEC, will serve
as the database of southern California
geoscientific data. This database will be
integrated for the purpose of formulating
seismic hazard analysis. Support of the
SCEG will meet the goals of the USGS’s
Earthquake H azards Reduction Program.
Therefore, aw ard of a cooperative

BILLING CODE 4310-31-M

5019

Service Order No. 1510-A
vacates Service Order No. 1510, as
amended.
a c tio n :

Service Order No. 1510, as
amended, authorized D&H Corp./CP
Rail to operate, pursuant to 49 U.S.C.
11123(a) and without Federal subsidy or
other Federal compensation, over tracks
of the D&H until 11:59 p.m., February 26,
1991. Service Order No. 1510-A hereby
vacates Service Order No. 1510, as
amended.
EFFECTIVE DATE: This order shall
become effective at 11:59 p.m., February
1.1991.
Su m m a r y :

FOR FURTHER INFORMATION CONTACT:

INTERNATIONAL DEVELOPMENT
COOPERATION AGENCY
Agency for International Development
Board for International Food and
Agricultural Development and
Economic Cooperation; Notice of
Charter Renewal and Revision

Pursuant to the provisions of the
Federal Advisory Committee Act, notice
is hereby given that the Administrator of
the Agency for International
Development has determined that
renewal and revision of the Charter for
the Board for International Food and
Development (BIFAD) is necessary and
in the public interest. The revised
Charter expands the Board’s advisory
responsibilities to include all aspects of
development and changes the Board’s
name to the Board for International
Food and Agricultural Development and
Economic Cooperation (BIFADEC).
Dated: January 25,1991.
C. Stuart Callison,

Acting Executive Director, BIFADEC.
[FR Doc. 91-2856 Filed 2-6-91; 8:45 am]
BILU NG CODE 6116-71-M

INTERSTATE COMMERCE
COMMISSION
[Service Order No. 1510-A]

D&H Corp.1 /Canadian Pacific Limited
Authorized to Operate Tracks of
Delaware and Hudson Railway Co.,
Debtor (Francis P. Dicello, Trustee);
Notice

Interstate Commerce
Commission.
AG ENCY:

1 D&H Corporation is a wholly owned subsidiary
of Canadian Pacific Limited that was formed to
acquire the assets of the Delaware and Hudson
Railway Company (D&H). That acquisition was
approved by the Commission in Canadian Pacific
Ltd.—Pur. & Trackage.—D&H Ry. Co., 7 1.C.C. 2d 95
(1990).

Bernard Gaillard (202) 275-7849, or
Melvin F. Clemens, Jr. (202) 275-1559,
[TDD for hearing impaired: (202) 2751721).
SUPPLEM ENTARY INFORMATION: Upon
application by Francis P. DiCello,
Trustee in reorganization of the D&H,
and D&H Corp./CP Rail, Service Order
No. 1510 (55 FR 31906) and as amended
(55 FR 35962 and 49952), w as entered
pursuant to 49 U.S.C. 11123(a) and
extended until 11:59 p.m., February 26,
1991.
The trustee and D&H Corp./CP Rail,
by application of November 23,1990,
had requested that the Commission
continue Service Order No. 1510 in
effect until consummation of the
transactions approved in Canadian
Pacific Ltd.—Pur. & Trackage.—D&H
Ry. Co., 7 1.C.C. 2d 95 (1990). On January
18.1991, attorneys for D&H Corp./CP
Rail notified the Commission that the
transactions approved by the
Commission in the above cited decision
had been consummated, that D&H
Corp./CP Rail had ceased providing
emergency service pursuant to Service
Order No. 1510, and that operations had
commenced over D&H as part of the CP
Rail system.
The Commission herein certifies that
the emergency which prompted entry of
the original order in this proceeding no
longer exists, and that the order may be
vacated.
To purchase a copy of the decision,
write to, call or pick up a copy in person
from: Dynamic Concepts, Inc., room
2229, Interstate Commerce Commission
Building, Washington, DC 20423.
Telephone (202) 289-4357/4359.
Decided: January 31,1991.
By the Commission, Chairman Philbin, Vice
Chairman Emmett, Commissioners Simmons,
Phillips and McDonald.
Sidney L. Strickland, Jr.,

Secretary.
[FR Doc. 91-2978 Filed 2-6-91; 8:45 am]
BILLING CODE 7035-01-M

5020

Federal Register / Vol. 56, No. 28 / Thursday, February 7, 1991 / Notices

[Finance Docket No. 31821]

CSX Transportation, Inc.— Trackage
Rights Exemption— the Monongaheia
Railway Co.; Notice

The Monongaheia Railway Company
has agreed to grant overhead trackage
rights to CSX Transportation, Inc.,
betw een milepost B. Jet 0.0, at or near
Brownsville [or a point known as
“Brown"), PA, and milepost B. Jet 66.65,
at or near Rivesville (or a point known
as “Catawba Junction”), WV, a distance
of 66.65 miles.1 The trackage rights were
to become effective on January 29,1991.
This notice is filed under 49 CFR
1180.2(d)(7). Petitions to revoke the
exemption under 49 U.S.C. 10505(d) may
be filed at any time. The filing of a
petition to revoke will not stay the
transaction. Pleadings must be filed with
the Commission and served on:
Lawrence H. Richmond, 100 North
Charles Street, Baltimore, MD 21202.
As a condition to the use of this
exemption, any employees affected by
the trackage rights will be protected
pursuant to Norfolk and Western Ry.
Co.—Trackage Rights—BN, 3541.C.C.
605 (1976), as modified in Mendocino
Coast Ry., Inc.—Lease and Operate, 360
I.C.C. 653 (1980).
Dated: February 1,1991.
By the Commission, David M. Konschnik,
Director, Office of Proceedings.
Sidney L. Strickland, Jr.,

Secretary.
[FR Doc. 91-2979 Filed 2-6-01; 8:45 am]
BILLING CODE 7035~01~M

[Finance Docket No. 31822]

CSX Transportation, Inc.— Trackage
Rights Exemption— the Pittsburgh &
Lake Erie Railroad Co.; Exemption

The Pittsburgh & Lake Erie Railroad
Company has agreed to grant overhead
trackage rights to CSX Transportation,
Inc., between milepost 53.9, at or near
Brownsville (or a point known as
"Brown"), PA, and milepost 15.3,
Monongaheia Branch Junction, PA, a
distance of approximately 38.6 miles.1
The trackage rights were to become
effective on January 29,1991.
This notice is filed under 49 CFR
1180.2(d)(7). Petitions to revoke the
exemption under 49 U.S.C. 10505(d) may
be filed at any time. The filing of a
1These trackage rights will connect at or near
Brownsville with other trackage rights which are the
subject of an exemption in Finance Docket No.
31822.
1These trackage rights will connect at or near
Brownsville with other trackage rights which are the
subject of an exemption in Finance Docket No.
31821.

petition to revoke will not stay the
transaction. Pleadings must be filed with
the Commission and served on:
Lawrence H. Richmend, 100 North
Charles Street, Baltimore, MD 21202.
As a condition to the use of this
exemption, any employees affected by
the trackage rights will be protected
pursuant to Norfolk and Western Ry.
Co.— Trackage Rights—BN, 3541.C.C.
605 (1978), as modified in Mendocino
Coast Ry., Inc.—Lease and Operate, 360
I.C.C. 653(1980).
Dated: February 1,1991.
By the Commission, David M. Konschnik,
Director, Office of Proceedings.
Sidney L Strickland, Jr.,

This notice is filed under 49 CFR
1150.31. If the notice contains false or
misleading information, the exemption is
void ab initio. Petitions to revoke the
exemption under 49 U.S.C. 10505(d) may
be filed a t any time. The filing of a
petition to revoke will not automatically
stay the transaction.
Decided: February 1,1991.
By the Commission, David M. Konschnik,
Director, Office of Proceedings.
Sidney L. Strickland, Jr.,

Secretary.
[FR Doc. 91-2981 Filed 2-6-fll; 8:45 am]
BILLING CODE 7035-01-»!

Secretary.
[FR Doc. 91-2980 Filed 2-8-91; 8:45 am]
BILLING CODE 703S-01-M

[Finance Docket No. 31653]
S t Lawrence & Raquette River
Railroad— Lease and Operation
Exemption— Lines in New York;
Exemption

The New York & Lake Erie Railroad,
through its SL Lawrence & Raquette
River Railroad Division (SLRR), has
filed a notice of exemption to lease and
operate 32 miles of rail line ow ned by
the Ogdensburg Bridge and Port
Authority (OBPA) extending: (1)
Between milepost 0.0, at Ogdensburg,
NY, and milepost 25.2, at Norwood, NY;
and (2) between milepost 0.0, at
Norwood, and milepost 6.8±, at
Raymondville, NY.
This transaction is related to two
independently filed petitions for
exemption that were granted in Docket
No. AB-322 (Sub-No. IX), NRUC
Corporation—Petition for Exemption—
Discontinuance o f Service and
Operations in SL Lawrence County, NY;
and Docket No. AB-323 (Sub-No. IX),
Ogdensburg Bridge and Port
Authority—Petition for Exemption—
Abandonment and Discontinuance of
Service between Ogdensburg and
Waddington, in SL Lawrence County,
N Y (not printed), served January 25,
1991. In that decision, the Commission
granted: (1) NRUC Corporation, the
current operator on the line, an
exemption from the provisions of 49
U.S.C. 10903, et. seq„ to discontinue
service; and (2) OBPA, the owner of the
line, an exemption from the same
provisions to abandon the line.
Any comments must be filed with the
Commission and served on: Robert O.
Dingman, Jr., SL Lawrence & Raquette
River Railroad, 50 Commercial Street,
Gowanda, NY 14070.

[Finance Docket No. 31820]

SL Louis Southwestern Railway
Company—Trackage Rights
Exemption— Burlington Northern
Railroad Company

Burlington Northern Railroad
Company has agreed to grant overhead
trackage rights to St. Louis
Southwestern Railway Company (SSW)
over a 985-foot connector track at or
near Theresa Avenue, SL Louis, MO.
The trackage rights will connect SSW s
existing trackage rights over lines of
Missouri Pacific Railroad Company and
Terminal Railroad Association. The
trackage rights were to become effective
on or as soon as possible after February
7,1991.1
This notice is filed under 49 CFR
1180.2(d)(7). Petitions to revoke the
exemption under 49 U.S.C. 10505(d) may
be filed at any time. The filing of a
petition to revoke will not stay the
transaction. Pleadings must be filed with
the Commission and served on: John
MacDonald Smith, St. Louis
Southwestern Railway Company, 813
Southern Pacific Building, One Market
Plaza, San Francisco, CA 94105.
As a condition to the use of this
exemption, any employees affected by
the trackage rights will be protected
pursuant to Norfolk and W estem Ry.
Co.— Trackage Rights—BN, 3541.C.C.
605 (1978), as modified in Mendocino
Coast Ry., Inc.—Lease and Operate, 360
I.C.C. 653 (1980).
Dated: January 31,1991.

1 SSW's original notice was defective due to an
inadvertent printing error. The exemption becomes
effective 7 days after the January 31,1991. file date
of SSW’s amended notice correcting the defect. 49
CFR 1180.4(g)(1).

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices
By the Commission, David M. Konschnik,
Director, Office of Proceedings.
Sidney L. Strickland, Jr.,

Secretary.
[FR Doc. 91-2836 Filed 2-6-91; 8:45 am]
BILLING CODE 7035-01-M

DEPARTMENT OF JUSTICE
Antitrust Division
Notice Pursuant to the National
Cooperative Research Act of 1984Bell Communications Research, Inc.

Notice is hereby given that, pursuant
to section 6(a) of the National
Cooperative Research Act of 1984,15
U.S.C. 4301 et seq. (“the Act”), Bell
Communications Research, Inc.
(“Bellcore”) on December 21,1990 has
filed a written notification on behalf of
Bellcore and NEC Corporation (“NEC”)
simultaneously with the Attorney
General and the Federal Trade
Commission disclosing (1) the identities
of the parties of the venture and (2) the
nature and objective of the venture. The
notification w as filed for the purpose of
invoking the Act’s provisions limiting
the recovery of antitrust plaintiffs to
actual damages under specified
circumstances. Pursuant to section 6(b)
of the Act, the identities of the parties to
the venture, and its general areas of
planned activities, are given below.
Bellcore is a Delaware corporation
with its principal place of business at
290 W Mt. Pleasant Avenue, Livingston,
New Jersey 07039.
NEC is a Japanese corporation with a
place of business at 7-1 Shiba 5-chome,
Minato-ku, Tokyo 108-01, Japan.
On November 8,1990, Bellcore and
NEC entered into an agreement to
engage in cooperative and theoretical
and experimental studies in high Tc
superconductor thin film and prototype
thin film device research to better
understand the applications of such
technology for exchange and exchange
access services, including demonstrating
feasibility of research concepts by
experimental prototypes of such
technologies.
Joseph H. Widmar,

Director of Operations, Antitrust Division.
[FR Doc. 91-2930 Filed 2-6-91; 8:45 am]
BILUNG CODE 4410-01-M

Notice Pursuant to the National
Cooperative Research Act of 1984—
Petrotechnical Open Software Corp.

Notice is hereby given that, on
January 14,1991, pursuant to section 6(a)
of the National Cooperative Research

Act of 1984,15 U.S.C. 4301 et seq. (“the
Act”), Petrotechnical Open Software
Corporation (“POSC”) filed w ritten
notifications simultaneously with the
Attorney General and the Federal Trade
Commission disclosing (1) the identities
of the parties to a joint venture to
conduct research and development of an
integrated software platform for
petroleum exploration and production
and (2) the nature and objectives of the
venture. The notification w as filed for
the purpose of invoking the Act’s
provisions limiting the recovery of
antitrust plaintiffs to actual damages
under specified circumstances. Pursuant
to section 6(b) of the A ct the identities
of the parties to the venture and its
general areas of planned activity are
given below:
Voting members
BP Exploration Incorporated, 5151 San
Felipe, Houston, TX 77056.
Chevron Corporation, P.O. Box 42832,
Houston, TX 77242-2832.
Societe Nationale ELF Aquitaine
(Production), 64018 Pau Cedex,
France.
Mobil Exploration and Producing
Services Incorporated, Technical
Computer Center, P.O. Box 650232,
Dallas, TX 75265-0232.
Texaco Incorporated, E & P Technology
Division, P.O. Box. 770071, Houston,
TX 77042-5301.
Non-voting members:
ZEH Graphics Systems, 1325 Dairy
Ashford, Suite 295, Houston, TX 77077.
Additional voting members may be
added by vote of three-fourths of the
existing voting members. Additional
non-voting members may be added by
the board of directors. The non-voting
membership of POSC is open to any
corporation or other entity with an
interest in petroleum exploration or
production. Information regarding
participation in the venture may be
obtained by contacting POSC.
POSC is a non-profit, non-stock
membership corporation organized
under the laws of the State of Delaware.
The object of POSC is to undertake
cooperative research, development,
formulation and experimentation
concerning an open, integrated software
platform for the exploration and
production segments of the petroleum
industry. POSC will engage in all
necessary activities to accomplish this
objective including:
1. Conducting research and
experimentation to formulate and
develop specifications for an open,
integrated software platform;

5021

2. Developing and promoting new and
relevant standards and participating in
the development of industry standards;
3. Conducting research and
experimentation to formulate and
develop a high level logical common
data model;
4. Conducting research and
experimentation to formulate and
develop test suites to permit vendors to
evaluate their offerings against
specifications;
5. Certifying that industry offerings
are in compliance with specifications;
6. Conducting research and
experimentation in order to formulate
and develop software offerings
consistent with specifications, to the
extent required to supplement available
industry offerings;
7. Developing and making available
software or other proprietary
information or technology developed
through POSC, including the granting of
licenses;
8. Providing technical assistance to
end users and software vendors in the
implementation and use of the
specifications and software offerings
developed by POSC;
9. Collecting, exchanging and
analyzing research information required
to achieve the venture’s objective;
10. Establishing an open process for
solicitation of inputs for its
specifications, test suites and any
software oferings;
11. Establishing guidelines for the
licensing of technology submitted by an
interested party and utilized by POSC in
its integrated software platform, test
suites or software offerings; and
12. Conducting research and
experimentation to formulate and
develop methods for the distribution of
POSC’s software offerings in an
encoded form which is not limited to the
machine architecture on which it will
execute.
The venture became effective November
30,1990.
Joseph H. Widmar,

Director of Operations, Antitrust Division.
[FR Doc. 91-2913 Filed 2-6-91; 8:45 am]
BILUNG CODE 4410-01-M

National Institute of Corrections
Advisory Board Meeting

Time and Date: 1 p.m., Sunday, March
3,1991.
Place: Crystal Gateway Marriott
Hotel, 1700 Jefferson Davis Highway,
Arlington, Virginia.
Status: Open.

5022

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

M atters to be Considered: The FY
1992 Program Plan, the Corrections
Television Network, the NIC/OJJDP
Agreement, and a briefing by the Bureau
of Justice Statistics on their programs.
Contact Person fo r More Information:
Larry Solomon, Deputy Director, (202)
307-3106.
M. Wayne Huggins,

proposed funding is approximately
$168,000 for a one year period.
Signed at Washington, DC on January 25,
1991.
Robert D. Parker,

ETA Grant Officer.
[FR Doc. 91-2897 Filed 2-6-91; 8:45 am]
BILLING CODE 4510-30-M

Director.
[FR Doc. 91-2033 Filed 2-6-91; 8:45 am]
BILUNG CODE 4410-36-M

DEPARTMENT OF LABOR
Employment and Training
Administration
Job Training Partnership Act;
Announcement of Proposed
Noncompetitive Grant Awards

Employment and Training
Administration, Labor.
a c t i o n : Notice of intent to aw ard a
noncompetitive grant.

AG ENCY:

SUMMARY: The Employment and
Training Administration (ETA)
announces its intent to modify a current
grant with the Contact Center, Inc. of
Lincoln, Nebraska, for the provision of
specialized services under the authority
of the Job Training Partnership Act
(JTPA).
D ATES: It is anticipated that this grant
agreement will be executed by February
27,1991, and will be funded for one
year. Submit comments by 4:45 p.m.
(Eastern Time), on February 22,1991.
ADD R ESSES: Submit comments regarding
this proposed assistance aw ard to: U.S.
Department of Labor, Employment and
Training Administration, room C-43Q5,
200 Constitution Avenue, NW.,
Washington, DC 20210, Attention:
Charlotte Adams; Reference FR-DAA002-91.
SUPPLEM ENTAL INFORMATION: The
Employment and Training
Administration (ETA) announces its
intent to modify our current grant with
the Contact Center, Inc. of Lincoln,
Nebraska. The grantee will provide
information regarding workforce/
workplace issues relating to the Job
Training Partnership Act (JTPA) by
phone to callers to the Project PLUS
system and follow-up with written
information where appropriate. Grantee
will also inform JTPA Service Delivery
Areas (SDAs) of all referrals of Project
PLUS callers to their SDAs on a monthly
basis. Funds for this activity are
authorized by the Job Training
Partnership Act, as amended, Title IV—
Federally Administered Programs. The

Job Training Partnership Act (JTPA);
Building the Capacity of the JTPA
System

Employment and Training
Administration, Labor.
ACTION: Notice; request for comments.

AG ENCY:

Although there is widespread
recognition of the success achieved by
the Job Training Partnership Act (JTPA)
training system, there have been
concerns raised from many sources, but
most frequently from within the system
itself, that there is a need to improve the
quality of services and management of
the program. The purpose of this notice
is to begin a dialogue among all partners
within the JTPA system on how best to
strengthen that capacity of the system.
The initial comment period will be
followed by consultations with the
principal commenters, Congressional
staff and interest groups to arrive at
positions, where appropriate, and
publish such positions for general
comments. In order to stimulate
recommendations and reactions, the
paper is organized around a set of
optional approaches to the three
components of capacity-building most
frequently identified by State and local
program operators as key elements of
such a system. They are: (1) Training of
JTPA professional staff, (2) an appraisal
system which promotes quality in
program delivery, and (3) recognition of
staff competencies. These options are
intended to be illustrative and do not
preclude other options from
consideration.
DATES: W ritten comments on this notice
are invited. Comments should be
submitted on or before March 11,1991.
Following the comment period, the
Department will review the comments
received, meet and discuss issues with
principal commenters, Congressional
staff, and interest groups, arrive at
positions, where appropriate, and
publish such positions for general
comment
AD D RESSES: Written comments shall be
mailed to the Assistant Secretary for
Employment and Training, U.S.
Department of Labor, 200 Constitution
Avenue, NW., room‘N—4703,
Washington, DC 20210, Attention: Mr.
sum m ary:

Hugh S. Davies, Acting Director, Office
of Employment and Training Programs.
Commenters wishing acknowledgement
of receipt of their comments should
submit them by certified mail, return
receipt requested.
FOR FURTHER INFORMATION CO N TACT.

Mr. Hugh S. Davies, Acting Director,
Office of Employment and Training
Programs. Telephone: (202) 535-0580.
(This is not a toll-free number.)
SUPPLEM ENTARY INFORMATION: The
purpose of this notice is to offer a
sample of optional ways of
strengthening the capacity of the Job
Training Partnership Act (JTPA) system
and to obtain further options, views and
guidance from the JTPA system. The
Department of Labor (Department)
intends to move forward as the system
wishes and therefore is committed to
capacity-building as a collaborative
process involving State and local
officials and other interested parties at
each step in the process. The
Department also recognizes that several
options may not involve the Federal
Government. Therefore, next steps and
future direction for capacity-building
efforts will be based on the JTPA
system’s response and comments
elicited as a result of this Notice. The
Department does not intend to proceed
with any of the options presented unless
and until support is received from the
JTPA system. This notice is a first step
in a continuing process to determine
how capacity-building objectives can be
best achieved.
The Department is interested in
comments regarding the best overall
approach to building the capacity of the
JTPA system as well as
recommendations with regard to: (1) A
National Training Institute, (2) an
appraisal system which would foster
program excellence, and (3) ways of
increasing and recognizing JTPA
professional staff competencies. In
addition to commenting on the options
as presented, commenters are also
encouraged to suggest new alternatives.
In responding, please indicate how the
Department can and should proceed, if
at all.
The Department is particularly
interested in receiving comments on
approaches to capacity-building that
have already been successfully
implemented within the JTPA
community. Such approaches could
serve as models for our efforts, and the
Department could benefit by buiding
upon these successful strategies in
developing the capacity-building
initiative at the national level.

Federal Register / Vol. 50» No. 20 / Thursday, F ebruary 7, 1991 / N otices
Background
While JTPA over the past years has
been labeled as one o f the most
successful job training programs ever,
the Department has repeatedly heard
from many sources that the system must
continue to grow in order to be prepared
to deal with the upcoming challenges of
a changing economy and workforce.
Most frequently raised has been the
need fo r comprehensive training of
ITPA staff a t all levels; improving the
quality of service delivery; and
recognition of staff competencies.
The JTPA Advisory Committee m ade
up of leaders from the job training
system, the private sector. labor,
education and community-based
organizations emphasized the need for
building the capacity of the JTPA system
in its March 1939 report, “Working
Capital: JTPA Investments for the 90s."
While complimenting the system for its
past performance, the report goes on to
say:
The real capacity for better performance in
JTPA lies in its service provider organizations
and the people who staff them. The job
training system, in its various guises, has
performed remarkably well since its
inception several decades ago, surviving
large swings in funding, smgificant changes
in governing relationships, and substantial
shifts in the mix of allowable target
population and services. The source of this
enduring capacity should be explicitly
recognized; every effort should be made to
ameliorate the conditions that impede it, and
sustained efforts should be provided to
ensure that it is nurtured.

The Advisory Committee
recommended that the Department, as a
leader in the field of training and
employment, take a proactive role in
building capacity throughout the
employment and training system, going
as far as to suggest the creation of a new
line item for staff training and
development in the JTPA appropriation.
Further evidence of the system’s
interest in and need for comprehensive
training is found in a recent study on
“JTPA Staffing and Staff Training at the
State and SDA Levels," prepared by
Berkeley Planning A ssociates and
Macro Systems, Inc. The study indicated
consensus about overall training
priorities at the S tate and service
delivery area (SDA) levels, as well as
priorities specific to staff performing
different types of functions. The study
revealed considerable interest in
training a t the State and SDA levels, as
well as at the service provider leveL
Several key national training and
employment organizations echoed these
concerns as well in a recent letter to the
Department saying that "it has become
increasingly apparent th at there is a

need for system atic development of a
body of knowledge, communications
channels, and curricula and training to
build the profession and professional
practice in the various employment and
training programs throughout the
nation.”

5023

and States, avoiding duplication of
effort and ensuring quality control.
2. Establish a National Training
Institute Which Can Operate in One o f
Several W ays

a. A centralized, Physical Presence
Which Provides Direct Training in A ll
Principles
Areas for JTPA Staff at A ll Le vels.
There a re many underlying principles
States would send their staffs to the
which may be useful in guiding the
centralized facility for all training.
Department’s efforts and apply to all
This option avoids duplication and
three areas in which options are
encourages information sharing, but
presented:
raises many questions and concerns.
1. All of the Department’s capacity­
Inadequate funds for travel and
building plans will be designed in a
comprehensiveness of this National
collaborative manner with State and
approach may adversely affect current
local government partners, including the
State and regional training initiatives
role and involvement of the Federal
and institutes. In addition, a highly
Government.
centralized institute may be perceived
2. Program design and delivery are
as unresponsive to the needs of local
State and local functions. There is no
jurisdictions within the JTPA system.
intention for standardization of JTPA
b. A Central Facility Complemented
programs to occur as a result of any of
B y a M ultiplicity o f Field Delivery
the capacity-building efforts.
Capacities. The central facility would be
3. Capacity-building efforts should be
responsible for setting quality standards
system-driven, based on the system’s
for training deliverers and curriculum
self-expressed needs, and built upon
development, serving as a broker of
w hat currently exists. That is, capacity­
quality training, developing exportable
building is intended to have the
curriculum packages, and establishing
ownership of the system.
new w ays of communcating with the
4. Duplication of effort should be
employment and training community.
avoided and integration of existing
The central facility would provide
effective training programs and
executive-level training and a limited
techniques currently being operated at
amount of direct training for other level
Regional, State and local levels
JTPA staff. The bulk of the training
encouraged.
would be done closer to home through
5. First priority for training and staff
use of existing resources in the regions,
development will be geared to local
States and SDAs and the development
level staff w ho comprise the first-line
of new capabilities. The central facility
team in serving the target population.
would train the trainers and exercise
careful control over off-site training,
Options
sanctioning or "franchising” that
A. For Comprehensive Training o f JTPA training meeting its standards.
S taff at AH Levels
This option has the advantage of
making maximum use of existing
1. Continue the System as it is.
effective resources, avoiding duplication
Currently, a variety of resources are
and limiting travel costs. On the other
used a t the Federal, State and local
hand, some concern may exist that
levels to provide staff training. Some
without increased funding, a National
JTPA Title IV Technical Assistance and
effort—even one done in a collaborative
Training (TAT) funds are used for
fashion—will result in some reduction of
national grants with public interest
local training. In addition, charging the
groups and other contractors charged
institute with such a multitude of tasks
with providing technical assistance and
may be too broad to be feasible.
some of the Title IV TAT funds are
c. An Organization, Without a "Bricks
passed on to the regions for use by
and Mortar" Headquarters, Providing a
regions and States. States also are free
Range o f Services Which M ay Include
to use administrative and some 6%
Serving as a Broker of Quality Training,
incentive funds for training. Some
Assessing Existing Curriculum and
regions and States have developed their
Preparing Curriculum Packages Based
own training. Some regions and States
on a Synthesis of Existing and N ew
have developed their own training
Materials, Providing Technical
institutes. Others have contracted with
Assistance to Existing Training
local colleges and other service
Institutes on Request and Identifying
deliverers to provide training. Each
N ew W ays for the System to Provide
locality operates according to its own
Training. This option allows fewer
needs without a centralized mechanism
services to the system but would be less
for sharing information among SDAs

5024

Federal Register / Vol. 50, No. 26 / T h u rsd ay , F e b ru a ry 7, 1991 / N otices

expensive. W ithout a direct training
function, this option may be perceived
as being less “in touch” with the needs
of the system.
3. Establish a National Board of
Directors To Oversee a State and
Regional Training System
The Board would establish standards
for States/regions to meet in providing
effective training and would assist those
implementing such training on an as
needed basis.
This option retains a degree of
autonomy for the States and regions
while accommodating a national role for
coordination and quality control. There
would be some concerns relative to the
feasibility of a National Board
overseeing so many jurisdictions and to
the receptivity of the system to still
another set of National standards.
4. Offer Direct Grants With Technical
Assistance and Training Funds to
Regions and States: To Bolster Existing
Training Institutes: To Create New
Ones: and To Develop Replicable
Programs and Curricula
Such a grant program could be
operated nationally or each State could
be given funds to competitively aw ard
to SDAs with innovative training ideas.
This option would give recognition to
effective deliverers and innovators. On
the other hand, this approach might not
be as effective in promoting information
sharing and precluding duplication of
effort
B. For Improving the Quality o f Service
Delivery
1. Continue the System, As Is. The
approach the Employment and Training
Administration (ETA) has taken to date
to comply with its responsibilities under
the JTPA is to put into place a system of
performance standards as well as
program oversight through a number of
different processes. These processes
encompass audits, the Department's
Office of the Inspector General (OIG)
activities, General Accounting Office
(GAO) activities, and ETA on-site
reviews. It is clear that the current
oversight/monitoring system focuses
heavily on integrity issues touching only
slightly on programmatic and quality
concerns. In working with the current
approach, ETA might seek to redirect
the system to promote quality and
results oriented operations.
2. Establish a Quality Appraisal
System. A system of appraisal which
emphasizes quality of operations would
be designed by State and SDA
representatives working with the
Department to be administered by the
States. The assessm ent instrument
would be based on models of excellence
and list attributes and activities that

constitute progressively higher levels of
quality against which assessment can
occur in each of several critical areas of
program planning, administration, client
services and outcomes/results. Best
practices would be documented and
disseminated throughout the system and
recognition would be given to excellence
through a variety of means.
This approach would not be a passfail accreditation type system; rather,
the review would assess the current
operation, solve problems, propel
operations toward increased
performance and recognize the best.
States would use a universal
instrument to assess quality and if
desired, modify the instrument to meet
State/local needs. States would also
develop an implementation plan. SDAs
would do a self assessm ent using the
instrument and be visited by a review
team about every third year in order to
confirm findings, note excellence, and
gain suggestions to resolve operational
problems. States would chair the review
team composed of a Federal
representative and SDA representatives
from other areas.
Options in implementing this model:
This option assumes Federal
involvement in assessm ent instrument
design and participation on an SDA
review team. Alternatively, the design of
a review instrument could be done
under the auspices of an outside
organization and team members could
be restricted to SDA peers. Also, the
process could universally cover SDAs or
SDAs could volunteer for the process in
order to be recognized or to improve
their operations.
The process will require time,
commitment and some funds. On the
other hand, improved management and
operations should result.
3.
Research the Possibility of
Establishing Some Type af
Accreditation System. Accreditation is
defined as a process whereby an agency
or association grants public recognition
to a school, college or university, or a
specialized study program that meets
fcertain predetermined qualifications or
standards. SDAs that meet certain
standards could be recognized through
an accreditation-type process. This
would involve the establishment of an
outside Accreditation Board. The Board
might establish standards that
“accredited” SDAs would meet, develop
procedures for a self-study process, train
peer reviewers, receive review reports,
make judgments on whether an SDA
passed the process. SDAs would
voluntarily submit to this process.
While the system may like the term
“accreditation,” the term is normally
reserved for educational/training

institutions and programs that gain
approval from the Council on Post
Secondary Accreditation or the U.S.
Department of Education.
C. For Increasing the Recognition of
Staff Competencies
if Retain the Current System. JTPA
and its predecessor programs have been
in operation for a number of years. Staff
is generally of good quality and turnover
varies by type of job and location. At ■
least two associations have been
involved in staff development activities,
a State is working to establish
credentials for professional staff growth
and a few universities offer employment
and training courses. Thé area, however,
is not a recognized profession or career.
The result is that there is not an
automatic recruitment siource and career
progression paths are unknown or lack
certainty. On the other hand, the
multiplicity of hiring systems are not
exclusionary, but are open to a range of
individuals and talents.
2.
Establish a Credentials or
Certification System b y Which a
Professional Organization or an
Independent External Agency
Recognizes the Competencies of
Individual Practitioners Within the
JTPA System. The purposes of a
certification system are multiple: (a) To
ensure a supply of competent staff who
are recognized professionals; (b) to
establish minimum knowledge, skills
and abilities which are necessary to
perform specific jobs and to certify
those who possess them; (c) to provide a
means for professional growth and
development; and (d) to develop a selfregulatory system for the profession
which includes a set of ethical standard
and thereby protects clients and
employers from incompetent
practitioners.
There are two approaches which the
outside professional organization may
consider in establishing a certification
system:
a. A Voluntary System Whereby
Competencies Required for Jobs Within
the JTPA System Are Defined and
Training Opportunities are Provided for
Staff Needing to Attain These
Competencies. An individual wishing to
be certified may at any point be
evaluated by his/her peers or, as an
alternative, take a test in a given
competency areas. This option would
serve to provide the tools needed to
upgrade the skills of JTPA staff and
would not screen present JTPA staff ou
of the system or prevent the initiai
employment of talented individuals
lacking the proper “credentials.”

Federal Register / Vol. 56, N o. 26 / Thursday, February 7, 1991 / N otices
b.
A Mandatory Process Used for
Hiring and Promoting Only Those
Demonstrating the Identified
Competencies. Such a process would
insure a uniformity in selection of JTPA
staff. If certain skills are needed for
JTPA jobs, then the logic prevails that
only persons demonstrating these skills
should be hired or promoted. On the
other hand, it m ay preclude the hiring of
staff with career growth potential, if
given an opportunity for development
and subsequent certification.
As mentioned above, the Department
does not intend to be involved in the
administration of a credentialing
process. If requested, the Department
could assist an outside credentialing
organization in defining the knowledge
and competencies for selected
occupations and developing training
curricula for these competencies. Such
activities would be applicable not only
to a credentialing process but to the
comprehensive staff training options
discussed in Option A above.
Conclusion
The Department views capacity­
building as a m eans to increase program
integrity and insure higher quality
services to the at-risk population. The
design and successful implementation of
any capacity-building effort is clearly
dependent upon acceptance by the JTPA
system. Comments, suggestions and
reactions to the proposals herein and
others are clearly invited.
Signed at Washington, DC, this 31st day of
January, 1991.
Robert T. Jones,

Assistant Secretary of Labor.
[FR Doc. 91-2396 Filed 2-6-91; 8:45 am]
BILLING CODE 4510-30-11

Attestations Filed by Facilities Using
Nonimmigrant Aliens As Registered
Nurses

Employment and Training
Administration, Labor.
a c t i o n : Notice.
agency:

The Department of Labor
JDOL) is publishing, for public
information, a list of the following
health care facilities which plan on
employing nonimmigrant alien nurses.
These organizations have attestations
on file with DOL for that purpose.
A D D R ES SES: Anyone interested in
inspecting or reviewing the employer's
attestation may do so at the employer's
place of business.
A ttestations and short supporting
explanatory statements are also
available for inspection in the
Immigration Nursing Relief Act Public
Disclosure Room, U.S. Employment
Service, Employment and Training
Administration, Department of Labor,
room N4456, 200 Constitution Avenue,
NW„ Washington, DC 20210.
Any complaints regarding a particular
attestation o r a facility’s activities under
that attestation, shall be filed with a
local office of the Wage and Hour
Division of the Employment Standards
Administration, U.S. Department of
Labor. The addesses of such offices are
found in many local telephone
directories, or may be obtained by
writing to the W age and Hour Division,
Employment Standards Administration,
Department of Labor, room S35Q2,200
Constitution Avenue, NWMWashington,
DC 20210.
SUM M ARY:

FO R FURTHER INFORMATION C O N TA CT:

Regarding the attestation process: Chief,
Division of Foreign Labor Certifications,
U.S. Employment Service. Telephone:
202-535-0163 (this is not a toll-free
number).
Regarding the complaint process:
Chief, Farm Labor Programs, W age and
Hour Division. Telephone: 202-523-7605
(this is not a toll-free number).
SUPPLEM ENTAR Y INFORMATION: The
Immigration and Nationality Act
requires that a health care facility
seeking to use nonimmigrant aliens as
registered nurses first attest to the
Department of Labor (DOL) that it is
taking significant steps to develop,
recruit and retain United States (U.S.)
workers in the nursing profession. The
D iv is io n

of

5025

law also requires that these foreign
nurses will not adversely affect U.S.
nurses and that the foreign nurses will
be treated fairly. The facility’s
attestation must be on tile with DOL
before the Immigration and
Naturalization Service will consider the
facility’s H-1A visa petitions for
bringing nonimmigrant registered nurses
to the United States. 26 U.S.C.
1101(a)(15)(H)(i)(a) and 1182(m). The
regulations implementing the nursing
attestation program are at 20 CFR part .
655 and 29 CFR part 504,55 FR 50500
(December 6,1990). The Employment
and Training Administration, pursuant
to 20 CFR 655.310(c), is publishing the
following list of facilities which have
submitted attestations which have been
accepted on filing.
The list of facilities is published so
that U.S. registered nurses, and other
persons and organization can be aware
of health care facilities that have
requested foreign nurses for their staffs.
If U.S. registered nurses or other persons
wish to examine the attestation (on
Form ETA 9029) and the supporting
documentation, the facility is required to
make the attestation and documentation
available. Telephone numbers of the
facilities’ chief executive officers also
are listed, to aid public inquiries. In
addition, attestations and supporting
skort explanatory statements (but not
the full supporting documentation) are
available for inspection at the address
for the Employment and Training
Administration set forth in the
A D D R ES SES section of this notice.
If a person wishes to tile a complaint
regarding a particular attestation or a
facility’s activities under that
attestation, such complaint must be tiled
at the address for the W age and Hour
Division of the Employment Standards
Administration set forth in the
AD D R ES SES section of this notice.
Signed at Washington, DC, this 1st day of
February, 1991.
Robert A. Schaerfl,

Director, United States Employment Service.

F o r e ig n La b o r C e r t if ic a t io n s

[Approved Attestations Jan. 22,1991 to Jan. 25,19611
CEO-name

Phone

Mr. Ron Kupferstein______________ _____„_____________

213-679-3321

Mr. Joel Bergenfekt
Mr. James D. Hetzer

...

.. ...

................. .......

Mr. William J. Riord..
Mr. Charles O’Brien»—

...

...

...........

.............

_____ __________ ____ _____ _
___

.. ...........

Facility name

Hawthorne Hospital, 13300 S. Hawthorne Bfvd., Haw­
thorne, CA 90250.
213-201-6616 Century City Kosp., 2070 Century Park East, Los
Angeles, CA 90067.
209-442-6000 Fresno Community Hosp. & Med., Fresno and R
Streets, Fresno, CA 93701.
203-576-6000 St. Vincent’s Med. Ctr., 2800 Main S t, Bridgeport, CT
06606
202-784-2370 Georgetown University Hospital, 3800 Reservoir Rd.,
NW, Washington, DC 20007.

State

Approval date

C A ...

Jan. 24,1991.

CA

Jan. 25,1991.

CA .

Jan. 25,1991.

CT__ Jan. 23.1991.
DC....

Jan. 24,1991.

5026

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices
Division of Foreign Labor C ertifications — Continued
[Approved Attestations Jan. 22,1991 to Jan. 25,1991]

CEO-name

Phone

Mr. Stephen Sutherti______ ______

813-521-5073

Mr. Richard J. Stull___ ___________

305-776-8500

Mr. Thomas R. Pentz........... ..............

305-568-1000

Mr. Martin E Casper....... ........ ..........

305-944-2361

Mrs. Margaret Stem........______ ___

312-973-5333

Mr. Andrew Riddell______ ...„..........

617-581-9200

Mr. Robert B. Smith_____________

314-882-8000

Ms. Dolores Turco......................... ....

201-383-6200

Mr. Stephen Savitsky...___________

516-358-1000

Mr. Jack Barto.............................. ....

409-989-5140

Mr. Jolyn West Schei___....____ ......

713-522-5355

Facility name
Humana Hosp., 6000 49th Street North S t Peters­
burg, FL 33709.
Imperial Point Med. Ctr., 6401 North Federal Hwy.,
Fort Lauderdale, FL 33308.
North Beach Hospital, 2835 North Ocean Boulevard,
Fort Lauderdale, FL 33308.
Greynolds Park Manor, Inc., 17400 West Dixie High­
way, North Miami Beach, FL 33160.
Buckingham Pavilion, Inc., 2625 W. Touhy Avenue,
Chicago, IL 60645.
AtlantiCare Medical Center, 500 Lynnfield Street
Lynn, MA 01904.
University Hospitals and Clin, One Hospital Drive,
Columbia, MO 65212.
Andover Nursing Center, P.O. Box 1279 Mulford Rd.,
Andover, NJ 07821.
Staff Bldrs. Travel Nurse Div., 1981 Marcus, C-115,
Lake Success, NY 11042.
S t Mary Hospital, 3600 Gates Blvd., Port Arthur, TX
77642.
JWS Health Consultants, Inc., d /b /a UltraStaff, Hous­
ton, TX 7705.

State

Approval date

FL....... Jan. 25,1991.
FL....... Jan. 25,1991.
FL....... Jan. 25,1991.
FL....... Jan. 25. 1991.
IL'........ Jan. 25,1991.
MA...... Jan. 25,1991.
MO..... Jan. 25, 1991.
NJ....... Jan. 25,1991.
NY...... Jan. 25,1991.
TX....... Jan. 25, 1991.
TX....... Jan. 25,1991.

Number of Attestations: 16

[FR Doc. 91-2898 Filed 2-&-91; 8:45 am]
BILLING CODE 4510-30-M

NATIONAL ARCHIVES AND RECORDS
ADMINISTRATION
Records Schedules; Availability and
Request for Comments
AG ENCY: National Archives and Records
Administration, Office of Records
Administration.
ACTION: Notice of availability of
proposed records schedules; request for
comments.
SUMM ARY: The National Archives and
Records Administration (NARA)
publishes notice at least once monthly
of certain Federal agency requests for
records disposition authority (records
schedules). Records schedules identify
records of sufficient value to w arrant
preservation in the National Archives of
the United States. Schedules also
authorize agencies after a specified
period to dispose of records lacking
administrative, legal, research, or other
value. Notice is published for records
schedules that (1) propose the
destruction of records not previously
authorized for disposal, or (2) reduce the
retention period for records already
authorized for disposal. NARA invites
public comments on such schedules, as
required by 44 USC 3303a(a).
D ATES: Requests for copies must be
received in writing on or before March
25,1991. Once the appraisal of the
records is completed, NARA will send a
copy of the schedule. The requester will
be given 30 days to submit comments.

Address requests for single
copies of schedules identified in this
notice to the Records Appraisal and
Disposition Division (NIR), National
Archives and Records Administration,
Washington, DC 20408. Requesters must
cite the control number assigned to each
schedule when requesting a copy. The
control number appears in parentheses
immediately after the name of the
requesting agency.
SUPPLEM ENTAR Y INFORMATION: Each
year U.S. Government agencies create
billions of records on paper, film,
magnetic tape, and other media. In order
to control this accumulation, agency
records managers prepare records
schedules specifying when the agency
no longer needs the records and w hat
happens to the records after this period.
Some schedules are comprehensive and
cover all the records of an agency or one
of its major subdivisions. These
comprehensive schedules provide for
the eventual transfer to the National
Archives of historically valuable records
and authorize the disposal of all other
records. Most schedules, however, cover
records of only one office or program or
a few series of records, and many are
updates of previously approved
schedules. Such schedules also may
include records that are designated for
permanent retention.
Destruction of records requires the
approval of the Archivist of the United
States. This approval is granted after a
thorough study of the records that takes
into account their administrative use by
the agency of origin, the rights and
interests of the Government and of
private persons directly affected by the
A D D R ESSES:

Government’s activities, and historical
or other value.
This public notice identifies the
Federal agencies and their subdivisions
requesting disposition authority,
includes the control number assigned to
each schedule, and briefly describes the
records proposed for disposal. The
records schedule contains additional
information about the records and their
disposition. Further information about
the disposition process will be furnished
to each requester.
Schedules Pending
1. Department of the Navy, Bureau of
Naval W eapons (Nl-402-89-1).
Administrative, facilitative, and non­
program records created by the Bureau
of Naval W eapons 1959-1966. Program,
policy, and primary mission records are
permanent.
2. Department of Health and Human
Services, Alcohol, Drug Abuse and
Mental Health Administration (Nl-44290-1). Health and Nutrition Evaluation
Survey system input data forms and
system design information.
3. Department of Justice, Executive
Office for United States Attorneys (N l118-91-1). Outstanding fugitive warrant
cases (significant files are designated for
permanent retention).
4. Department of the Treasury, Office
of Law Enforcement Coordination (N l56-91-1). Routine correspondence,
administrative surveys and subject
reference files regarding Treasury law
enforcement activities, ca. 1938-64.
5. Department of the Treasury, Bureau
of Aleohol, Tobacco and Firearms,
Office of Law Enforcement (Nl-436-90-

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / N otices
2). Reduction in retention period for
routine administrative records relating
to enforcement of alcohol, tobacco and
firearms laws.
Dated: January 31,1991.
Don W. Wilson,

Archivist o f the United States.
[FR Doc. 91-2861 Filed 2-6-91; 8:45 ami
BILLING CODE 7515-01-M

NATIONAL FOUNDATION ON THE
ARTS AND THE HUMANITIES
Expansion Arts Advisory Panel; Notice
of Meeting

Pursuant to section 10(a)(2) of the
Federal Advisory Committee Act (Pub.
L. 92-463), as amended, notice is hereby
given that a meeting of the Expansion
Arts Advisory Panel (Multidisciplinary
Arts Organizations Section) to the
National Council on the Arts will be
held on February 25,1991 from 9:15
a.m.-6 p.m., February 26-27 from 9 a.m .6 p.m. and February 28 from 9 a.m.-5:30
p.m. in room 730 at the Nancy Hanks
Center, 1100 Pennsylvania Avenue,
NW., Washington, DC 20506.
Portions of this meeting will be open
to the public on February 25 from 9:15
p.m.-10:30 a.m. and February 28 from 3
p.m.-5:30 p.m. The topics will be opening
remarks, general program overview and
policy discussion.
The remaining portions of this meeting
on February 25 from 10:30 a.m.-6 p.m.,
February 26-27 from 9 a.m.-6 p.m. and
February 28 from 9 a.m.-3 p.m. are for
the purpose of Panel review, discussion,
evaluation, and recommendation on
applications for financial assistance
under the National Foundation on the
Arts and the Humanities Act of 1965, as
amended, including information given in
confidence to the agency by grant
applicants. In accordance with the
determination of the Chairman of
December 11,1990, these sessions will
be closed to the public pursuant to
subsection (c) (4), (6) and (9)(B) of
section 552b of title 5, United States
Code.
Any interested persons may attend, as
observers, meetings, or portions thereof,
of advisory panels which are open to the
public.
Members of the public attending an
open session of a meeting will be
permitted to participate in the panel’s
discussions at the discretion of the
chairman of the panel if the chairman is
a full-time Federal employee. If the
chairman is not a full-time Federal
employee, then public participation will
be permitted at the chairman’s

discretion with the approval of the full­
time Federal employee in attendance at
the meeting, in compliance with this
guidance.
If you need special accommodations
due to a disability, please contact the
Office of Special Constituencies,
National Endowment for the Arts, 1100
Pennsylvania Avenue, NW.,
Washington, DC 20506, 202/682-5532,
TTY 202/682-5496, at least seven (7)
days prior to the meeting.
Further information with reference to
this meeting can be obtained from Ms.
M artha Y. Jones, Acting Advisory
Committee Management Officer,
National Endowment for the Arts,
Washington, DC 20506, or call (202) 6825433.
Dated: January 29,1991.
Martha Y. Jones,

Acting Director, Council and Panel
Operations, National Endowment for the Arts.
[FR Doc. 91-2862 Filed 2-6-91; 8:45 am]
BILLING CODE 7537-01-M

Cooperative Agreements for Arts
Design Access Program
AG EN CY:

National Endowment for the

Arts.
a c tio n :

Notification of availability.

The National Endowment for
the Arts is requesting proposals leading
to the aw ard of a Cooperative
Agreement to establish a conveniently
located Design Access program, which
will be a comprehensive national source
of design information in a location
accessible to the public. Design Access
will consist of three components, a
computerized information services
component, technical -assistance
component, and publications
component. Those interested in
receiving the Solicitation package
should reference Program Solicitation PS
91-03 in their written request and
include two (2) self-addressed labels.
Verbal requests for the Solicitation will
not be honored.
DA TES: Program Solicitation PS 91-03 is
scheduled for release approximately
February 25,1991 with proposals due
March 25,1991.
ADD R ESSES: Requests for the
Solicitation should be addressed to the
National Endowment for the Arts,
Contracts Division, Room 217,1100
sum m ary:

5027

Pennsylvania Avenue NW., Washington,
DC 20506.
William I. Hummel,

Director, Contracts and Procurement
Division.
[FR Doc. 91-2914 Filed 2-6-91; 8:45 am]
BILUNG CODE 7537-01-M

Museum Advisory Panel; Notice of
Meeting

Pursuant to section 10(a)(2) of the
Federal Advisory Committee Act (Pub.
L. 92-463), as amended, notice is hereby
given that a meeting of the Museum
Advisory Panel (Special Exhibitions II
Section) to the National Council on the
Arts will be held on February 25-March
1,1991 from 9 a.m.-5:30 p.m. in room M 14 at the Nancy Hanks Center, 1100
Pennsylvania Avenue, NW.,
Washington, DC 20506.
A portion of this meeting will be open
to the public on February 25 from 9 a .m 10 a.m. The topics will be opening
remarks and general discussion.
The remaining portions of this meeting
on February 25 from 10 a.m.-5:30 p.m.
and February 26-march 1 from 9 a.m. to
5:30 p.m. are for the purpose of Panel
review, discussion, evaluation, and
recommendation on applications for
financial assistance under the National
Foundation on the Arts and the
Humanities Act of 1965, as amended,
including information given in
confidence to the agency by grant
applicants. In accordance with the
determination of the Chairman on
December 11,1990, these sessions will
be closed to the.public pursuant to
subsection (c) (4), (6) and (9) (B) of
section 552b of title 5, United States
Code.
Any interested persons may attend, as
observers, meetings, or portions thereof,
of advisory panels which are open to the
public.
Members of the public attending an
open session of a meeting will be
permitted to participate in the panel’s
discussions at the discretion of the
chairman of the panel if the chairman is
a full-time Federal employee. If the
chairman is not a full-time Federal
employee, then public participation will
be permitted at their chairman’s
discretion with the approval of the full­
time Federal employee in attendance at
the meeting, in compliance with this
guidance.
If you need special accommodations
due to a diability, please contact the
Office of Special Constituencies,

5028

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

National Endowment for the Arts, 1100
Pennsylvania Avenue, NW.,
Washington, DC 20506, 202/682-5532,
TTY 202/682-5496, at least seven (7)
days prior to the meeting.
Further information with reference to
this meeting can be obtained from Ms.
Martha Y. Jones, Acting Advisory
Committee Management Officer,
National Endowment for the Arts,
Washington, DC 20506, or call (202) 6825433.
Dated: January 29,1991.
Martha Y. Jones,

Acting Director, Council and Panel
Operations, National Endowmentfor the Arts.
[FR Doc. 91-2863 Filed 2-6-91; 8:45 am]
BILLING CODE 7537-01-M

NUCLEAR REGULATORY
COMMISSION
Replacement of Some Paper
Documents in Power Reactor LPDRs
by Microfiche

Nuclear Regulatory
Commission.
ACTION: Notice.

agency:

The Nuclear Regulatory
Commission (NRC) is announcing that
the portion of the paper document
collections in each power reactor local
public document room (LPDR) issued
since January 1,1981, will be replaced
by microfiche.
DATES: The microfiche is expected to be
shipped to each LPDR by the end of May
1991. Each LPDR will be visited by NRC
LPDR staff during the remainder of FY91
and FY92 to set up the NUDOCS
microfiche collections.
sum m ary:

FOR FURTHER INFORMATION CONTACT:

Ms. Jona Souder, LPDR Program
Manager, Freedom of Information A ct/
Local Public Document Room Branch,
Division of Freedom of Information and
Publications Services, Office of
Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555,
Telephone 301-492-4344, or Toll-Free,
800-638-8081.
SUPPLEM ENTARY INFORMATION: The
libraries serving as LPDRs for
commercially-operated nuclear power
reactors have been receiving copies of
documents on microfiche rather than in
paper copy since July 1,1990 (55 FR
22419). This conversion from a paperbased to a microfiche-based LPDR
program was necessary because of
space limitations within libraries to
accommodate the ever-increasing
volume of NRC documents, which has
averaged six linear feet of documents
per LPDR per year.

The publicly available portion of the
NUDOCS microfiche file containing
documents issued since January 1,1981,
will be provided to each power reactor
LPDR to replace the paper copy
documents for this period. With the
addition of these microfiche, each LPDR
collection will contain the same records
available at the NRC’s main Public
Document Room in Washington, DC,
since 1981. Each LPDR will have within
its NUDOCS microfiche collection all
NRC publicly available records issued
since January 1,1981. The only paper
documents remaining in the LPDR
collections once the microfiche is in
place will be those documents dated
prior to January 1981 and various
reference tools and finding aids. The
LPDR may choose to keep any or all of
the paper records that have been
replaced by microfiche, though the NRC
will not reimburse the library for the
shelf space required to store these paper
records.
Equipment for viewing and copying
documents on microfiche is available at
each LPDR. Library staff and NRC LPDR
staff will assist patrons in using the
NUDOCS microfiche collection.
The principal goals of the LPDR
program will continue to be met in a
microfiche-based program. These goals
are to assure that (1) copies of docketed
records are placed in the LPDRs in a
timely manner, (2) indexes are available
that will permit users to find the records
they seek within a reasonable amount of
time, (3) copies can be made at a
reasonable cost, and (4) the integrity of
the collection is maintained.
Dated at Bethesda, Maryland, this 31st of
January, 1991.
For the Nuclear Regulatory Commission.
Donnie H. Grimsley,

Director, Division o f Freedom o f Information
and Publications Services, Office of
Administration.
[FR Doc. 91-2947 Filed 2-6-91; 8:45 am]
BILLING CODE 7590-01-M

The facility consists of a pressurized
w ater reactor at the licensee’s site
located in Darlington County, South
Carolina.
II

Pursuant to 10 CFR 55.59(c) (4) (i),
which this exemption is being requester
for, comprehensive requalification
written examinations and annual
operating tests shall be given to licensed
operators.
III

HBR-2 has planned to return to power
operation in January 1991 after an
extensive refueling outage that began in
September 1990. The licensee has
proposed a one-time extension of the
examination schedule for one calendar
quarter from January 31,1991 to April
30,1991. This exemption would
accommodate the work-schedules of the
licensed operators who are engaged in
outage related tasks. Compliance with
the examination schedule as stipulated
in 10 CFR 55.59(c)(4)(i) would place an
extra burden on the work schedules of
the licensed operators during the
refueling outage. During the exemption
period, the licensee has committed to
continue the requalification program
including scheduled training and all
requirements of the requalification
program except for the examinations.
This one-time postponement of the
examinations would not involve any
significant impact on the safe operation
of the plant; and the licensee would
benefit from the availability of the plant
personnel for the work scheduled during
the refueling outage, including plant
modifications to improve safety.
Pursuant to 10 CFR 55.11, "The
Commission may, upon application by
an interested person, or upon its own
initiative, grant such exemptions from
the requirements of the regulations in
this part as it determines are authorized
by law and will not endanger life or
property and are otherwise in the public
interest.”

[Docket No. 50-261]

IV

Carolina Power & Light Co., H.B.
Robinson Steam Electric Plant, Unit
No. 2 (HBR-2); Exemption

Accordingly, the Commission has
determined, pursuant to 10 CFR 55.11.
that an exemption as described in
section III is authorized by law, will not
endanger life or property and is
otherwise in the public interest.
Therefore, the Commission hereby
grants the following exemption:
Carolina Power & Light Company is
granted a one-time exemption from the
requirements of 10 CFR 55.59(c) (4)(i) and
postpone the completion of the licensed
operator requalification examinations
from January 31,1991, to April 30,1991.

1
Carolina Power & Light Company
(CP&L) is the holder of Facility
Operating License No. DRP-23, which
authorizes operation of the H. B.
Robinson Steam Electric Plant, Unit No.
2 (HBR-2). The license provides, among
other things, that the licensee is subject
to all rules, regulations and orders of the
Commission now or hereafter in effect.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices
Pursuant to 10 CFR 51.21, 51.32, and
51.35, an Environmental Assessment
and Finding of No Significant Impact
has been prepared and w as published in
the Federal Register on January 31,1991
(56 FR 3845). Accordingly, based upon
the environmental assessment, the
Commission has determined that the
issuance of this exemption will not have
a significant effect on the quality of the
human environment.
For further details with respect to this
action, see the licensee’s request dated
December 28,1990, which is available
for public inspection at the
Commission’s Public Document Room,
2120 L Street, NW., Washington, DC and
at the Hartsville Memorial Library,
Home and Fifth Avenues, Hartsville,
South Carolina 29535.
This exemption is effective upon
issuance.
Dated at Rockville, Maryland, this 31st day
of January 1991.
For the Nuclear Regulatory Commission
Steven A. Varga,

Director, Division of Reactor Projects— I/II,
Office of Nuclear Reactor Regulation.
[FR Doc. 91-2948 Filed 2-6-91; 8:45 am]
BILLING CODE 7590-01-M

[Docket No. 50-313]

Entergy Operations, Inc., Arkansas
Nuclear One, Unit 1; Exemption

I

Entergy Operations, Inc. (the licensee]
is the holder of Facility Operating
License No. DPR-51, which authorizes
operation of the Arkansas Nuclear One,
Unit No. 1 (ANO-1). The license
provides, among other things, that the
licensee is subject to all rules,
regulations, and orders of the
Commission now or hereafter in effect.
The facility consists of a pressurized
w ater reactor at the licensee’s site
located in Pope County, Arkansas.
II
Pursuant to 10 CFR 55.59(a), "Each
licensee shall—(1) Successfully
complete a requalification program
developed by the facility licensee that
has been approved by the Commission.
This program shall be conducted for a
continuous period not to exceed 24
months in duration. (2) Pass a
comprehensive requalification written
examination and an annual operating
test.” Also pursuant to 10 CFR
55.59(c)(1), “The requalification program
must be conducted for a continuous
period not to exceed two years, and
upon conclusion must be promptly
followed, pursuant to a continuous

schedule, by successive requalification
programs.”
III
By letter dated November 2,1990, the
licensee requested an exemption under
10 CFR 55.11 from the annual and
biennial schedule requirements of 10
CFR 55.59(a) and (c). The licensee is
requesting a three-month extension in
1991 to align the ANO-1 requalification
program with the National Examination
Schedule. This one-time exemption will
result in a permanent adjustment to the
24-month requalification cycle and the
annual requalification examination
schedule.
Generic Letter 89-03 established the
National Examination Schedule and
allotted examination months of
February and August to ANO-1. The
current ANO-1 requalification cycle
ends in May 1991. The licensee stated
that scheduling the examinations in
February 1991 is causing hardships due
to the compression of the training cycle
which would be required, and due to the
proximity of the ANO-1 and ANO-2
refueling outages. Also, the exemption is
necessary to avoid operators’
duplicative effort because of the
misaligned schedules between the NRC
and licensee administered
requalification examinations.
Compliance with the regulations
would create the hardships discussed
above. Granting the exemption would
allow a one-time, three-month extension
to the annual and biennial schedule
requirements, and it would alleviate the
hardships discussed above. Also, the
licensee has committed to continue to
provide training to the operators during
the months from May to August 1991.
Pursuant to 10 CFR 55.11, "The
Commission may, upon application by
an interested person, or upon its own
initiative, grant such exemptions from
the requirements of the regulations in
this part as it determines are authorized
by law and will not endanger life or
property and are otherwise in the public
interest.”
IV
Accordinly, the Commission has
determined, pursuant to 10 CFR 55.11,
that the exemption as described in
section III is authoirzed by law, will not
endanger life or property and is
otherwise in the public interest.
Therefore, the Commission hereby
grants Entergy Operations, Inc. an
exemption from the requirements of 10
CFR 55.59 (a) and (c) for the period of
three-months.
Pursuant to 10 CFR 51.21, 51.32, and
51.35, the Commission determined that
the granting of this exemption will not

5029

result in any significant environmental
impact (56 FR 3120).
For further details with respect to this
action, see the licensee’s request dated
November 2,1990, which is available for
public inspection at the Commission’s
Public Document Room, 2120 L Street,
NW., Washington, DC and at the
Tomlinson Library, Arkansas Tech
University, Russellville, Arkansas 72801.
This exemption is effective upon
issuance.
Dated at Rockville, Maryland this 31st day
of January 1991.
For the Nuclear Regulatory Commission.
Bruce A. Boger,

Director Division of Reactor Projects III, IV,
and V, Office of Nuclear Reactor Regulation.
[FR Doc. 91-2949 Filed 2-8-91; 8:45 am]
BILUNG CODE 7590-01-M

OFFICE OF PERSONNEL
MANAGEMENT
Request for Approval of OPM
Altitudinal Survey Submitted to OMB
for Expedited Clearance

Office of Personnel
Management.
a c t i o n : Expedited notice.
AGENCY:

SUMM ARY: In accordance with the
Paperwork Reduction Act of 1980 (title
44, U.S. Code, chapter 35), this notice
announces an expedited request for
clearance of the attached OPM
attitudinal telephone survey. This
survey is required to carry out OPM’s
statutory mandate to evaluate the
National Institute of Standards and
Technology (NIST) Personnel
Management Demonstration Project and
to report our findings to Congress in an
annual report.
Approximately 100 employees who
separated from NIST in 190 are expected
to be contacted by telephone on a one
time basis; each telephone survey is
expected to take 15 minutes to complete,
for a total burden of 25 hours. A'copy of
the proposed survey questions appear
below.
For copies of this proposal, call
Marilyn Geldzahler, (202) 606-2890.
DATES: Comments on this proposal
should be received by February 14,1991.
This is an expedited clearance and OMB
approval is requested by February 21,
1991.
a d d r e s s e s : Send or deliver comments
to Joseph Lackey, OPM Desk Officer,
Office of Information and Regulatory
Affairs, Office of Management and
Budget, New Executive Office Building,
NW., room 3002, Washington, DC 20503.

5030

Federal Register / Vol. 56, No. 28 / Thursday, F ebruary 7, 1991 / N otices

FOR FURTHER INFORMATION CONTACT:

At the Office of Personnel Management,
Marilyn Geldzahler, (202) 606-2890.
U.S. Office of Personnel Management.
Constance Berry Newman,

Director.

Survey of Former NIST employees
Introduction
Hello, my name is (interviewer name).
I’m calling from HU, a research company
located in the Washington, DC area. Am
I speaking with (respondent name)?
We are conducting a survey of former
employees of Nist on behalf of the U.S.
Office of Personnel Management. This
survey is part of a program evaluation of
the NIST Personnel M anagement
Demonstration Project. As you probably
know, Congress passed legislation
which authorized NIST to adopt such
changes as pay banding, pay-forperformance, and increased direct
hiring. Since you are a former employee,
we are calling to ask a few questions
about why you left NIST and your
current activities. Recently, letters were
sent from OPM and HU regarding the
interview. The information and opinions
you provide will be kept strictly
confidential and used for statistical
purposes only. None of your individual
answers will be reported back to NIST.
We estimate that the interview will take
about 15 minutes.
I’d like to begin by asking you some
background information.
Background Information
1. W hat w as the month and year that
you left employment at NIST?
2. How many years had you worked at
NIST?
3. As of the date you left NIST, how
many years had you worked for the
Federal Government, in total?
4. Overall, how many years of full­
time employment have you had outside
of the Federal Government?
5. At the time you left, in w hat Major
Organizational Unit [MOU] were you
employed?
6. How long had you worked in that
unit?
7. W as your job at NIST as . . .
a Scientist or Engineer,
An Administrative Staff Member,
a Scientific or Engineering Technician,
or
a Support Staff Member?
8. Were you also supervisor or
manager? yes no
9. W hat is your educational level?
Elementary School (Grades 1-8)
Some High School or Some Technical
Training
Graduated From High School or GED
(General Equivalency Diploma)

High School Diploma Plus Technical
Training Or Apprenticeship
Some College
Two-year Associate Degree
Graduated From College (B.A., B.S., or
Other Bachelor’s Degree)
Some Graduate School
M aster's Degree
Doctorate Degree (Ph.D., M.D., J.D.,
Ed.D.)
Before Leaving NIST
1. The next set of questions focuses on
the time before you left NIST. W hat
were the factors that made you want to
leave NIST?
a. The work itself; Lack of challenge
of the work, opportunity to do research
in one's field, a change of work,
interesting work, etc.
b. The public reputaton of NIST: It is
no longer a top lab in my field, NIST is
not known as a good place to work.
c. Financial aspects: The salary
offered elsewhere, or salary plus fringe
benefits or aw ards [bonuses].
c.l Salary: Salaries at NIST were too
low.
c.2 Benefits: The fringe benefits
provided by other employers were
better than those provided by NIST.
d. The chance for advancement: Lack
of opportunities to “move up fast,” can’t
make a name for oneself, promotion
possibility poor, w as not a good job to
gain experience from, will not help in
moving into industry, w anted to return
to college or graduate study.
e. The people I worked with: No top
scientists in my field are there; didn’t
meet nice people there; people are not
competent; people do not care about
w hat they are doing, etc.
f. Location w as not attractive: Did not
w ant to be in W ashington (or Boulder)
area; long commute; didn’t like the
environment; not compatible with
spouse’s career.
g. Job security reasons: The lack of
long-term job security, the Federal
retirement system, security of a
Government position.
h. Facilities or funding available: The
lack of research equipment, the lab
equipment, the funding for research.
i. Competence of decision makers: The
managers don’t know how to run things;
my supervisor was not able to manage
well.
j. Management factors or
“Bureaucracy”: It w as too difficult to get
things done here; it w as too large;
Federal Government has too many rules
and regulations; poor management;
higher management w as not supporting
the needs of my program, etc.
k. Job offers: [Outside NIST] Job open;
another job w as available, so I
accepted.

1. Personal reasons (not related to
above): W anted to stay home and raise
a family.
m. Retirement: Of retirement age, just
retired.
n. Other (Specify).
2. W hat aspects of your employment
at NIST made you w ant to stay
employed there, if any?
a. The work itself: The challenge of
the work, opportunity to do research in
one’s field, a change of work, interesting
work, etc.
b. The public reputation of NIST: It’s a
top lab in my field, NIST is known as a
good place to work.
c. Financial aspects: The salary
offered or salary plus fringe benefits or
awards, bonus availability.
c.l Salary: Salaries were good at
NIST.
c.
2 Benefits: The fringe benefits were
good at NIST.
d. The chance for advancement:
Opportunities to “move up fast,” can
make a name for oneself, promotion
possibility good, w as a good job to gain
experience from, will help in moving
into industry, etc.
e. The people I worked with: Top
scientists in my field are there; met nice
people there; people are competent;
people care about w hat they are doing,
etc.
f. Location w as attractive: W anted to
be in W ashington (or Boulder) area; no
long commute; like the environment;
compatibility with spouse’s career.
g. Job security reasons: The long-term
job security, the Federal retirement
system, security of a government
position. W aited for retirement
eligibility.
h. Facilities or funding available:
Research equipm ent the lab equipment,
the funding for research.
i. Competence of decision makers: My
supervisor ran things well; managers
know how to do things.
j. Management factors or
“Bureaucracy”: It is very well managed;
things are done right.
k. No other job offers: It was the only
job open; it w as available, so I kept it.
Didn’t think I could get another job.
l. None: Nothing made me want to
stay.
m. Other (Specify).
3. Just before you left NIST, how
satisfied were you with your overall
pay? Please respond on a scale of “very
dissatisfied," “dissatisfied,” “neither
satisfied nor dissatisfied,” “satisfied” or
“very satisfied.”
4. Would you say your rate of job
advancement was faster, slower or
about the same as your peers at NIST?

Federal Register / Voi. 56, No. 26 / Thursday, February 7, 1991 / N otices
5. Using the same scale, how
dissatisfied or satisfied were you with
this rate of advancement?
Very Dissatisfied
Dissatisfied
Neither Satisfied Nor Dissatisfied
Satisfied
Very Satisfied
6. The next items refer to your feelings
about your supervisor a t NIST, that is,
the person who signed your performance
plan and appraisals.
How long had you worked with your
last supervisor by the time you left
NIST?
7. W hat was the month and year of
your last formal performance appraisal
at NIST?
8. W hat was the overall rating you
received a t that time?
Unsatisfactory
Marginal
Fully Successful
Commendable
Outstanding
9. Please think back to the time just
before you left NIST and tell me how
much you agree or disagree with each of
the following statem ents. Please respond
using a scale of strongly disagree,
disagree, neither agree nor disagree,
agree, or strongly agree.
a. There w as effective two-way
communication between my supervisor
and me.
b. My supervisor had strong technical
skills.
c. My supervisor had strong skills in
managing the group.
d. My supervisor encouraged
employee development.
e. My supervisor had adequate
authority to rew ard employees
appropriately for their performance.
f. The paperwork procedures and
approvals at NIST hampered innovation
and creativity.
g. In general, the personnel system at
NIST worked well, while I w as there.
h. While at NIST, I had the resources I
needed to do my job well.
i. My supervisor did a good job of
evaluating my performance.
j. I w as paid farily for my
performance.
10. Do you now receive retirement
benefits for your time at NIST?
Yes
No
11. W hat aspects of the demonstration
project, if any, had an affect on your
decision to leave NIST? Some of the
changes included were pay banding,
pay-for-performance increases instead
of steps, flexible probationary periods,
and increased supervisory authority
over personnel matters.

A fter Leaving NIST
1. The next questions focus on your
activities since leaving NIST. W hat is
your current employment status? Are
you:
Employed Full-Time
Employed Part-Time (or Consulting)
Or Not employed
[If employed full-time, then skip next
question.]
2. W hat are you currently doing, now
that your’re no longer employed full­
time?
a. Retired, Not Working.
b. Part-Time Job (Semi-Retired, or
Other Status).
c. Semi-Retired, Consulting (e.g., Upon
Request).
d. Volunteer Work.
e. Unemployed, But Looking For A
Job.
f. Raising A Family.
g. Other Family Responsibilities (e.g.,
Taking Care of Aged Parent).
h. Returned to College or Graduate
School.
i. Other.
[If not currently employed full-time go to
Background Item 10 on the last page.]
3. Is your current job the only one you
have held full-time, since leaving NIST?
Yes
No
4. In w hat type of organization are you
currently employed? Is it in:
Private Industry
Another Federal Agency
A University
Another Public or Non-Profit Agency, or
Are you Self-Employed?
5. Did you actively search for your
new job before leaving NIST, did you
leave NIST then look for a new job, or
were you recruited for your new job
without an active search?
6. Is the work in your current job
generally in the same career line as at
NIST, or have you changed career
fields?
7. Think now about your current
salary (or earnings for, self-employed] in
comparison with your salary at NIST. Is
your current salary substantially higher,
a little higher, about the same, a little
lower, or substantially lower than your
salary w as at NIST?
8. W as the salary [or earnings] in your
current job a major consideration, a
minor consideration, or of no concern in
your decision to accept it?
9. Were the fringe benefits a major
consideration, a minor consideration, or
of no concern in your decision to accept
your current job? (By fringe benefits, we
mean things such as pension plans,
bonuses, vacation or sick leave,
insurance plans, child care, or other
provisions having monetary value.)

5031

10. Which types of fringe benefits did
you consider, either positively or
negatively in your decision to take a
current job? (By fringe benefits, we
mean things such as pension plans,
bonuses, vacation or sick leave,
insurance plans, child care, or other
provisions having monetary value.)
11. (For each type mentioned] Did you
feel that benefits were better at NIST,
about the same at both places, or better
in the new job?
a. Retirement or Pension Plan.
b. Cash Awards or Bonuses Possible.
c. Employee Ownership or Stock
Plans.
d. Vacation or Annual Leave
(Amount).
e. Sick Time Provisions.
f. Exercise or Health Facilities (on
Premises or M ade Available).
g. Health Insurance Payments or
Coverage,
h. Dental Insurance.
i. Life Insurance Provided.
j. Child Care Available on Premises.
k. Child Care, Other Provisions.
l. College Expenses for Self or
Children.
m. Parking (or Other Transportation
Benefit).
n. Relocation Expenses (Moving
Household).
12. Overall, how satisfied are you with
your new job, again using a scale
ranging from very dissatisfied to very
satisfied:
Very Dissatisfied
Dissatisfied
Neither Satisfied Nor Dissatisfied
Satisfied
Very Satisfied
Background Inform ation
10. W hat is your current age?
11. Are you
Male
Female?
This concludes the questions I have.
Do you have any (other) comments you
would like to make?
Thank you very much for taking die
time to participate in this survey. Send
comments regarding the burden estimate
or any other aspect of this collection of
information, including suggestions for
reducing this burden to Reports and
Forms Management Officer, U.S. Office
of Personnel Management, 1900 E S t,
NW„ Washington, DC 20415; and to the
Office of Management and Budget
Paperwork Reduction Project (3206),
Washington, DC 20503.
[FR Doc. 91-2931 Filed 2-6-91; 8:45 am]
BILLING CODE 6325-01-M

5032

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

RAILROAD RETIREMENT BOARD
Agency Forms Submitted for OMB
Review

Railroad Retirement Board.
In accordance with the
Paperwork Reduction Act of 1980 (44
U.S.C. chapter 35), the Railroad
Retirement Board has submitted the
following proposal(s) for the collection
of information to the Office of
Management and Budget for review and
approval.
AG ENCY:
a c t io n :

Agency Forms Submitted for OMB
Review

SECURITIES AND EXCHANGE
COMMISSION

Railroad Retirement Board.
In accordance with the
Paperwork Reduction Act of 1980 (44
U.S.C. chapter 35), the Railroad
Retirement Board has submitted the
following proposal(s) for the collection
of information to the Office of
Management and Budget for review and
approval.

[Release No. 34-28842; Filed No. S R -G S CC 90-06]

AG ENCY:
A C TlO N r

SUM M ARY O F PROPOSALS(S):

(1) Collection title: Employee
Representatives’ Status and
Compensation Reports.
(2) Form(s) submitted: DC-2a, DC-2.
(3) OMB Number: 3220-0014.
(4) Expiration date o f current OMB
clearance: Three years from date of
OMB approval.
(5) Type o f request: Extension of the
expiration date of a currently
approved collection without any
change in the substance or in the
method of collection.
(6) Frequency o f response: On occasion
or Annually.
(7) Respondents: Businesses or other forprofit.
(8) Estimated annual number of
respondents): 25.
(9) Total annual responses: 30.
(10) Average time p er response: .43
hours.
(11) Total annual reporting hours: 13.
(12) Collection description: Benefits are
provided under the Railroad
Retirement Act (RRA) for individuals
who are employee representatives as
defined in section 1 of that Act. The
collection obtains information on the
status of such individuals and their
compensation.

(1) Collection title: Student Beneficiary
Monitoring.
(2) Form(s) submitted: G-315, G-315a.
(3) OMB Number: 3220-0123.
(4) Expiration date o f current OMB
clearance: Three years from date of
OMB approval.
(5) Type of request: Extension of the
expiration date of a currently
approved collection without any
change in the substance or in the
method of collection.
(6) Frequency o f response: On occasion
of semi-annually.
(7) Respondents: Individuals or
households, Non-profit institutions.
(8) Estimated annual number of
respondents: 1,100.
(9) Total annual responses: 2,400.
(10) Average time p er response: .085
hours.
(11) Total annual reporting hours: 204.
(12) Collection description: Under the
Railroad Retirement Act (RRA), a
student benefit is not payable if the
student ceases full-time school
attendance, marries, works in the
railroad industry, has excessive
earnings or attains the upper age limit
under the RRA. The report obtains
information to be used in determining
if benefits should cease or be reduced.

ADDITIONAL INFORMATION OR
COM M ENTS: Copies of the proposed

ADDITIONAL INFORMATION OR
c o m m e n t s : Copies of the proposed

forms and supporting documents can be
obtained from Dennis Eagan, the agency
clearance officer (312-751-4693).
Comments regarding the information
collection should be addressed to
Ronald J. Hodapp, Railroad Retirement
Board, 844 Rush Street, Chicago, Illinois
60611 and the OMB reviewer, Laura
Oliven (202-395-7318), Office of
Management and Budget, room 3002,
New Executive Office Building,
Washington, DC 20503.

forms and supporting documents can be
obtained from Dennis Eagan, the agency
clearance officer (312-751-4693).
Comments regarding the information
collection should be addressed to
Ronald J. Hodapp, Railroad Retirement
Board, 844 Rush Street, Chicago, Illinois
60611 and the OMB reviewer, Laura
Oliven (202-395-7316), Office of
Management and Budget, room 3002,
New Executive Office Building,
Washington, DC 20503.

Dennis Eagan,

Dennis Eagan,

Clearance Officer.

Clearance Officer.

SUM M ARY O F PROPOSAL(S):

[FR Doc. 91-2915 Filed 2-6-91; 8:45 am]

[FR Doc. 91-2916 Filed 2-6-91; 8:45 am]

BILLING CODE 7905-01-M

BILUNG CODE 7905-01-M

Self-Regulatory Organizations;
Government Securities Clearing
Corporation; Order Temporarily
Approving a Proposed Rule Change
Relating to the Netting of Zero Coupon
Government Securities

On September 26,1990, the
Government Securities Clearing
Corporation (“GSCC”) filed with the
Securities and Exchange Commission
("Commission”) a proposed rule change
(Filed No. SR-GSCC-90-06) pursuant to
section 19(b) of the Securities Exchange
Act of 1934 ("Act”).1 The proposed rule
change would expand GSCC’s netting
service 2 to include book-entry zero
coupon securities (“zeros”). On
November 16,1990, notice of the
proposed rule change w as published in
the Federal Register to solicit comments
from interested persons.3 No comments
were received. This order approves the
proposed rule change on a temporary
basis until April 30,1992.

I. Description
The proposal would authorize GSCC
to offer net settlement services to its
members for trades in zeros 4 and to
require clearing fund deposits to protect
GSCC against the risk of a member
default on its net settlement
obligations.8 In addition, the proposal

115 U.S.C. 788(b) (1989).
2 See Securities Exchange Act Release Nos. 27901
(April 12,1990), 55 FR 15055; 27006 (July 7,1989), 54
FR 29798.
3 Securities Exchange Act Release No. 28603
(November 8,1990), 55 FR 4776.
4 The zeros that will be made eligible for GSCC’s
netting service are book-entry government
securities including STRIPS (STRIPS is an acronym
for Separate Trading of Registered Interest and
Principal of Securities, which are pre-stripped,
book-entry, zeros that are direct obligations of the
U.S. Treasury) and zeros issued by agencies of the
U.S. Government such as the Federal Home Loan
Mortgage Association (FHLMA) and the Student
Loan Marketing Association (SLMA). GSCC will
not, however, make eligible for netting generic or
privately stripped securities such as Certificates of
Accrual on Treasury Securities (“CATS”) or
Lehman Investment Opportunity Notes (“LIONS”).
Association (FHLMA) and the Student Loan
Marketing Association (SLMA). GSCC will not,
however, make eligible for netting generic or
privately stripped securities such as Certificates of
Accrual on Treasury Securities (“CATS”) or
Lehman Investment Opportunity Notes (“LIONS).
5 For a more detailed discussion of GSCC's
netting system, see Securities Exchange Act Release
No. 27901 (April 12,1990), 55 FR 15055, supra n. 2.

Federal Register / Vol. 56, No. 26 / T hursday, February 7, 1991 / Notices
would revise GSCC’s rules to clarify
GSCC's authority and procedures For
collecting increased clearing fund
deposits.
GSCC’s netting service for zeros will
operate in essentially the sam e w ay as
for other securities eligible for GSCC’s
trade netting service. In general, GSCC
netting members m ust submit to GSCC
for comparison and netting data on all
of the member’s eligible trades with
other netting members. On each
business day GSCC will net member
trades for each eligible security with a
separate CUSIP 8 in order to determine
the clearing members; net position (a net
long position will result if purchases
exceed sales; a net short position will
result if sales exceed purchases; a nd a
net flat position will result if purchases
equal sales). GSCC will then match all
net long and short positions of members
on a CUSIP by CUS1? basis into sets of
receive and deliver obligations. On the
morning after trade date members will
receive a F undsO nly Settlement Report,
a Netted Trade Summary Report and an
Open Receive/Deliver Orders Report.
These reports will provide members
information regarding payments due
from or owed to netting members, what
trades entered the netting system and
the resulting net, and the substitution of
GSCC as the contra-party (novation) to
all open netted positions.7 Once the
reports are available, each member m ust
provide settlement Instructions to its
clearing agent bank. Settlement of net
delivery obligations betw een each
member and GSCC will be made over
Fed wire on the day after trade date.
The proposal would modify GSCC’s
clearing fund formula 8 to account for
the market risk associated with net
trades in zeros GSCC has guaranteed.8
* “CUSIP” is an acronym for the Committee on
Uniform Securities Identification Procedures. The
CUSIP numbering system was developed by a
committee of the American Bankers Association
bearing the same name and was recreated to
identify specific securities issues. Each eligible
netting security Issue has Its own separate CUSIP
number that GSCC uses in its netting system to
group trades for the n e t
7 Once netting has occurred, GSCC is liable to
pay for securities sold to a member or to deliver
securities bought from a member. GSCC requires
members to make deposits to GSCC’s clearing fund
to help protect against the risk of loss to GSCC in
the event of a clearing member default.
8 The current clearing fund formula has two
components—funds-only settlement component and
securities net settlement component. A netting
member's required clearing fund deposit will be the
sum of the two components. See infra n. 12.
8 “Market risk" is the ride that foe value Of the
securities GSCC has guaranteed will decline so that
a subsequent trade will result in financial loss.

GSCC will create a new schedule of
margin factors that take into account die
greater volatility associated with zeros.
GSCC will use ihe margin factors as an
element in determining the securities net
settlement component of the required
clearing fund deposit.10 GSCC has
established a margin factor for each
maturity range within each product
group.11 That factor is a percentage,
which is generally designed to measure
the potential volatility of prices in that
maturity range. The method by which
GSCC will determine the clearing
member’s required margin deposit for
positions in zeros also will take into
account the clearing member’s
individual risk profile.
As between GSCC’s margin factors
for zeros and its margin factors for non
zeros, the margin factors are the same
for zeros and non zeros with remaining
maturities of up to 2 years.
Thereafter, GSCC’s margin factors for
zeros and non zeros are as diagramed
below:
Offset
da ss 1 Remaining maturity , Zero , Non zero
D
E
E
F
F
G

2 to 4 years..............j
4 to 5 years_______
5 to 7 years----------7 to 10 years........... J
10 to 15 years__ __
Over 15 years..........

.625 !
.938
1.313
1.870
2.013
3.625

.500
,625
.750
.935
1.250
1.450

GSCC will not allow any offsets
between zeros and non zeros. GSCC is
taking a conservative approach to
disallowing offsets betw een zeros and
non zeros because available historical
data indicates that there is a poor
correlation between these classes of
securities.
A member’s required margin will be
the greater of either the average offset
margin amount or 50% of the gross
margin amount.12 The gross margin
10 The .securities net settlement component of
GSCC's clearing fond formula is essentially foe
same amount as the member’s required margin
deposit. This component will be referred to
hereinafter as foe “required margin*’ or foe
“required margin deposit.“
11 Since the margin factor for zeros are tailored to
each maturity group, foe projected volatility of zeros
will be reflected in foe required margin
subcomponent. At the longest remaining period to
maturity [i.e., over 15 years) the zero margin factor
is two and a half times greater than foe non zero
margin factor. Remaining maturity of forward
settling zeroes will be measured from foe date of
issuance Of the underlying securites.
12 Total amount of required clearing fund
deposit=A-fB where,
A=1.25(v)
and
B = ( 2 (x (j 1 - z))--20

or B=.50[x(y)l, if, .50fx(y)l >{2i([x(y)-z])-r20.

5033

amount is the appropriate margin factor
multiplied by the total dollar value of
the member's net settlem ent position.
The offset margin amount is calculated
by subtracting a credit for offsetting net
settlement positions bom the gross
margin amount of the member's net
settlement positions. H ie average offset
margin amount is the average offset
margin for the last 20 days during which
GSCC calculated net settlement
positions. To illustrate the procedure for
determining a clearing mother’s required
margin, assume for example, that,
without undue concentration in zeros,
clearing member A has a net settlement
delivery obligation of $100,000 in zeros
with a remaining maturity of 17 years,
and a net settlement receive of $200,000
in zeros with a remaining maturity of 6
years. The 17-year zero is in offset class
G and the 6-year zero is in offset class
ir.The margin factors for two securities
are 3.625% and 1.313%, respectively. The
gross margin amount (without allowing
for hedges) would be
[{$100,000 X 3.625%) -f- ( $200,000 X
1.313%)] =$3,625+
$2,626=$6,251,00.
In determining the offset margin
amount, the clearing fund formula
allows consideration of hedges within a
netting member’s net settlement
positions. GSCC essentially will allow
$2,626 of the margin associated with the
$20,000 receive obligation to offset the
margin associated with th e $100,000
deliver obligation.13 Continuing the
fexample above, the 17-year zero has a
.30 disallowance factor {i.e., GSCC will
allow a .70 credit) when hedged against
the 6-year zero. So, the calculation of the
offset margin amount would appear as
[($3,©25-$999.0Q)+ $2,626]{.3G)+ $
999.00=$1,575.60+$999.90=$2,574.60.14
Since GSCC requires the member to
deposit the greater of 50% of the gross
margin amount or the average offset
margin amount, the member’s required
margin deposit will be 50% of the gross
margin amount or $3,125.50.14 By
18 This means that foe required margin for the
receive obligation in excess of foe $2,626 required
margin for foe $100,000 delivery obligation (in this
case $999.00) will be deducted prior to applying the
disallowance factor, however, this amount will be
added to the calculation after foe disallowance to
deteimine foe final offset margin amount If,
however, foe clearing member had another receive
obligation, foe gross margin for that position could
be offset against the $999.00. Telephone
conversation between Jeffrey F. Ingber, Associate
General Counsel, GSCC, and Sonia Burnett,
Attorney, Division of Market Regulation,
Commission (December 21,1990).
18 Assume for purposes of this example that the
average offset margin amount over foe previous 20
business days is the same as the offset margin
amount.
16
Fifty-percent of the gross margin amount is
.50 X6251=3125.5

5034

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / N otices

requiring a netting member to deposit, at
minimum, 50% of the gross margin
amount, GSCC seeks to avoid inherent
liquidity exposure with respect to
netting by novation.
GSCC’8 proposed methodology for
determining the required margin for
zeros is based, in part, in the U.S.
Treasury Department’s ("Treasury”)
haircut requirements for zeros and non
zeros for government securities broker/
dealers.16 GSCC believes that the
Treasury's approach represents a
reasonable and conservative approach
to risk assessment. GSCC, however, will
continue to build its own risk
assessm ent profile for zeros. Until GSGC
collects sufficient historical data
regarding zeros, GSCC will review its
price valatility data for consistency with
quarterly market volatility data
provided by Carrol, McEntee &
McGinley Inc. The approach taken at
this time may be modified as experience
increases and more data is accumulated
that satisfactorily takes into account the
historical and implied volatility of zeros.
GSCC will monitor a clearing
member’s positions in zeros as they
relate to the member’s total positions in
other zeros and in relation to the
member’s total non zero positions. A
member will be deemed to have undue
concentration in zeros generally if the
dollar value of a member’s net
settlement positions in zeros equals or
exceeds 25% of the dollar value of the
member’s net settlement positions in all
issues eligible for the net. A member
will be deemed to have undue
concentration in zeros with the same
range of remaining maturity if the dollar
value of the member’s net settlement
positions in zeros with the same range
of remaining maturity equals or exceeds
50% of the total dollar value of the
member’s net settlement positions in
zeros.
*®The “haircut” is the amount by which the value
of a security is discounted in determining capital
requirements for government securities broker/
dealers. See 17 CFR 402.2 (1990). By way of
comparison, the Treasury uses the same haircut
disallowance factors for zeros and non zeros. GSCC
and the Treasury, however, do not use the same
time intervals for determining the remaining period
to maturity. Therefore, GSCC’s offset classes do not
correspond to the Treasury's offset classes. Zeros
with maturities of 7 to 10 years, for example, would
fall into GSCC’s offset class F with a margin factor
of .935%, while zeros with the same years remaining
to maturity fall into two Treasury offset classes—G
and H. The haircut factor for offset class G is 3.30%,
but the haircut factor for offset class H is 4.50%. In
comparing GSCC's margin factors for zeros to the
Treasury haircut factors for zeros, the Treasury
haircut factors correspond to the longest rem aining
period to maturity within a maturity range. Thus, in
this example the margin factor for GSCC’s 7- to 10year maturity range (.935%) would be compared to
the Treasury haircut factor representing a 10-year
remaining maturity (4.50%).

By monitoring each clearing member’s
level of concentration in zeros, GSCC
will be able to assess the potential for
financial exposure to GSCC and its
remaining clearing members. If a
clearing member is found to have undue
concentration in zeros generally or as
compared to other zero issues, GSCC
will determine whether it is necessary to
require the member to make an
additional deposit to the clearing fund.
The additional deposit could range up
to 200% of the netting member’s highest
single business day’s required fund
deposit during the most recent 20
business days. If, however, GSCC’s
Board of Directors (“Board”) determines
that such an amount is not sufficient for
the protection of GSCC and its
members, a higher amount will be set by
the Board. In such a case, the additional
deposit, once it is made, will become a
part of the clearing member’s required
clearing fund deposit.17 GSCC’s
Membership and Standards Committee
will review the procedure for collection
of clearing fund collateral periodically to
determine the appropriateness of the
procedure.
The proposal also will clarify GSCC’s
rules regarding GSCC’s authority to
require clearing members to make
additional deposits to GSCC’s clearing
fund, the types of eligible collateral that
a clearing member may deposit to
satisfy these requirements, and the
conditions under which GSCC may
impose such a requirement. The
proposed amendments contain
essentially the same requirements as the
existing rule, and would delineate more
clearly GSCC’s procedures and
requirements for the additional clearing
fund deposit.18
Consistent with GSCC’s existing rules,
the new rule essentially will allow
GSCC, in its discretion, to notify a
member that it must increase the
amount of its required fund deposit.
GSCC may notify a clearing member
that it is required to make an additional
deposit to the clearing fund if: (1) The
member is on surveillance status and
the member’s required fund deposit
exceeds the value of the member’s
deposits to the clearing fund; (2) the
member’s required fund deposit exceeds
by 25% or more the value of the
member’s deposits to the clearing fund;
17 See Revised GSCC Rule 4, Section 3, File No.
SR-GSCC-90-08.
18 GSCC will calculate daily each netting
member’s clearing fund contribution requirement
and determine whether the netting member’s
deposit exceeds its required clearing fund
contribution. The member's clearing fund
contribution requirement is based upon the risk to
GSCC resulting from the member’s daily settlement
activities.

(3) the member’s required fund deposit
exceeds by $250,000 or more the value of
the member’s deposits to the clearing
fund; or (4) the member’s funds-only
settlement amount exceeds by 25% or
more the member’s average daily
clearing fund funds-only settlement
amount over the most recent 20 business
days. If a member is so notified, the
member may satisfy the requirement by
depositing eligible securities in the form
of cash, eligible Treasury securities,
and/or eligible letters of credit.
As a general rule, GSCC will continue
to require that the additional deposit be
made by the close of business on the
day of notification. If, however, the
notice is not made available to the
member prior to 3 p.m., the additional
deposit requirement may be satisfied by
12 noon on the following business day.
II. Discussion
The Commission believes that GSCC’s
proposal is a reasonable approach
designed to minimize the risk associated
with the clearance and settlement of
zeros. GSCC’s scheme for determining
margin factors is based upon the
Treasury haircut requirements and
periodic market volatility data obtained
from other sources. Although the margin
factors themselves are not identical to
the Treasury haircut requirements for
securities in the same maturity ranges,
the relationship between GSCC’s margin
factors for zeros and non zeros
approximate the percentage difference
between the Treasury haircut
requirements for zeros and non zeros.18
GSCC’s proposal will extend the
benefits of GSCC’s centralized,
automated netting system to netting
members that trade in zeros. The
Commission believes that GSCC’s
proposed netting procedure will provide
increased efficiency for GSCC netting
members.
GSCC’s proposal will enable GSCC to
measure the market risk and potential
financial exposure presented by a
specific transaction. GSCC has in place
certain oversight provisions that may
result in an increased clearing fund
deposit if GSCC determines that the
member’s positions present an increased
likelihood of exposure. In addition,
GSCC will prohibit offsets among zeros
and non zeros because of the poor
correlation among these classes of
securities. Moreover, the clearing fund
formula applicable to zeros is based on
18 For zeros with maturities ranging from 5 years
to over 15 years, the percentage spread between
GSCC's margin factors for zeros and non zeros
exceeds the percentage spread between Treasury
haircut factors for zeros and non zeros in 3 out of 4
of the maturity ranges.

Federal Register / Vol. 56, No. 26 / Thursday, F ebruary 7, 1991 / Notices
current market data, taking into account
the opportunity cost for long-term zeros.
The Commission believes that these are
prudent measures to help ensure the
financial soundness of GSCC and to
help safeguard netting member assets.
As an additional safeguard, if a
member’s zero securities transactions
processed in GSCC’s netting system
exceed 25% of the dollar value of the
member’s net settlement positions in all
issues eligible for the net, GSCC may
require the member to make an
additional clearing fund deposit. At the
very least, concentration in zeros above
the levels specified will precipitate
increased surveillance of the portfolio of
positions held by the netting member.
The Commission believes that GSCC
has the capacity to accommodate trades
in zeros in its netting system. GSCC has
satisfactorily operated its netting system
for netting member trades in non zeros
for more than one year without any
operational problems. Like those
securities, eligible zeros are only
available in book-entry form and
settlement of net delivery obligations
between each netting member and
GSCC will be made over Fedwire. GSCC
has represented to the Commission that
it will be able to include zeros in its
netting system while continuing to
operate its netting system accurately
and within time frames established by
GSCC dining current and reasonably
anticipated future average daily and
peak processing days.20
GSCC believes that its approach to
netting zeros is reasonable. The
Commission believes that GSCC’s
method of determining the applicable
margin factor is reasonable in light of
the lack of historical data on which to
base the margin assessment. The
Commission is concerned, however,
about the accuracy with which GSCC’s
current methodology reflects the
historical and implied volatility of zeros.
The Commission notes that including
zeros in its netting system creates new
market risk for GSCC and its
membership.'Zeros with remaining time
to maturity in excess of two years
exhibit greater volatility than non zero
securities in the same maturity range
and that volatility increases as the
remaining time to maturity increases.
Also, zeros are generally more sensitive
to fluctuations in interest rates and
movements in the m arket The
Commission understands th a t by their
very nature, margin intervals must be
set within an environment of imperfect
10 See letter from Jeffrey F. Ingber, Associate
General Counsel, GSCC, to Sonia Burnett, Attorney,
Division of Market Regulation, Commission (dated
January 17,1991).

knowledge regarding the future course
of volatility. However, because GSCC’s
current clearing fund formula “serve[s]
as a mechanism for GSCC to measure
the risk profile of its members’ securities
settlement obligations, the Commission
believes that GSCC’s margin factors
should be set at a level of protection in
light of current market conditions”
taking into account the unusual
historical and implied volatility
associated with zeros.21
The Commission believes that GSCC
should move forward in gathering
historical and implied volatility data
and in developing a method to analyze
such data. The Commission believes
that GSCC should explore the
development of an automated system to
assess, on a daily basis, historical and
potential price movements of zeros and
the implications of such movements on
GSCC’s margin factors applicable to
zeros. This will add greater precision to
GSCC’s risk management processes and
help minimize market risk associated
with clearance and settlement of zeros.

5035

2.
GSCC will continue to monitor the
adequacy of its zero netting system and,
in consultation with the Commission,
make adjustments as necessary. The
Commission expects GSCC to continue .
to build its base of historical and
implied volatility data and to continue
exploring a means of analyzing such
data, including procedures to consider
the effects of dramatic price
movements.23
IV. Conclusion
It is therefore ordered, pursuant to
section 19(b)(2) of the Act, that the
proposed rule change (SR-GSCC-90-06)
be, and hereby is, approved on a
temporary basis until April 30,1992.
For the Commission, by the Division of
Market Regulation, pursuant to delegated
authority. 17 CFR 200,30-(a)(12) (1990).
Dated: January 31,1991.
Margaret H. McFarland,

Deputy Secretary.
[FR Doc. 91-2956 Filed 2-6-91; 8:45 am]
BILLING CODE 8010-01-M

III. Summary
The Commission preliminarily finds
that the proposal is consistent with
section 17A of the Act. In light of the
significance of this proposal to GSCC
and its clearing members, and in light of
the probability that GSCC’s
methodology for risk analysis will be
modified at a future date, the
Commission believes that GSCC’s
proposal should be subject to further
review based on experience operating
the proposed netting system. For this
reason, the Commission is approving the
proposal on a temporary basis until
April 30,1992.22 At that time, the
Commission will revisit with GSCC the
issue of modifying GSCC’s margin factor
methodology.
To assist the Commission in
determining whether the proposal
should become a permanent part of
GSCC’s Rules and Procedures, the
Commission expects GSCC to comply
with the following undertakings:
1. GSCC will continue to monitor its
clearing members’ concentration in
zeros, and GSCC will report to the
Commission quarterly any situation
where GSCC could have made a special
call for additional clearing fund deposits
pursuant to GSCC’s Rules and
Procedures, and the amount assessed, if
any.
*l See Securities Exchange Act Release No. 27Q08,
supra n. 2.
** The Commission expects GSCC to file for an
extension, of approval erf the proposed rule change
by January 31,1992.

[Release No. 34-28844; File No. SR-M STC91-01]

Self-Regulatory Organizations;
Midwest Securities Trust Company;
Notice of Filing and Order Granting
Accelerated Approval on a Temporary
Basis of Proposed Rule Change
Establishing the Institutional
Participant Services Program
February 1,1991.

Pursuant to section 19(b) of the
Securities Exchange Act of 1934,1 notice
is hereby given that on January 31,1991,
the Midwest Securities Trust Company
(“MSTC”) filed with the Securities and
Exchange Commission the proposed rule
change as described in Items I, II, and III
below, which Items have been prepared
by MSTC. The Commission is publishing
this notice to solicit comments on the
proposed rule change from interested
persons.

** GSCC may increase any of the margin factor
percentages upon a determination that such
increase is appropriate in light of market experience
and conditions. GSCC, however, may decrease
margin factor percentages upon submission and
review of a proposed rule change pursuant to
section 19(b)(2) of the Act, 15 U.S.C. 708(b)(2). The
Commission stipulated a similar requirement in an
order temporarily approving modifications to
GSCC'8 clearing fund formula. See Securities
Exchange Act Release No. 27901 supra n. 5.
‘ 15 U.S.C. 78s(b).

5036

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / N otices

I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
Attached as exhibit A is the text of a
proposed rule change which establishes
(i) the Institutional Participant Services
Program (“Program”), and (ii) a new
category of participants (“Institutions”).
Also attached as exhibit B is MSTC’s
procedures for the Program.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission,
MSTC included statem ents 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. MSTC
has prepared summaries, set forth in
sections (A), (B), and (C) below, of the
most significant aspects of such
statements.*
A. Self-Regulatory Organization’s
Statement o f the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
On March 1,1990, the Commission
issued an order approving the Program
on a temporary basis until January 31,
1991 (“Temporary Approval Period“).2
The rationale for approving the Program
on a temporary basis w as to provide
MSTC with the opportunity to formulate
more definitive financial and
operational standards for Institutions
that desire to participate in the Program.
On December 26,1990, MSTC filed a
proposed rule change (SR-MSTC-80-10)
which requested permanent approval of
the Program and proposed more
definitive standards of participation and
financial and operational capabilities
for Institutions. To provide the
Commission with the opportunity to
review these standards while providing
continuity of service to Institutions that
currently participate in the Program, this
proposed rule change requests that the
Commission extend the Program under
the terms of the Temporary Approval
Order until July 31,1991.®
* Securities Exchange Act Release No. 27752
(March 1.1990), 55 FR 8271 (“Temporary Approval
Order“).
8 For a complete description of the services
offered under the Program and the current
standards of financial and operational capabilities
for Institutions under the Program, see Temporary
A ‘oval Order.

MSTC believes that the proposed rule
change is consistent with section 17A of
the Act because it will promote the
prompt and accurate clearance and
settlement of securities transactions and
the safeguarding of funds and securities
by providing Institutions with the
opportunity to participate directly in
MSTC.
B. Self-Regulatory Organization’s
Statement on Burden on Competition
MSTC does not believe that any
burdens will be placed on competition
as a result of the proposed rule change.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received from
Members, Participants or Others
MSTC has not received any comments
from participants of the proposed rule
change.
III. Date of Effectiveness of the
Proposed Rule Change and Timing of
Commission Action
MSTC requests the Commission to
find good cause for approving the
proposed rule change prior to the
thirtieth day after the date of
publication of notice of the filing. Such
accelerated approval would permit
MSTC to offer continuity of service to
Institutions that participate in the
Program while providing the
Commission with sufficient time to
analyze the more definitive standards of
participation and financial operational
capability recently proposed by M STC
The Commission finds that the
proposed rule change is consistent with
the requirements of the Act and, in
particular, the requirements of secton
17A and the rules and regulations
thereunder. The Commission finds good
cause for approving the proposed rule
change prior to the thirtieth day after the
date of publication of notice of filing
thereof. The Commission does not
anticipate that it will receive any
significant negative comment on the
proposed rule change in view of the fact
that no comments were received on the
proposal approved in the Temporary
Approval Order, which w as identical in
substance to the proposed rule change.
Further, the Commission notes that the
Program has operated without incident
during the Temporary Approval Period.
Thus, acceleraed approval of the
proposed rule change on a temporary
basis will permit MSTC to provide
continuity of service to those
Institutions that currently participate in
the Program while the Commission
reviews MSTC’s proposed permanent
standards of financial and operational
capabilities for such Institutions.

IV. Solicitation of Comments
Interested persons are invited to
submit written data, views, and
arguments concerning the foregoing.
Persons making written submissions
should file six copies thereof with the
Secretary, Securities and Exchange
Commission, 450 Fifth S treet NW.,
Washington, DC 20549. Copies of the
submissons, all subsequent
amendments, all w ritten statements
with respect to the proposed rule change
that are filed with the Commission, and
all written communications relating to
the proposed rule change between the
Commission and any person, other than
those that may be withheld from the
public in accordance with the provisoes
of 5 U.S.C 552, will be available for
inspection and copying at the principal
office of MSTC All submissions should
refer to file number SR-MSTC-91-01
and should be submitted by February 28,
1991.
It is therefore ordered, pursunt to
section 19(b)(2) of the Act, that the
proposed rule change be, and hereby is,
approved on a temporary basis until July
31,1991.
For the Commission, by the Division of
Market Regulation, pursuant to delegated
authority.
Margaret H. McFarland,

Deputy Secretary.

Exhibit A
Article I, Rule 1 (Definitions and
General Provisions—Definitions)
Institutional Participant
The term "Institutional Participant”
shall mean state-supervised or regulated
insurance companies, investment
companies registered with the Securities
and Exchange Commission, and other
similar funds or institutions, as
described in Rule 1 of Article V, who
maintain an account with the
Corporation pursuant to these Rules and
the Institutional Participant Services
Program.
Article II, Rule 6 (Settlement Services)
Institutional Participant Services
Program
The Corporation may establish a
service and Procedures for the offering
of Depository services, including the
book-entry settlement and safekeeping
of Securities, on behalf of Institutional
Participants. An applicant may become
an Institutional Participant by filing with
the Corporation any appropriate
registration form so designated by the
Corporation. Institutional Participants
shall be subject to all applicable Rules
and Procedures of the Corporation,

Federal Register / Vol. 56, No. 26 / Thursday, F ebruary 7, 1991 / N otices
except as modified by these rules,
including Article VI, Rule 2, Sec. 4
(Participants’ Fund) and Article V, Rule
1, Sec. 1 (Participants), and the
Procedures of the Corporation relating
the Institutional Participant Services
Program. Institutional Participants shall
pay the Corporation the amounts
specified in the fee schedule for the
Institutional Participants’ Services
Program.
Article V, Rule 1, Section 2 (Duties of
Participants)
Sec. 2. In addition to those
qualifications listed in Section 1 above,
applicants to become an Institutional
Participant pursuant to the
Corporation’s Institutional Participant
Services Program shall meet the
following qualifications;
(a) Each Institutional Participant shall
submit to the Corporation the following
reports, and such other reports and
financial information that the
Corporation may from time to time
require:
(i) If subject to state, federal or other
governmental regulation or supervision,
copies of all financial reports promptly
after their submission or filing to
regulatory authorities.
(ii) If not subject to state, federal or
other governmental regulation or
supervision, or if not required to file
financial reports with regulatory
authorities, (A) copies of unaudited
quarterly financial statem ents (prepared
in accordance with generally accepted
accounting standards), within 30 days
after the close of each fiscal quarter,
and (B) copies of annual financial
statements, audited by independent
public accountants, within 45 days after
the end of each fiscal year. Institutional
Participants shall also submit copies of
financial statements or reports on more
than a quarterly basis if requested by
the Corporation.
In addition, the Institutional
Participant shall promptly advise the
Corporation of any decrease of 10% or
more in either its net assets (or net
assets under management), or its
revenue or income, during any period.
(b) The Corporation may also require
such other financial statem ents or
information as may be necessary to
assure the Corporation that the
Institutional Participant’s financial
condition and performance, including
information as to the level and quality of
earnings and other generally accepted
measures of liquidity, capital adequacy
and profitability, do not create undue
risks to the Corporation, Participants or
other Institutional Participants.
(c) Each applicant to become an
Institutional Participant shall

5037

MSTC currently safekeeps securities
demonstrate to the satisfaction of the
assets for more than 340 participants.
Corporation sufficient operational
capability necessary to utilize the
The Midwest Stock Exchange, Inc.
services of, and fulfill its obligations to,
created MSTC as a wholly owned
the Corporation. Prior to approval, the
subsidiary in 1973. The sole purpose of
Corporation must be satisfied that any
MSTC is to provide the securities
applicant to become an Institutional
industry with a means for safe, reliable,
Participant: (i) Has an established
and cost-effective securities processing
business history of a minimum of one
and safekeeping. Since its creation in
year or personnel with sufficient
1973, MSTC has been providing
operation background and experience to custodial services to brokers, banks,
ensure the Institutional Participant’s
institutional investors and other
ability to conduct business with the
depositories.
Corporation; (ii) has the required
MSTC’s book-entry settlement system
personnel, operational capability, and
and safekeeping facilities eliminate the
physical facilities necessary to fulfill its
need for physical movements of
obligations to, and meet the operational
securities between trading partners.
requirements of, the Corporation; and
Everyday more than 30,000 transactions
(iii) maintains a minimum of $50 million are processed by MSTC.
in net assets, either directly or under
Communications links provide MSTC
management. An applicant with less
participants with a settlement system
than such $50 million may be admitted,
through which they can deal directly
but must demonstrate to the
with members of other domestic and
Corporation’s satisfaction that its net
foreign depositories.
assets (or net assets under management)
Transaction processing
will reach at least $50 million within one
year of admission as a Participant.
Trade Settlement—MSTC Participants
(d)
Any insurance company qualifyinghave direct access to the National
as an Institutional Participant shall meet Institutional Delivery System (NIDS)
which provides trade recording,
those minimally acceptable ratings by a
confirmation and automatic settlement
nationally recognized rating service(s),
for institutional trades. Through this
as the Corporation may from time to
system, participants are able to settle
time determine.
trades via book-entry transactions
Article VI, Rule 2, Sec. 4 (Participants—
regardless of the depository in which
Participants Fund)
trading partners participate.
#
* '
*
'*
*
Physical Security Movements—MSTC
provides institutional participants with
Notwithstanding the above, in the
facilities to make physical receipts and
event of an assessm ent by the
deliveries of securities as necessary
Corporation pursuant to this section 4,
through agreement with Midwest
the Corporation shall apply the
Clearing Corp. These programs are
Participants Fund contributions of (i)
known as Correspondent Delivery and
Institutional Participants solely to
Collection Service (CDCS) and
discharge losses or liabilities arising by
Correspondent Receipt vs Payment
reason of defaults by Institutional
Service (CRPS). MSTC also provides for
Participants, and (ii) non-Institutional
Participants solely to discharge losses or the physical deposit and withdrawal of
securities, and for the transfer of
liabilities arising by reason of defaults
registration of securities.
by non-Institutional Participants.
Securities Lending—MSTC provides
However, the Corporation shall apply
its participants with a book-entry
the Participants Fund contributions of
delivery facility through which
both Institutional Participants and nonparticipants can process securities
Institutional Participants to the extent
loans. Depository-eligible securities can
that the Corporation suffers any excess
be delivered to and received from
loss arising by reason of a default in a
lending partners against payment
transaction or transactions involving an
regardless of the depository in which
Institutional Participant and a nonthey participate.
Institutional Participant.
Activity Reporting—A daily report of
Exhibit B—Description of Services
all account activity is provided including
all cash and security transactions. This
Direct participation with Midwest
report is available in printed form, on
Securities Trust Company means direct
microfiche, on computer tape, by data
participation in the national market
file transfer, or by terminal access.
system. MSTC is one of the nation’s
MSTC also provides inquiry screens
largest depositories for equities,
through the MSTC communications
corporate debt and municipal bond
terminal. These screens detail the
securities. With an excess of 700,000
current day’s activity and inventory.
different issues eligible for deposit,

5038

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / N otices

Security Custody
MSTC provides safekeeping for
depository eligible securities. Registerd
securities are held in non-negotiable
form under MSTC’s nominee name of
Kray & Co. Bearer bond securities are
held on deposit at an appropriate
federal or state regulated sub-custodian.
Extensive computerized records of
securities entering and leaving the
custody system document cusip
numbers, denominations, and dates of
deposits or withdrawal. These records
provide a detailed audit trail for
research and reconciliation.
MSTC is registered as a Clearing
Agency under the regulatory authority of
the Securities and Exchange
Commission (“SEC”). As such, it is
appropriately insured, monitored,
audited and inspected to safeguard
participant’s assets. It is also
incorporated as an Illinois trust
company and is a member of the Federal
Reserve Bank System.
Income Collection—Interest and
dividend payments are posted and
credited automatically on payable date.
MSTC reserves the right to defer credit
of dividend and interest income until
such amounts have been received from
the paying agent or issuer if, (i) MSTC
has reason to believe or is concerned
that the paying agent or issuer will
default or fail to make prompt payment
on payable date, or (ii) anticipated
amounts due are in excess of amounts
determined by MSTC as either available
or prudent for advance prior to the
receipt of funds from the paying agent or
issuer.
Voluntary Reorganization
Processing—MSTC will accept and
process instructions to tender securities
where a voluntary tender or action is
available to security owners. Proceeds
will be credited to the participants
account as received from the paying
agent.
Call/Put Processing—MSTC assumes
responsibility to identify, process and
remit securities that are subject to an
issuer call whenever those calls are
published in accordance with the SEC
recommended guidelines on redemption
notification. Participants accounts will
be credited with the proceeds from the
call when the paying agent makes funds
available to MSTC. Put option
processing will be done by MSTC upon
instructions from the institutional
participant. While it is the responsibility
of the participant to know the put
options available on its investments,
MSTC assumes responsibility for
processing all instructions received in
time to tender.

Proxy Processing—For securities held
in its nominee name, MSTC provides the
issuers with information on shares held
by each participant. The issuers are then
advised to communicate proxy data
directly to the participant. In this
manner participants are assured the
ability to exercise ownership rights.
Dividend Reininvestment
Processing—MSTC provides the
capability to its participants to
participate in corporate dividend
reinvestment programs where the issuer
provides such a service.
Reporting—All security positions held
by MSTC for its participants are
reported on the Net Position report. This
report is available daily or weekly and
in a variety of delivery methods,
including on-line inquiry by issue.
Settlement
At the end of each business day
MSTC nets each participants cash
debits and credits resulting from
account activity into one pay or collect
figure. Participants must reconcile the
figure with MSTC each pay. Participants
can settle with MSTC through an
approved settlement bank or through a
cash account m aintained by MSTC.
Communications
MSTC and its Participants have a
record of leadership in the automation
of data communications. Participants
utilize a range of high-speed computerto-computer links and dial-up services to
make daily reconciliation of activities
and inventory as timely and costefficient as possible. The
communications links listed below
provide choices for participants with
varying degrees of internal automation.
• Computer to Computer
transmissions
~
• Machine Readable Magnetic Tape
Input/Output
• Dail-Up Terminal
• Dedicated Terminal
• Microfiche
• Hardcopy Reports
Customer Support
Account Administration—MSTC
assigns an Account Administrator to
each institutional participant. The
Account Administrator is the primary
point of contact and acts as the liaison
between the institution and MSTC
Operations. The Account Administrator
is responsible for being familiar with
investment operations at the institution
so that he/she can monitor account
activity and handle day-to-day inquiries
as effectively as possible. MSTC
requires all Account Administrators to
complete a thorough training program on
all operational areas at MSTC.

MSTC will provide an annual
operational review for each institutional
participant. Institutions are provided
with a written report on the
effectiveness of its utilization of the
depository. The report, when
appropriate, will make
recommendations for cost reduction or
more efficient and secure processing.
Training—Staff members from
MSTC’s Training and Education
department are assigned to individual
institutional participants. A Training
Coordinatory will work with the
Account Administrator to design a
comprehensive training program for
each new institution. Training will be
conducted on-site at the institution and
will include having the Trainer present
for the first days of trade settlement.
The Trainer is available for any future
training needs, including those arising
from personnel changes.
Reporting
MSTC Participants have the ability to
reconcile accounts on a same day basis
using MSTC’s Daily Activity, Net
Position and National Institutional
Delivery System (NIDS) reports.
Dividend/Interest reports allow
projection of expected income and
reconciliation on payable date.
Dividend/Interest reports are available
on ex-distribution, record and payable
dates.
Reports are available via terminal,
magnetic tape, CPU-CPU transmission
or hardcopy.
Fee Schedule
Account Maintenance
Account maintenance fee___ _ $150.00/month

Safekeeping
All securities are held by MSTC in a
fungible position by issue. Monthly
safekeeping fees include income
collection services and the processing of
stock dividends.
Corporate Securities............. ...........$2,5G/l8sue
Registered Municipal Bonds_.......... 3.00/Issue
Bearer Municipal Bonds.......... ...... . 5.0G/lssue

Book-Entry Transactions
Participants of MSTC are able to
participate in the national institutional
delivery system which is a trade
recording, acknowledgement and
automatic settlement system for
institutional trades. The program allows
partipants of MSTC to transact
institutional trades with participants of
MSTC and other depositories and settle
those trades via an automaticallygenerated book-entry movement on
Settlement Date.

Federal Register / V o l 56, No, 26 / Thursday, February 7, 1991 / N otices
The following fees apply to all BookEntry transactions resulting from trade
settlement or securities lending.

General Dividend Reinvestment
Program Fee..............$20.00/Security Issue

Special Instruction (if additional
account detail is required beyond basic
MCC/MSTC account):

1-100 transaction8/mo__ ... $6.00/Transaction
101-500 transactions/mo....... 5.00/Transaction
501-1000 transactions/mo....4.00/Transaction
1001—2000 transactions/mo... 3.00/Transaction
Over 2000 transactions/mo... 2.00/Transaction

a. Special breakdown of shares and
cash-in-lieu
breakdown...$4.00/Acct
Breakdown
b. Distribution of CIL by check for
individual customer accounts~..$6.00/Item

Physical Transactions
Physical transactions include
reorganizations, redemptions, deposits,
withdrawals and transfers.

MSTC Communications System
Participants may use the terminal
system in three ways: To obtain
information regarding current MSTC
inventory and activity (Inquiry), to
retrieve MSTC reports (Report
Retrieval), and to input instruction to
MSTC for book-entry movements, trade
affirmations, eligibility and withdrawal
requests (Data Entry).

Physical Transaction...................... $30.00/Item

Dividend Reinvestment Program
A participant maintaining securities
on deposit as of Record Date may
instruct MSTC to reinvest all or a
portion of the Record Date position to
take advantage of an issuing company’s
reinvestment option program.

5039

MSTC Reports
MSTC members can receive daily
Activity, Net Position and National
Institutional Delivery System reports via
terminal, magnetic tape, CPU-to-CPU or
hard copy.
Dividend/Interest reports are
available on ex-distribution, record, and
payable dates via terminal or hard copy.
File Transmission Service
The File Transmission Service (FTS)
is CPU-to-CPU interface between MSTC
and the computers of participant firms
of their service bureaus. It makes
processing smoother and more efficient
by replacing tape handling. The time
required to receive/submit and process
data is also decreased.

Port Access-------------------- ------- $100.00/Mo.
Daily

Weekly

Monthly

Upon request
(testing)1

Input (all charges per month)
NIDS___ _______
V .............
Book-entry Deliveries____ _______
-----------------------------------

N.A.
N.A.

N.A.
N.A.

No Charge
No Charge

Output (all charges per month)
Activity.............. ...... ................. .
Net Position....................................
Net Position/Activity...............
Registered Masterffle Updates............................
Registered & Bearer Masterfile (FTP onlv).......................
NIDS............................... .........

oo
<10f>00
275 00
105 00
ÑA

NA
125.00
NA
NA
200.00
NA

N A $75.00
75.00 75.00
N A 75.00
N A 75.00
75.00 75.00
N A 75.00

Includes seulement month end, calendar month end.

Tape Input/Output Service
The files listed within the FTS section
are also available via machine-readable
magnetic tapes. Tapes may be mailed or
delivered/received via messenger to /
from our New York or Chicago offices.
Tape input is free. Tape output charges
are the same as listed above for FTS.
Microfiche Service
Participants may request that
microfiche copies of activity and net
position reports be produced on a daily
basis. These microfiche reports are
distributed on the second day after
activity and can be used for
reconciliation and reference purposes.
Per microfiche card (Net Position
Report, Activity Report, Security
Glossary)--------------------------- $3.50/Card
Duplicate additional cards..»....~._..1.25/Card

Pass Through Charges (rebilled
expenses)
Pass through charges include but are
not limited to the following:
• Courier/shipping charges
• Telephone bills

• Communications equipment rental
• Transfer agent fees
• Tymnet communications usage
MSTC Participant Fund Deposit
MSTC requires an initial Participant
Fund deposit of $5,000. The initial
deposit MUST be in cash. Future MSTC
Participant Fund deposits may be
requested based upon a Participants
activity. Additional deposits will be
calculated as follows: 3 percent of the
daily average cash settlement entries.
Please refer to Midwest Securities
Trust company Article VI, rule 2, section
1 for a more detailed explanation of the
participant Fund.
Monthly Account Minimum
There is a monthly minimum for each
account Account minimums are
determined by the number of accounts
maintained at MSTC. Pass through
charges are in addition to the account
minimum.
1 account..................... .... ........... .. .... ...... $2,000
2 accounts------- .....— $1,500 for each account
3 accounts ...... .... — $1,000 for each account
4 or more accounts......... $750 for each account

Per microfiche card (Net Position
Report, Activity Report, Security
Glossary)....___ ___ __ ____ __$3.50/Card
Duplicate additional cards____ ___ 1.25/Card

Pass Through Charges {rebilled
expenses)
Pass through charges include but are
not limited to the following:
• Courier/shipping charges
• Telephone bills
• Communications equipment rental
• Transfer agent fpes
• Tymnet communications usage
MSTC Participant Fund Deposit
MSTC requires an initial Participant
Fund deposit of $5,000. The initial
deposit MUST be in cash. Future MSTC
Participant Fund deposits may be
requested based upon a Participants
activity. Additional deposits will be
calculated as follows: 3 percent of the
daily average cash settlement entries.
Please refer to Midwest Securities
Trust company Article VI, rule 2, section
1 for a more detailed explanation of the
participant Fund.

5040

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / N otices

Monthly Account Minimum
There is a monthly minimum for each
account. Account minimums are
determined by the number of accounts
maintained at MSTC. Pass through
charges are in addition to the account
minimum.
1 account.................................................... $2,000
2 accounts.................... $1,500 for each account
3 accounts.....................$1,000 for each account
4 or more accounts........$750 for each account
[FR Doc. 91-2951 Filed 2-6-91; 8:45 am]
BILLING CODE 8010-01-M

[Release No. 34-28843; File No. S R-PSE87-19]

Self-Regulatory Organizations; Pacific
Stock Exchange, Inc.; Order Approving
a Program Relating to the
Appointment of Specialist Units, the
Evaluation of Specialist Performance,
and the Allocation and Reallocation of
Specialty Stocks

I. Introduction and Administrative
History
A. Introduction
Pursuant to section 19(b) of the
Securities Exchange Act of 1934
(“Act”) 1 and Rule 19b-4 thereunder,2
the Pacific Stock Exchange, Inc. (“PSE”
or "Exchange”) filed with the Securities
and Exchange Commission
(“Commission” or "SEC”), on June 18,
1987, a proposed rule change to approve
permanently its specialist appointment
and evaluation pilot program. Notice of
filing of the proposed rule change and its
subsequent amendment w as provided
by the issuance of a Commission release
and by publication in the Federal
Register.3 The Commission received no
comments on the proposed rule change.4
115 U.S.C. 788(b) (1988).
* 17 CFR 240.19b-4 (1990).
s See Securities Exchange Act Release No. 24800
(August 14,1987), 52 FR 32372 (August 27,1987)
(notice of filing and order granting partial
accelerated approval of Amendment No. 1 to File
No. SR-PSE-87-19). The complete texts of the
original proposal and Amendment No. 1 are
available at the PSE's Office of the Secretary and at
the Commission's Public Reference Section.
. 4 Although the Commission did not receive any
comments in connection with File No. SR-PSE-8719, the Exchange did receive several comments from
its members in connection with its earlier related
filings. These comments were discussed in the
Commission releases accompanying the relevant
filings. See, e.g., Securities Exchange Act Release
No. 22720 (December 16,1985), 50 FR 52398
(December 23,1985) (notice of filing of File No. SRPSE-85-34); Securities Exchange Act Release No.
21578 (December 18,1984), 49 FR 50349 (December
27,1984) (order approving File No. SR-PSE-84-18);
and Securities Exchange Act Release No. 19555
(March 1,1983), 48 FR 9722 (March 8,1983) (order
approving File No. SR-PSE-82-15).

This order permanently approves the
pilot program.
B. Administrative History
The rules governing the Exchange’s
specialist appointment and evaluation
program were originally approved by
the Commission on a pilot basis on May
27,1981.® The pilot rules were amended
on March 1,1983,® and the Exchange
subsequently revised the guidelines
governing the evaluation measures
employed by the Exchange when
evaluating specialist performance.7
Furthermore, the operation of the
program has been extended eight times
since the expiration of the initial oneyear pilot period.8 Most recently, on July
16,1988,® the Commission extended the
pilot indefinitely until the Commission
completed its review of the PSE’s
specialist performance evaluation pilot
program in conjunction with other
securities exchanges’ similar
programs.10
5 See Securities Exchange Act Release No. 17818
(May 27,1981), 46 FR 30016 (June 4,1981) (order
granting accelerated approval to File No. SR-PSE81-05, as amended).
* See Securities Exchange Act Release No. 19555
(March 1,1983,48 FR 9722 (March 8,1983) (Order
approving File No. SR-PSE-82-15, amending and
extending the PSE's specialist appointment and
evlauation pilot program).
7 See Securities Exchange Act Release No. 22895
(February 12,1986), 51 FR 6190 (February 20,1986)
(order approving File No. SR-PSE-85-34, amending
and extending the PSE’s specialist appointment and
evaluation pilot program).
8 See, e.g.. See Securities Exchange Act Release
No. 25372 (February 18,1988), 53 FR 5670 (February
25,1988) (notice of filing and order granting
accelerated approval of File No. SR-PSE-87-32);
Securities Exchange Act Release No. 24800 (August
14,1987), 52 FR 32372 (August 27,1987) (notice of
filing and order granting partial accelerated
approval of Amendment No. 1 to File No. SR-PSE87-19); Securities Exchange Act Release No. 22895
(February 12,1986), 51 FR 6190 (February 20,1986)
(order approving File No. SR-PSE-85-34); Securities
Exchange Act Release No. 22513 (October 7,1985),
50 FR 41776 (October 15,1985) (notice of filing and
order granting partial accelerated approval of File
No. SR-PSE-85-29); Securities Exchange Act
Release No. 21078 (June 21,1984), 49 FR 26331 (June
27,1984) (notice of filing and order granting partial
accelerated approval of File No. SR-PSE-81-10);
Securities Exchange Act Release No. 19555 (March
1,1983), 48 FR 9722 (March 8,1983) (order approving
File No. SR-PSE-82-15); and Securities Exchange
Act Release No. 19385 (December 30,1982), 48 FR
918 (January 7,1983) (notice of filing and order
granting accelerated and temporary approval of File
No. SR-PSE-82-15).
8 See Securities Exchange Act Release No. 25943
(July 28,1988), 53 FR 29100 (August 2,1988) (notice
of filing and order granting accelerated approval of
File No. SR-PSE-88-13, extending the PSE’s
specialist appointment and evaluation pilot program
indefinitely).
10 For example, the Commission recently
approved similar proposed rule changes filed by the
New York Stock Exchange (“NYSE”), the American
Stock Exchange (“Amex”), the Midwest Stock
Exchange (“MSE”), and the Philadelphia Stock
Exchange ("Phlx”). See Securities Exchange Act
Release No. 27803 (March 14,1990), 55 FR 10740

II. Description of the Proposal
A. Introduction
The Exchange is proposing to adopt
on a permanent basis its pilot program
governing the appointment and
registration of specialists, the evaluation
of specialist performance, and the
allocation and reallocation of specialty „
stocks.11 Under the pilot program, PSE
Rule 5.27 governs the appointment and
registration of specialist units, while
Rule 5.37 generally governs the
evaluation of specialist performance and
the allocation and reallocation of
specialty stocks. In particular, Rules
5.27(d) and 5.37(a) establish three
measures of specialist performance: (1)
a National Market System (“NMS”)
quote performance measure, (2) a
Specialist Evaluation Questionnaire
Survey ("Questionnaire”), and (3) a
Securities Communication Order
Routing and Execution System
(“SCOREX”) limit order acceptance
performance measure. These three
performance measures are then utilized
by the Exchange’s Equity Allocation
Committee (“Allocation Committee”) 12
in its overall specialist evaluations. The
terms of the entire pilot program rules
are discussed below.
B. Appointment and Registration of
Specialist Units
PSE Rule 5.27 governs the
appointment and registration of
specialists. Subject to approval by the
Board, the Joint Equity Floor Trading
Committee (“Trading Committee”) 13
appoints registered specialists that
satisfy established criteria.14 In order to
(March 22,1990) (order approving File No. SRNYSE-68-32); Securities Exchange Act Release No.
27455 (November 22,1989), 54 FR 49152 (November
29,1989) (order approving File No. SR-Amex-8327); and Securities Exchange Act Release No. 27846
(March 26,1990), 55 FR 12084 (March 30,1990)
(order approving File No. SR-MSE-87-13).
11 Stocks are initially allocated on the PSE
pursuant to Article IV, section 5(b) of the
Exchange’s Constitution. In order to formalize its
current initial allocation procedures, the
Commission expects the PSE to submit to the
Commission as proposed rule changes the policies
and standards governing such allocations.
18 Article IV, section 5(a) of the PSE’s
Constitution establishes the composition and duties
of the Exchange’s Allocation Committee. The
Allocation Committee is comprised of floor
members or office and/or office allied members;
two persons associated with the same specialist
firm may not serve on the Allocation Committee at
the same time; specialists may not be on the
Committee.
18Article IV, Section 8 of the PSE’s Constitution
establishes the duties of the Exchange's Trading
Committee.
14 Specifically, an individual applying for
registration as a PSE specialist either (1) must have
served as a registered specialist on the Exchange
Continued

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices
qualify for registration as a specialist in
a security, a specialist applicant is
required to function in a market making
capacity at a specialist post on one of
the Exchange’s equity trading floors 15
for a minimum period of three months,
during which time the applicant must
perform primary market-making
activities in at least one issue.
The Exchange’s Allocation Committee
evaluates the applicant’s market-making
performance after the first 30 days of the
trial period and again 45 days later. The
performance review is based upon the
results of completed floor broker
Questionnaires and scores for NMS
quote performance and SCOREX limit
order acceptance performance,16 as
well as any w ritten comments solicited
or received from other floor members.17
Based upon its assessm ent of the
applicant specialist's performance
during the three month trial period, the
Allocation Committee makes a
recommendation to the Trading
Committee, which will then recommend
to the Board approval or disapproval of
the application for appointment as a
registered specialist.18

weights of 45%, 10%, and 45%,
respectively, and are then consolidated
into one overall rating.

1. National Market System Quote
Performance
The NMS quote performance rating
enables the PSE to evaluate objectively
a specalist’s ability to attract order flow
to the Exchange in dually-traded
securities. Under the current pilot
program, the Exchange assesses the
percentage of times in a given quarter
that a specialist’s bid and/or offer is
equal to or greater than the best bid or
offer in the consolidated quote system
for each dually-traded security.
A specialist is evaluated on the basis
of its ability to quote a 500 share market
or the equivalent of the primary market,
whichever is less, with a 200 share
minimum, 40% of the time.19 If the
percentage achieved by the specialist is
40% or more, the specialist receives a
100% rating [i.e., a perfect score) in this
measure of performance and is entitled
to the full 45 points in its overall score
(based on the relative weighting
factors). If, however, the percentage
C. Evaluation o f Specialist Performance obtained by the specialist is less than
40%, the percentage applied to the
PSE specialists are evaluated on a
weighting factor would be calculated by
quarterly basis by the Allocation
taking the percentage obtained and
Committee, using a combination of three
dividing it by 40%.2°
performance measures—NMS quote
2. Specialist Evaluation Questionnaire
performance results, SCOREX limit
Survey
order acceptance performance results,
and Questionnaire scores. The former
The Exchange requests all equity floor
two rating measures provide the
brokers to complete a Questionnaire
Exchange with objective d ata to
each quarter to assess the performance
evaluate specialist performance, while
for all specialists on the Exchange’s
the latter is a subjective measure of
equity trading floors.21 The current
specialist performance. Each specialist
receives a rating of 6-100% on each of
18 The PSE revised the guidelines for the NMS ■
the three measures of performance. The
Quote Performance rating in 1988. See supra note 7.
Under die earlier system, a specialist was evaluated
three separate ratings are accorded
within three years of the date of application, or (2)
within two years of the date of application, must
have worked as a market maker or floor broker on a
national securities exchange or in the over-thecounter market for a minimum of three months and
must achieve a passing grade of at least 80% on the
Exchange's written examination.
** The PSE maintains two equity trading floors—
one in Los Angeles, CA and the other in San
Francisco, CA.
18See infra Section U.C.
17 The three month performance review may be
waived by the Allocation Committee if it determines
that the specialist applicant possesses sufficient
knowledge, skill, and experience with regard to
specialist functions and activities that it may
immediately recommend approval of the member's
application to die Trading Committee.
18 If die Trading Committee intends to
recommend disapproval of the member's
application to the Board, it must provide the
applicant with prior written notice of its intentions.
The notice must explain the basis of the Trading
Committee’s decision, as well as notify the
applicant of his right to a hearing on the evaluation
of his performance. See PSE Rule 5.27 (f)—(k).

on the basis of his quoting a 200 share market 50%
of the time. See File No. SR—
PSE—
85-34. See also
letter from Kenneth }. Marcus, Senior Staff
Attorney, Equity Compliance, PSE, to George
Scargle, Staff Attorney, Division of Market
Regulation, SEC, dated May 31,1990.
80 For example, if in a given quarter a specialist
achieves a rating of 32% on its NMS quote
performance results, then the specialist's bid and/or
offer was equal to or better than the primary market
bid and/or offer 32% of the time for the relevant
quarter. The score of 32 divided is then divided by
40, which equals 80%. The Exchange would then
multiply the 80% ratio by a factor of 45 [i.e., the
maximum score the specialist can receive for this
performance measure), which is equal to 36. Thus,
of the maximum 45 points for this measure, the
specialist would be credited with a total of 38
points.
81 A specialist Questionnaire may be completed
by a PSE equity floor broker subject to die following
conditions: (1) The broker must have traded with
the specialist on a regular basis during die calendar
quarter for which the survey is being conducted; (2)
the broker must believe that he can objectively
answer the survey questions and fairly evaluate the
specialist's performance (if he concludes he cannot
do so, he is permitted to refrain from responding to

5041

Questionnaire is composed of four
questions designed to evaluate
specialist market-making functions on a
regional securities exchange, including
the communication of permissible
market information, administrative
functions related to executed trades, fair
and efficient order handling, and market
quality as measured by depth,
continuity, and other measures of a fair
and orderly m arket
The Questionnaire explains that each
question is graded on a scale of 1 to 10
[i.e., weak to outstanding). In addition,
the Exchange solicits comments from
the floor broker(s) evaluating a specalist
where the broker assigns the specialist a
grade of 1-2 or 9-10.22 Each question is
rated on an equal scale in determining
the total score. The total Questionnaire
score for each specialist is determined
by calculating the number of points
received as a percentage of the
maximum points possible. The
maximum points possible are calculated
on the basis of questions answered in
order to avoid penalizing a specialist in
cases where responses are not received.
The Exchange transmits to member
firms the survey scores of all specialists
on the appropriate trading floor,
including the firm’s own registered
specialist(s), in order to provide
specialist firms with the opportunity to
compare its specialist’s or specialist’s
performance to that of other specialists
on the trading floor.28
3. SCOREX Limit Order Acceptance
All specialists are required to accept a
percentage of SCOREX limit orders to
receive points for this measure of
performance. PSE specialists are graded
on a sliding scale according to their
performance in accepting SCOREX limit
orders. Specialists receive points
any question for which he feels he cannot provide
an objective answer); (3) the broker must agree to
provide the Allocation Committee, in confidence,
with explanations of his answers; (4) the broker is
advised that his answers are confidential; (5) the
broker is requested to consider only trading activity
occurring within the quarter for which the
evaluation is being prepared; (8) the broker may not
be affiliated with the same firm as a specialist for
which he is completing die evaluation; and (7) the
broker is informed of the purposes of the survey,
i.e., to improve specialist performance and
reallocate stock if a specialist's performance is
determined to be inadequate. See File No. SRPOSE-85-34.
88 The Exchange provides an additional blank
page for comments and suggestions for improving
the quality of the posts.
88 With the exception of die firm’s own
specialises). the Questionnaire scores provided to
the firms do not reveal the identity of the specialist
receiving the scores. See Securities Exchange Act
Release No. 19555 (March 1.1983). 48 FR 9722
(March 8,1983), note 4 (order approving File No.
SR-PSE-82-15).

5042

Federal Register / Vol. 56, No. 26 / T h u rsd ay , F eb ru ary 7, 1991 / N otices

monthly on a scale of one to five (1-5)
based upon their percentage of SCOREX
acceptance above 70%.24 The
accumulation of points in each of the
three months in any given quarter is
added to obtain a total score for this
measure, which then makes up 10% of
the overall performance score.28
D. Substandard Specialist Performance
Reallocations
The PSE has adopted standards to
evaluate specialist performance, set
forth in PSE Rule 5.37, that would
identify specialists whose performance
w as particularly poor relative to the
performance of other specialists. Each
specialist receives an overall evaluation
score each quarter from the Allocation
Committee based upon NMS quote
performance, the results of the floor
broker Questionnaire, and SCOREX
limit order acceptance performance.
Under the PSE’s performance evaluation
standards, any specialist whose
performance is ranked in the bottom
10% of all registered specialists on the
trading floor as determined by the
overall evaluation scores of all
specialists is subject to a performance
improvement action, and, potentially,
reallocation proceedings.
A specialist who is ranked in the
bottom 10% of all specialists in any one
quarter will be deemed to have
performed unsatisfactorily and will be
requested 28 to meet informally with the
Allocation Committee or a designated
panel thereof for purposes of discussing
the specialist’s evaluation scores, to
discuss any mitigating factors that could
account for the substandard
performance, and to develop remedial
measures designed to improve the
specialist’s performance.27
84 Thus, a score below 70%=zero; 70%-75%=l
point; 76%-81%=2 points; 82%-87%=3 points; 88%93%=4 points; and 94%-100%=5 points. See File No.
SR-PSE-85-34.
as For example, if in a given quarter a specialist
earns a maximum number of 15 points for its
SCOREX limit order acceptance performance, the 15
points would translate into 10% of the overall
performance score. See letter from Kenneth J.
Marcus, Senior Staff Attorney, PSE, to George
Scargle, Staff Attorney, SEC, Division of Market
Regulation, dated May 31,1990.
84 If, after receiving the requisite notice, a
registered specialist refuses or otherwise fails
without reasonable justification to meet with
members of the Allocation Committee, the
Allocation Committee may take appropriate action
to enforce compliance, including the commencement
of formal disciplinary proceedings pursuant to Rule
10 of the Exchange's rules.
87 During the meeting, the specialist is afforded
an opportunity to comment on the Allocations
Committee's evaluation of its performance, any
mitigating factors that would account for its
performance, and any other facts or information
relevant to the specialist's overall scores. One of the
mitigating circumstances the Allocation Committee

If a specialist is ranked in the bottom
10% of all other registered specialists on
his trading floor during any two out of
four consecutive quarterly evaluations,
the specialist is deemed to have
performed below acceptable standards
and is requested 28 to appear a second
time before the Allocation Committee,
or a designated panel thereof, to explain
his performance.29 If the specialist
adequately demonstrates that there are
mitigating circumstances that either
account for its substandard performance
or demonstrates that it has substantially
improved its scores relative to the two
most recent scores, no formal
reallocation proceedings would be
commenced.
On the other hand, if the specialist
fails to convince the Allocation
Committee that mitigating
circumstances exist that demonstrate
substantial improvement of or
reasonable justification for the
specialist’s most recent evaluation
score, the Allocation Committee would
commence formal reallocation
proceedings.80 If formal reallocation
proceedings are commenced, the
Allocation Committee and the specialist
have the right to be represented by
counsel and to have technical
consultants present at the hearing.31
can consider is whether the specialist received a
score of 80 or above on the overall evaluation.
Telephone conversation between David Semak,
Vice President, Regulation, PSE, and Howard
Kramer, Assistant Director, Division of Market
Regulation, SEC, on November 20,1990. See also
letter from David Semak to Howard Kramer, dated
November 2,1990. Prior to the meeting’s close, the
specialist is informed of the consequences of it
continued unsatisfactory performance, including the
potential reallocation of specialty stocks. Because
the meeting is informal, counsel for both the
Allocation Committee and the registered specialist
are excluded, and formal rules of evidence do not
apply.
88 If, after receiving the requisite notice a
registered specialist refuses or otherwise fails
without reasonable justification to meet informally
with members of the Allocation Committee, the
Allocation Committee may take appropriate action
to enforce compliance, including the commencement
of formal disciplinary proceedings pursuant to Rule
10 of the Exchange’s rules and/or the
commencement of formal proceedings for the
evaluation of specialist performance.
80 The Allocation Committee is required to
maintain detailed minutes of the informal meeting
and is required to include in the minutes the
Committee's Endings and the basis and rationale for
its decision to commence or not to commence
formal reallocation proceedings.
80 The Allocation Committee also has the
authority to bypass the second informal proceeding
and commence formal reallocation proceedings
after a specialist’s second quarter of substandard
performance within a rolling twelve-month period.
PSE Rule 5.37.
91 The Allocation Committee is required to
provide written notice to the specialist of the basis
for its determination that his performance is
unacceptable, of his right to a hearing on his
performance evaluation, and of his right to obtain

After the Allocation Committee
determines to reallocate a specialist’s
stock, it will identify which stock(s) are
to be reallocated. This selection process
involves, among other things, a
preliminary decision as to whether the
Allocation Committee will reallocate an
issue solely traded on the PSE or a
dually-traded issue. In each instance the
Allocation Committee’s decision
involves a review of the performance
data included in the hearing record.
Subject to the affected specialist’s right
of appeal and possible Board review,
the Allocation Committee’s decision to .
reallocate specialty stock(s) becomes
final ten days after the affected
specialist is notified of the decision.
III. Discussion
The Commission has considered
carefully the terms and operation of the
PSE’s specialist appointment and
evaluation and specialist post expansion
pilot program, and finds, for the
following reasons, that the Exchange’s
proposal is consistent with the
requirements of the Act and the rules
and regulations thereunder applicable to
a national securities exchange.32
The Commission strongly supports
efforts by the PSE to encourage quality
specialist performance through its
specialist appointment and performance
evaluation process.33 In this regard, the
PSE’s proposal is designed to ensure fair
and impartial evaluations of specialist
performance on the Exchange, The
Exchange’s development of quasi­
relative standards of specialist
performance enhances the effectiveness
of the PSE’s program. Although true
relative performance standards are the
preferable means to evaluate the
comparative performance of specialists
Board review of the Allocation Committee’s
decision to terminate his registration as a specialist
or to reallocate any stock(s). A transcript must be
kept of the hearing proceedings.
98 The Commission incorporates by reference its
earlier discussions in the relevant releases
accompanying all aspects of the' pilot program. See
supra notes 4-8.
98 The Commission notes that the PSE currently is
conducting an extensive review of its specialist
evaluation program and will submit the changes to
the Commission as a proposed rule change when its
review is completed. One of the changes the PSE
plans to make to its specialist evaluation program is
the addition of another objective standard of
market-making performance. PSE also plans to
revise the weighting of its measures of specialist
performance. See letter from David Semak, Vice
President, Regulation, PSE, to Howard Kramer,
Assistant Director, Division of Market Regulation,
SEC, dated November 2,1990. The PSE also has
agreed to consider adding a rule that would allow
the immediate reallocation of a specialist's stock in
egregious situations. Telephone conversation
between David Semak and Howard Kramer,
November 20,1990.

Federal Register / Vol. 56, No. 28 / Thursday, F ebruary 7, 1991 / N otices
on a national securities exchange,34 the
PSE’8 quasi-relative standards are a
positive step in the direction.
Likewise, the Exchange’s use of both
subjective and objective measures of
specialist performance to monitor and
identify those specialists whose
performance, either on an isolated or
continuous basis, falls below acceptable
standards contained in the Exchange’s
review procedures results in a more
comprehensive and meaningful
evaluation program. As described
above, the PSE proposes to use two
objective measures of specialist
performance: NMS quote performance
and SCOREX limit order acceptance
performance.36 The Commission
believes that the NMS quote
performance measure should help the
Allocation Committee to evaluate the
ability of specialists to quote a
meaningful and competitive market in
dually-traded securities. Similarly, the
Commission believes that the SCOREX
limit order acceptance measure should
help the Allocation Committee to
evaluate the performance of PSE
specialists in executing limit orders in
dually-traded stocks.36
With respect to the Exchange’s
subjective measure of specialist
performance, the floor broker
Questionnaire, the Commission believes
that such specialist evaluation
questionnaires completed by floor
brokers, which have been accepted
industry-wide with Commission
34 The Commission has long encouraged the
adoption of relative performance measures by all
stock exchanges, i.e., performance measures that
automatically subject specialists that fall below a
predetermined threshold of performance to a special
performance review by the appropriate exchange
authority. See, e.g„ SEC, Division of Market
Regulation, The October 1987 Market Break
(February 1988) (“Market Break Report”), at xvii
and 4-28 to 4-29.
85 As stated above, the Commission has long
favored the incorporation of objective
measurements into the specialist evaluation process
as a supplemental performance measure to the floor
broker evaluations. See Market Break Report at
xvii; Securities Exchange Act Release No. 25861
(May 9,1988), 53 FR17287 (May 16,1988) (order
approving File No. SR-NYSE-87-25, revisions to the
NYSE’s specialist performance evaluation and
improvement process); Securities Exchange Act
Release No. 27455 (November 22,1989), 54 FR 49152
(November 29,1989) (order approving File No. SRAmex-83-27, an Amex proposal relating to equity
specialist performance, allocation, and reallocation
procedures); and Securities Exchange Act Release
No. 27846 (March 28,1990), 55 FR 12084 (March 30,
1990) (order approving File No. SR-MSE-87-13, MSB
modifications to co-specialist evaluation
questionnaire).
88 As stated supra, the PSE plans to add another
objective market-making standard to its specialist
evaluation program. The Commission encourages
the PSE to develop further objective measurements
as a supplement to its Questionnaire.

approval,37 are a valuable source of
information for purposes of evaluating
specialist performance and allocating
and reallocating specialty securities.
The Commission notes that floor brokers
have direct and frequent interaction
with specialists, and thus are especially
qualified to rate specialist performance.
Moreover, the fact that their ratings are
"subjective” does not diminish the
credibility of floor brokers as
evaluators. The Questionnaire
addresses the bias inherent to situations
where a floor broker would be rating the
performance of a specialist affiliated
with his firm through the automatic
exclusion of these ratings from a
specialist’s performance evaluation.
Additionally, the wording of the
Questionnaire is sufficiently precise and
understandable to provide clear
guidance to floor brokers and
specialists. Given the mixture of
securities traded on the PSE floor, the
questions cover the main functions of a
regional exchange specialist—dealer,
broker, and customer service
functions—and the Commission believes
that the content of the Questionnaire is
a fair measurement of specialist
performance.38
87 See, e.g„ Securities Exchange Act Release No.
27846 (March 26,1990), 55 FR 12084 (March 30,1990)
(order approving File No. SR-MSE-87-13, a
proposed rule change relating to modifications to
the MSE's co-specialist evaluation questionnaire);
Securities Exchange Act Release No. 27875
(February 5,1990), 55 FR 4922 (February 12,1990)
[order approving File No. SR-NYSE-89-32, a
proposed rule change relating to revisions in the
NYSE’s Specialist Performance Evaluation
Questionnaire (“SPEQ”)]; Securities Exchange Act
Release No. 27656 (January 30,1990), 55 FR 4298
(February 7,1990) (order approving File No. SRBSE-90-01, a proposed rule change extending the
specialist performance evaluation pilot program on
the Boston Stock Exchange); Securities Exchange
Act Release No. 27455 (November 22,1989), 54 FR
49152 (November 29,1989) (order approving File No.
SR-Amex-83-27, a proposed rule change relating to
equity specialist performance, allocation and
reallocation procedures on the Amex); and
Securities Exchange Act Release No. 25388
(February 23,1988), 53 FR 6725 (March 2,1989)
(order indefinitely extending File No. SR-Phlx-8742, a proposed rule Change relating to pilot rules
governing specialist appointments, allocations,
evaluations, reallocations, and equity books and
options classes transfers).
88 As noted supra, the PSE currently is conducting
a review of its specialist evaluation program. As
part of that review, the PSE is considering changes
to the Questionnaire. While the Commission
believes that the four questions on the current
Questionnaire provide an adequate measure of
specialist performance, the Commission believes
that the PSE should examine whether additional
questions should be developed in order to examine
more comprehensively the functions of a regional
exchange specialist. Any such changes would have
to be submitted to the Commission for review along
with the other revisions to the specialist evaluation
program pursuant to Section 19(b) of the Act

5043

The combination of the Questionnaire
and the NMS quote performance and
SCOREX limit order acceptance
measures of specialist performance
should identify performance weakness
by specialists and should be useful to
motivate specialists to improve their
performance. Moreover, the Commission
believes that these three measures
reflect the obligations of a specialist on
a regional securities exchange. Thus, the
Commission finds these three measures
are satisfactory means of performance
evaluation and thus are consistent with
the Act.
The Commission also believes that the
PSE’s proposal adequately provides fair
procedures for specialists subject to a
performance improvement action and/or
reallocation. The reallocation
procedures set forth in Rule 5.37 of the
PSE’s rules provide adequate notice to
specialists of possible courses of
Allocation Committee action for
repeated instances of poor performance.
Moreover, the Rule 5.37 formal
reallocation procedures provide
sufficiently detailed procedures with
adequate safeguards—including the
right to be represented by counsel and
to have technical consultants present at
the hearing, the maintenance of written
hearing transcripts, an opportunity to
appear before the Allocation Committee
to present their case, and a right of
appeal to the Exchange’s Board—that
must be followed before a specialty
stock is reallocated for unsatisfactory
performance.
Furthermore, the Commission believes
that the Exchange’s specialist
evaluation, allocation and reallocation
procedures can serve as an effective
incentive for specialist units to maintain
high levels of performance and market
quality in order to be considered for,
and ultimately awarded, additional
listings.39 This in turn can benefit the
88 The Commission continues to believe that the
key criterion for allocating stocks to specialist units
should be specialist performance as measured by
the Questionnaire and objective performance
measures. This will not only help ensure that stocks
are allocated to the top specialists who will make
the best markets, but should also provide an
incentive for improved specialist performance. See
Securities Exchange Act Release No. 27803 (March
14,1990), 55 FR 10740 (March 22,1990) (order
■approving File No. SR-NYSE-88-32). The PSE stated
that this has been the PSE's practice for years when
allocating and reallocating stocks. The Exchange
has represented that it will submit a proposed rule
change to the Commission that codifies its existing
policy of regarding performance as the predominant
key component in the allocation and reallocation of
specialty stocks. See letter from David P. Semak,
Vice President Regulation, PSE, to Howard Kramer,
Assistant Director, SEC, Division of Market
Regulation, dated November 2,1990.

5044

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / N otices

execution of public orders and promote
competition among exchanges. The
Commission fully supports the PSE’s
efforts to develop meaningful and
effective specialist evaluation,
allocation, and reallocation procedures.
H ie Commission believes that the
PSE’s specialist appointment guidelines
are appropriate. In particular, the
Commission believes that Allocation
Committee consideration of the floor
broker Questionnaire, as well as the
applicant’s NMS quote performance and
SCOREX limit order acceptance
performance, should ensure that the
Trading Committee reviews a broad
range of factors in determining whether
an applicant should be aw arded a
specialist franchise. In addition, the
Commission believes that the PSE’s
rules establish fair specialist
appointment procedures, including a
right of appeal to the Exchange’s Board,
which provide specialist applicants with
adequate procedural safeguards.
Accordingly, after careful
consideration, the Commission believes
that the PSE’s proposal to adopt
permanently its revised specialist
appointment, evaluation, and
reallocation procedures is consistent
with the Act. In particular, the
Commission believes that the
Exchange’s specialist evaluation
procedures should provide the Exchange
with an accurate and fair mechanism to
identify and correct poor specialist
performance.40 The Commission also
believes the PSE's specialist
appointment procedures provide the PSE
with a clear, adequate, and fair means
to appoint specialists on the Exchange’s
equity trading floors. Finally, the
Commission notes that it has not
received one single comment in
response to the relevant Federal
Register notices on any aspect of the
pilot program in the entire ten years of
the pilot’s operation.41
For the reasons discussed above, the
Commission finds that the proposed rule
change is consistent with the
requirements of Section 6 of the Act and
the rules and regulations thereunder
applicable to a national securities
exchange. In particular, the Commission
finds that the proposed rule change is
consistent with section 6(b)(5) of the
40 The PSE has provided the Commission with
data regarding the operation of its specialist
evaluation program. The Commission has reviewed
the date in light of the proposal by the PSE for
permanent approval of its specialist allocation and
evaluation rules. Based on the information provided
during the pilot program, the Commission believes
that the PSE’s proposed rules for specialist
evaluation provides an adequate regulatory
framework for identifying, and responding to, poor
specialist performance.
41 But see note 4 supra.

Act,42 in that it is designed to promote
just and equitable principles of trade
and strengthen the Exchange’s specialist
system as well as further investor
protection and the public interest in fair
and orderly auction markets on national
securities exchanges.
IV. Conclusion
The Commission has reviewed
carefully the proposed rule change and
has concluded that it provides for
adequate and proper evaluation
procedures for purposes of identifying
and correcting poor specialist
performance and for purposes of
rewarding superior specialist
performance. Accordingly, the
Commission finds that the proposed rule
change is consistent with the
requirements of the Act and the rules
and regulations thereunder and, in
particular, the requirements of Section
6.43

It is therefore ordered, pursuant to
section 19(b)(2) of the Act,44 that the
proposed rule change (SR-PSE-67-19)
be, and hereby is, approved.
For the Commission, by the Division of
Market Regulation, pursuant to delegated
authority.4*
Dated: February 1,1991.
Margaret H. McFarland,

Deputy Secretary.
[FR Doc. 91-2958 Filed 2-9-91; 8:45 am]
BILLING CODE

WtG-01-M

[Release No. 34-28838; File No. SR-PHLX

SO-23]
Self-Regulatory Organizations;
Proposed Rule Change by the
Philadelphia Stock Exchange, Inc.
Relating to Dual Affiliations of Floor
Members and Other Market
Participants

Pursuant to section 19(b)(1) of the
Securities Exchange Act of 1934 ("Act”).
15 U.S.C. 783(b)(1), notice is hereby
given that on July 31,1990, the
Philadelphia Stock Exchange, Inc.
(“PHLX” or "Exchange”) filed with the
Securities and Exchange Commission
(“Commission”) the proposed rule
change as described in Items I, II and III
below, which Items have been prepared
by the self-regulatory organization. The
Commission is publishing this notice to
solicit comments on the proposed rule
change from interested persons.
4* 15 U.S.C. 78f(b)(5) (1988).
4*15 U.S.C. 78f (1988).
44 15 U.S.C. 78s(b)(2) (1988).
4* See 17 CFR 200.30-3(a)(12) (1890).

I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The PHLX, pursuant to Rule 19b-4 of
the Act, proposes a new Options Floor
Procedure Advice ("OFPA”), “F-9 Dual
Affiliations,” based on existing PHLX
Rules 793,1014,1020 and 1064(c). The
following constitutes the text of the
proposed OFPA F-9 and accompanying
fine schedule.
F-9 Dual Affiliations
Dual Affiliations must be filed in writing
with the Exchange's Office o f the Secretary
as provided by Exchange Rule 793.
Additionally, floor members/participants fot
whom dual affiliation filings are necessary
shall adhere to the following requirements:
(i) A copy of the dual affiliation filing
required by the Office o f the Secretary shall
include an explanation o f all agreed upon
forms o f compensation between either dual
affiliate firm and the individualfloor
member/participant and between the two
firms. In each case where softdollar
compensation is made, a good faith dollar
value shall be estimated by the firms.
(ii) A Registered Options Trader is
prohibited from receiving communications
about trading interests or orders from an
affiliated floor broker’s customers prior to
the respective trading crowd receiving the
same information. In this regard, the
Registered Options Trader is prohibited from
answering telephones at the affiliate’s post,
except that he may access a telephone at the
post to communicate with associates o f his
Registered Options Trading firm.
(iii) Any exchange o f interests to trade
between a Registered Options Trader or his
firm and an affiliated floor broker firm will
require that the same information be
provided to the respective trading crowd and
shall also require that the crowd be advised
that the order is presented for execution
under Rule 1964(c}—Solicited Orders.
Fine Schedule
1st Occurrence $250.00
2nd Occurrence $500.00
3rd Occurrence Sanction is discretionary
with Business Conduct Committee

II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Propoosed Rule
Change
In its filing with the Commission, the
self-regulatory organization included
statements concerning the purpose of,
and statutory basis for, the proposed
rule change and discussed any
comments it received on the proposed
rule change. The text of these
statements may be examined at the
places specified in Item IV below. The
self-regulatory organization has
prepared summaries, set forth in section
(A), (B), and (C) below, of the most
significant aspects of such statements.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices
A. Self-Regulatory Organization’s
Statement o f the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
Part (i) of the proposed OFPA F-9 is
based on PHLX Rule 793, which
prohibits certain members and
participants from maintaining dual or
multiple affiliations without disclosure
to the Exchange and approval in writing
from each member or participant
organization affected. Moreover, Rule
793 provides that “the Exchange may
disapprove multiple affiliations which
are inconsistent with Exchange
standards of financial responsibility,
operational capability, or compliance
responsibility." Furthermore,
Commentary .01 to Rule 793 requires a
member or participant organization to
file with the Office of the Secretary of
the Exchange notice of a multiple
affiliation detailing the business purpose
of this arrangement, the person at each
organization who will supervise the
conduct of the dually affiliated member/
participant for compliance with PHLX
by /law s and rules, and sufficient
information for the Exchange to
determine whether one person registers
with more than one organization. The
notice also must contain each
organization’s written approval of the
affiliation.
The PHLX hereby proposes that the
submissions made pursuant to Rule 973
will disclose all agreed upon forms of
compensation between each affiliate
firm and the individual, as well as
between the two firms. Where
“softdollar” compensation is made, the
Exchange proposes to require that a
good faith dollar value be estimated.
The PHLX beleives that the additional
disclosure of compensation
arrangements will assist in the
determination of whether a multiple
affiliation is inconsistent with Exchange
standards of financial responsibility,
operational capability, and compliance
responsibility as enumerated in Rule
793. More specifically, the PHLX
believes that the form and amount of
compensation related to a multiple
affiliation is a critical aspect of
determining whether a conflict of
interest exists.
PHLX Rule 1014 provides that
specialists and Registered Options
Traders ("ROTs”) are assigned to
certain options classes and charged with
the duty to maintain fair and orderly
markets in those options classes. In
order to ensure compliance with this
mandate, the PHLX has imposed certain
trading requirements. Rule 1014(e)
prohibits a ROT from initiating an
options transaction while on the floor in

any account in which he has an interest
and executing as a floor broker an offfloor order in options on the same
underlying interest during the same
trading session.
Pursuant to the grant of authority in
Rule 1014(e), which prohibits a ROT
from simultneously acting as a floor
broker, the PHLX proposes to adopt part
(ii) of the Options Floor Procedure
Advice. The PHLX believes that a
prohibition against the communieation
of trading interests and customer orders
between affiliated ROTs and floor
brokerage units is necessary to the
maintenance of a fair and orderly
market. Specifically, in order to ensure
that no such communication occurs, the
proposed Advice prohibits a ROT from
receiving communications about trading
interests or orders from an affiliated
floor broker’s customers prior to the
respective trading crowd receiving the
same information and from answering
telephones at an affiliate’s post, except
to contact his own Registered Options
Trading firm. Part (ii) of the proposed
Advice w as specifically intended to
thw art the following situation: a floor
broker who is "hired” by a ROT firm to
act as a ROT but continues to execute
floor brokerage for his initial firm.
Accordingly, this aspect of the proposed
Advice serves as a “Chinese W ail”
provision, similar to those enumerated
in Rule 1020.
Part (iii) of OFPA F-9 provides that
the trading crowd be informed of any
exchange of interests to trade between a
ROT and an affiliated floor brokerage
unit. This provision is based on PHLX
Rule 1064(c) relating to solicited orders.
Rule 1064(c) provides that when an
order is presented to the trading crowd
which arose out of an expression of
trading interests between two brokerdealers away from the crowd, the
solicited order must be shown to the
crowd along with any information given
to the solicited member. Additionally,
the participants in the trading crowd
must be given a reasonable opportunity
to respond to the order. The Advice
proposes that an exchange of interests
between a ROT and an affiliated floor
brokerage firm triggers application of
Rule 1064(c). Therefore, the Advice
proposes that the same information that
is exchanged between the two
participants be communicated to the
trading crowd. The PHLX believes that
applying the provisions relating to
solicited orders to such dually affiliated
ROTs and floor brokers is necessary to
ensure that these transactions are
executed pursuant to just and equitable
principles of trade.

5045

B. Self-Regulatory Organization’s
Statement on Burden on Competition
The PHLX does not believe that the
proposed rule change will impose any
burden on competition.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received from
Members, Participants, or Others
No written comments were either
solicited or received.
m . D ate o f E ffectiv en ess o f the
P roposed R ule C hange and Tim ing for
C om m ission A ction

Within 35 days of the date of
publication of this notice in the Federal
Register or within such longer period (i)
as the Commission may designate up to
90 days of such date if its finds such
longer period to be appropriate and
publishes its reasons for so finding or (ii)
as to which the self-regulatory
organization consent, the Commission
will:
(a) By order approve such proposed
rule change, or
(b) Institute proceedings to determine
whether the proposed rule change
should be disapproved.
IV . S o licitation o f C om m ents

Interested persons are invited to
submit written data, views and
arguments concerning the foregoing.
Persons making written submissions
should file six copies thereof with the
Secretary, Securities and Exchange
Commission, 450 Fifth Street, NW.,
Washington, DC 20549. Copies of the
submission, all subsequent amendments,
all w ritten statements with respect to
the proposed rule change that are filed
with the Commission, and all written
communications relating to the proposed
rule change between the Commission
and any person, other than those that
may be withheld from the public in
accordance with the provisions of 5
U.S.C. 552, will be available for
inspection and copying in the
Commission's Public Reference Section
450 Fifth Street, NW., Washington, DC
Copes of such filing will also be
available for inspection and copying at
the principal office of the abovementioned self regulatory organization.
All submissions should refer to the file
number in the capiton above and should
be submitted by [insert date 21 days
form the date of publication].
For the Commission, by the Division of
Market Regulation, pursuant to delegated
authority.

5046

Federal Register / Voi. 56, No. 26 / Thursday, February 7, 1991 / Notices

Dated: January 30,1991.
Margaret H. McFarland,

Deputy Secretary.

[FR Doc. 91-2952 Filed 2-0-91; 8:45 am]
BILLING CODE 8010-01-M

[Rei. No. IC-17972; 812-7608]

The Advantage Government Securities
Fund, et ai.

Securities and Exchange
Commission (“SEC” or “Commission”).
a c t i o n : Notice of application for
exemption under the Investment
Company Act of 1940 (“1940 Act”).
AG ENCY:

The Advantage
Government Securities Fund, The
Advantage Growth Fund, The
Advantage High Yield Bond Fund, The
Advantage Income Fund, The
Advantage Special Fund (the “Funds”),
and Boston Security Counsellors, Inc.
RELEVA N T 1040 A C T SECTIONS: Order
requested under section 17(d) and rule
17d-l thereunder.
SUM M ARY O F APPLICATION: Applicants
seek an order to permit the Funds to
deposit uninvested cash balances into a
single joint account to be used to enter
into repurchase agreements.
FILING DATE: The application w as Hied
on October 10,1990 and amended on
January 2,1991.
APPLICANTS:

HEARING OR NOTIFICATION O F HEARING:

An order granting the application will be
issued unless the SEC orders a hearing.
Interested persons may request a
hearing by writing to the SEC’s
Secretary and serving applicants with a
copy of die request, personally or by
mail. Hearing requests should be
received by the SEC by 5:30 p.m. on
February 26,1991, and should be
accompanied by proof of service on the
applicants, in the form of an affìdavit 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 may request notification of a
hearing by writing to the SEC’s
Secretary.
AD D R ESSES: Secretary, SEC, 450 5th
Street NW., Washington, DC 20549.
Applicants, 60 State Street, Boston,
M assachusetts 02109.
FOR FURTHER INFORMATION CO N TA CT:

Felice R. Foundos, Staff Attorney, at
(202) 272-2190, or Jeremy N. Rubenstein,
Branch Chief, at (202) 275-3030 (Division
of Investment Management, Office of
Investment Company Regulation).
SUPPLEM ENTARY INFORMATION: The
following is a summary of the
application. The complete application

may be obtained for a fee at the SEC’s
Public Reference Branch.
Applicants’ Representations
1. The Funds are registered open-end
diversified management investment
companies. Boston Security Counsellors,
Inc. (the “Adviser”) is the investment
adviser to the Funds. Each Fund is
authorized to invest in repurchase
agreements.
2. The Funds often have uninvested
cash balances in their accounts at their
custodian bank that otherwise are not
invested in portfolio securities. Such
assets generally are invested in short­
term liquid assets, including repurchase
agreements. Presently, the Adviser must
purchase such instruments separately on
behalf of each Fund, which results in
certain inefficiencies, increased costs,
and limitations on the return that the
Funds otherwise could achieve.
3. Applicants propose to deposit the
uninvested cash balances remaining at
the end of each trading day into a single
joint account, the daily balance of which
will be used to enter into short-term
repurchase agreements. The joint
account will not be distinguishable from
any other account m aintained by a Fund
with the custodian bank except that
monies from each Fund could be
deposited in the custodian bank on a
commingled basis. The account will not
have any separate existence that will
have indicia of a separate legal entity.
The sole function of the account will be
to provide a convenient w ay of
aggregating w hat otherwise would be
one or more individual daily
transactions for each Fund. Applicants
believe that each Fund’s liability on any
repurchase agreement purchased by the
joint account will be limited to its
interest in the repurchase agreement.
4. The Adviser will have no monetary
participation in the joint account but
will be responsible for investing Fund
assets in the account, establishing
accounting and control procedures,
ensuring the equal treatment of each
Fund, and ensuring that the assets of the
Funds are held under proper bank
custodial procedures. Each Fund will
participate in the joint account on the
same basis as every other Fund and in
conformity with its fundamental
investment objectives and policies.
5. In connection with the use of
repurchase agreements, each of the
Funds has established the same systems
and standards. These include quality
standards for issuers of the repurchase
agreements and the requirement that the
repurchase agreements be at least 100%
collateralized at all times.
6. Applicants represent that any
repurchase agreement transactions

entered into through the joint account
will comply with any existing and future
positions taken by the Commission or its
staff by rule, release, letter or otherwise
relating to repurchase agreement
transactions.
Applicants* Legal Analysis
1. Appliclants submit that each Fund
participating in the proposed joint
account and the Adviser could be
deemed a joint participant within the
meaning of section 17(d) of the 1940 Act
and that the proposed joint account
could be deemed a joint enterprise or
other joint arrangement within the
meaning of rule 17d-l under the 1940
Act.
2. Applicants represent that the joint
account will save the Funds certain
transaction fees, allow the Funds to
negotiate higher rates of return, and
reduce the possibility of errors by
reducing the number of trades.
3. The board of trustees or board of
directors of each fund has considered
the proposed joint account and has
determined that:
(a) The Fund will benefit by
participating in the joint account,
(b) The proposed method of operating
the joint account will not result in any
conflict of interest among the joint
participants,
(c) The benefits to the Adviser
through reduced administrative costs
and duties are incidental to the benefits
to each Fund of higher returns and a
more efficient means to administer
investment transactions, and
(d) The operation of the joint account
will be free of any inherent bias favoring
one Fund over another.
4. Applicants believe that future
participation in the joint account by one
or more new series of the Funds and
new investment companies for which
the Adviser serves as investment
adviser is desirable. Such future series
or investment companies will be
required to participate in the joint
account on the same terms and
conditions as the Funds have set forth
herein.
Applicant’s Condition
As an express condition of obtaining
an exemptive order, applicants agree
that the proposed joint account will
operate subject to the following
procedures:
1. A separate cash account will be
established at the custodian bank into
which each participating Fund will
deposit its daily uninvested net cash
balances. Each fund that has as a
custodian a bank other than the bank at
which the proposed joint account is

Federal Register / V ol. 56, No. 2d / Thursday, February 7, 1991 / Notices
m aintained and that wishes to
participate in the joint account will
appoint the latter bank as a sub­
custodian for the limited purpose of
receiving cash for deposit into the
proposed joint account.
2. Cash in the joint account will be
invested only in repurchase agreements
collateralized by suitable U.S.
Government obligations, i.e., obligations
issued or guaranteed as to principal and
interest by the government of the United
States or by any of its agencies or
instrumentalities, and satisfying the
policies and guidelines of the Funds
concerning repurchase agreements. Any
such repurchase agreement will have,
with rare exceptions, an overnight or
over-the weekend duration, and in no
event will it have a duration of more
than seven days.
3. All investments held by the joint
account will be valued on an amortized
cost basis, the basis upon which each
Fund values its investments in short­
term money market instruments.
4. Each participating Fund subject to
an exemptive order permitting valuation
on the basis of amortized cost, or relying
upon rule 2a-7 under the Act for that
purpose, will use the average maturity of
the joint account for the purpose of
computing that Fund’s average portfolio
maturity with respect to the portion of
its assets held in such account on that
day.
5. In order to assure that there will be
no opportunity for one Fund to use any
part of a balance of the joint account
credited to another Fund, no Fund will
be allowed to create a negative balance
in the joint account for any reason,
although it will be permitted to draw
down its entire balance at any time.
Each Fluid’s decision to invest in the
joint account will be solely at its option;
a Fund will not be required either to
invest a minimum amount or to maintain
a minimum balance. Each Fund will
retain the sole ownership rights to any
of its assets invested in the joint
account, including any interest payable
on the assets invested in the joint
account. Each Fund’s investment in the
joint account will be documented daily
on the books of the Fund as well as on
the books on the custodian bank.
6. Each Fund will participate in the
income earned or accrued in the joint
account and all instruments held in the
joint account on the basis of the
percentage of the total amount in the
account on any day represented by its
share of the account.
7. Under the general terms of each
Fund’s Investment Advisory Agreement
(“Agreement”), the Adviser will
administer the investment of the cash
balances in and operation of the joint

account and will not collect any
separate fees for the management of the
joint account The operation of the joint
account is not provided for specifically
under each Fund’s Agreem ent but is
covered under the general terms of each
such Agreem ent
8. The administration of the joint
account will be within the fidelity bond
coverage required by section 17(g) of the
Act and rule 17g-l thereunder. The
Funds currently are insured under a
joint fidelity bond.
9. The board of trustees or board of
directors of each of the Funds and any
future Funds participating in the joint
account will evaluate the joint account
arrangements, and will continue
participation in the account only if they
determine that there is a reasonable
likelihood that the participating Fund
and its shareholders would benefit from
continued participation.
For the Commission, by the Division of
Investment Management, under delegated
authority.
Margaret H. McFarland,
Deputy Secretary.

[FR Doc. 91-2953 Filed 2-6-91; 8:45 am)
BILLING CODE 8010-0 t-M

[Rel. No. IC-17968; 812-7651]
Baird Capital Development Fund, Inc.,
et al.

January 30,1991.
AG ENCY: Securities and Exchange
Commission (“S E C or “Commission”).
ACTION: Notice of application for
exemption under the Investment
Company Act of 1940 (“1940 Act”).
Baird Capital Development
Fund, Inc., Baird Blue Chip Fund, Inc.
(collectively, the “Baird Mutual Funds”),
and any open-end registered investment
company which may hereafter be
advised by Robert W. Baird & Co.
Incorporated, or any of its affiliates, and
offered at net asset value plus a sales
load and in the same group of
investment companies, as defined in
Rule ll a - 3 under the 1940 Act.
APPLICANTS:

R ELEVA N T 1940 A C T SECTIONS:

Exemption requested pursuant to
section 6(c) from sections 2(a}(32),
2(a) (35), 22(c), and 22(d) and from Rule
22c-l.
SUM M ARY O F a p p l i c a t i o n : Applicants
seek an order that would permit each
applicant to impose a contingent
deferred sales load on certain
redemptions of its shares with respect to
which its front-end sales load was
initially waived.

5047

The application w as filed
on December 13,1990, and an
amendment thereto w as filed on January
29,1991.
filin g d a t e :

HEARING OR NOTIFICATION O F HEARING:

An order granting the application will be
issued unless the SEC orders a hearing.
Interested persons may request a
hearing by writing to the SEC’s
Secretary and serving applicants with a
copy of the request, personally or by
mail. Hearing requests should be
received by die SEC by 5:30 p.m. on
February 26,1991, and should be
accompanied by proof or service on the
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 SEC’s Secretary.
ADD R ESSES: Secretary, SEC, 450 5th
Street, NW., Washington, DC 20549.
Applicants, 777 East W isconsin Avenue,
Milwaukee, W isconsin 53202.
FOR FURTHER INFORMATION CO N TACT:

Robert B. Carroll, Staff Attorney, at (202)
272-3043, or Jeremy N. Rubenstein,
Branch Chief, at (202) 272-3023 (Division
of Investment Management, Office of
Investment Company Regulation).
SUPPLEM ENTAR Y INFORMATION: The
following is a summary of the
application. The complete application
may be obtained for a fee at the SEC’s
Public Reference Branch.
Applicants’ Representation
1. Each applicant is an open-end
diversified management investment
company organized under the laws of
Wisconsin. Robert W. Baird & Co.
Incorporated, a Wisconsin corporation
(the “Distributor”), is a registered
broker-dealer under the Securities
Exchange Act of 1934 and serves as
principal underwriter for applicants.
2. Applicants currently offer their
shares for sale at net asset value plus a
maximum front-end sales load of 5.75%
of the offering price (6.10% of the net
asset value) on single purchases of less
than $50,000. The sales load is reduced
on a graduated scale on single
purchases of $50,000 and over.
3. Applicants propose to offer their
shares for sale at net asset value plus a
graduated front-end sales load on
transactions involving less than
$1,000,000, or such other amount as
agreed to by the Distributor and
applicants from time to time. For
purchases of $1,000,000 or more,
applicants will not impose a front-end
sales load, thereby enabling purchasers

5048

Federal Register / Vol. 56, No. 26 / T h u rsd ay , F e b ru ary 7, 1991 / N otices

to have the proceeds of their purchase
payments fully invested at the time the
investments are made.
4. Applicants also propose to impose
no front-end sales load when:
(a) A shareholder of an unrelated
open-end investment company with a
front-end sales load purchases shares of
a Baird Mutual Fund with the proceeds
from a redemption of shares of such
unrelated open-end investment company
made within 90 days of the purchase of
shares of the Baird Mutual Fund,
provided that the shareholder’s
application so specifies and is
accompanied either by a copy of the
redemption check of such unrelated
open-end investment company or a copy
of an account activity statement
reflecting the redemption:
(b) A shareholder of an unrelated
open-end investment company without a
front-end sales load purchases shares of
a Baird Mutual Fund with the proceeds
from a redemption of shares of such
unrelated open-end investment company
within 90 days of the purchase of shares
of the Baird Mutual Fund, provided that
the shareholder’s application so
specifies and is accompanied either by a
copy of the redemption check of such
unrelated open-end investment company
or a copy of an account activity
statem ent reflecting the redemption, and
further accompanied by an account
activity statement or other evidence
showing that the shareholder had
previously owned such unrelated openend investment company, if other than a
money market fund, for at least 60 days
and, if such unrelated company is a
money market fund, that the shares of
the money fund were purchased with
the proceeds of an open-end investment
company, other than a money market
fund, that had been owned by the
shareholder for at least 60 days; and
(c) Investment advisory clients (or
affiliates of investment advisory clients)
of the Distributor purchase shares of the
Baird Mutual Funds.
5. With respect to (a) and (b) of the
preceding paragraph, the front-end sales
load will not be waived if the
shareholder pays a deferred sales load
or redemption fee (as such terms are
defined in Rule lla - 3 under the 1940
Act) because in such situations the
transaction may be prohibited under
section 11(a) of the 1940 Act, absent an
order of the Commission, as an
exchange effected on a basis other than
relative net-asset values. Applicants will
take such steps as may be necessary to
determine that the shareholder has not
paid a deferred sales load or redemption
fee in connection with the redemption of
shares of an unrelated open-end
investment company, including, without

limitation, requiring the shareholder to
provide a written representation that
neither a deferred sales load nor
redemption fee w as imposed upon
redemption and, in addition, either (a)
requiring the shareholder to provide an
account activity statement reflecting the
redemption that supports the
shareholder’s representation or (b)
reviewing a copy of the current
prospectus of the unrelated open-end
investment company and determining
that such unrelated open-end investment
company does not impose a deferred
sales load or redemption fee.
6. Applicants propose to impose a
contingent deferred sales load on
redemptions of shares initially sold
without a front-end sales load. The
contingent deferred sales load will only
be imposed in the event of a redemption
transacion occurring within a specified
period of time following the share
purchase and will be equal to a
specified percentage of the lesser of (a)
the net asset value of the shares at the
time of purchase or (b) the net asset
value of the shares at the time of
redemption. The proposed holding
period will be one year and the
proposed contingent deferred sales load
will be 1%.
7. Applicants represent that no
contingent deferred sales load will be
imposed when the investor redeems (a)
amounts representing an increase in the
value of applicants' shares due to
capital appreciation: (b) shares
purchased through reinvestment of
dividends or capital gains distributions;
aor (c) shares held for longer than the
holding period. In determining whether a
contingent deferred sales load is
payable, shares, or amounts
representing shares, that are not subject
to any contingent deferred sales load
will be redeemed first, and other shares
or amounts will then be redeemed in the
order purchased.
8. Applicants intend to waive all sales
loads, including contingent deferred
sales loads, in connection with
purchases of shares of the Baird Mutual
Funds at net asset value by employees
and present and former directors of
Baird Mutual Funds, employees and
directors of the Distributor, employees
and directors of the Baird Mutual Funds’
investment adviser, and licensed
securities representatives of the
Distributor. Subject to certain
limitations, each Baird Mutual Fund may
also issue shares without a sales load,
including a contingent deferred sales
load, in connection with any merger or
consolidation with, or acquisition of the
assets of, any investment company.
9. Applicants further intend to waive
the contingent deferred sales load on the

redemption of shares of the Baird
Mutual Funds in the event of:
(a) The death of disability of the
shareholder;
(b) A lump sum distribution from a
benefit plan qualified under the
Employee Retirement Income Security
Act of 1974 (“ERISA”); or
(c) Systematic withdrawals from
ERISA plans if the shareholder is at
least 59V2 years old.
Applicants’ Condition
If the requested exemptive relief is
granted, applicants agree that they will
comply with the provisions of proposed
Rule 6c-10 under the 1940 Act as
currently stated and as it may be
adopted and modified in the future.
For the Commission, by the Division of
Investment Management, under delegated
authority.
Margaret H. McFarland,

Deputy Secretary.
[FR Doc. 91-2954 Filed 2-6-91: 8:45 amj
BILLING CODE 8010-01-M

[Investment Com pany A ct Rel. No. 17967;
812-7499]

General Cinema Corporation; Notice of
Application
January 30,1991.

Securities and Exchange
Commission (“SEC” or “Commission”).
ACTION: Notice of application for
exemption under the Investment
Company Act of 1940 (“1940 Act").
AGENCY:

General Cinema
Corporation.

APPLICANT:

R ELEVAN T 1940 A C T SECTIONS:

Exemption requested under sections 6(c)
and 6(e) from all of the provisions of the
1940 Act, subject to certain exemptions.
SUM M ARY O F a p p l i c a t i o n : Applicant
seeks a conditional order exempting it
from all of the provisions of the 1940
Act, except sections 9, 36, 37, and,
subject to certain exceptions, Sections
17(a), 17(d), 17(e), and 17(f). The
requested relief would exempt applicant
until September 30,1991, or until it
would no longer be considered an
investment company under the 1940 Act,
whichever period is shorter.
FILING DATE: The application was filed
on March 22,1990, and an amendment
was filed on January 16,1991.
HEARING OR NOTIFICATION O F HEARING:

An order granting the application will be
issued unless the SEC orders a hearing.
Interested persons may request a
hearing by writing to the SEC’b
Secretary and serving applicant with a
copy of the request, personally or by

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices
mail. Hearing requests should be
received by the SEC by 5:30 p.m. on
February 26,1991, and should be
accompanied by proof of service on the
applicant, 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 may request notification of a
hearing by writing to the SEC’s
Secretary.
AD D RESSES: Secretary, SEC, 450 5th
Street NW., Washington, DC 20549.
Applicant, 27 Boylston Street, Chestnut
Hill, M assachusetts 02167.
FOR FURTHER INFORMATION CONTACT:

Robert B. Carroll, Staff Attorney, at (202)
272-3043, or Jeremy N. Rubenstein,
Branch Chief, at (202) 272-3023 (Division
of Investment Management, Office of
Investment Company Regulation).
SUPPLEM ENTARY INFORMATION: The
following is a summary of the
application. The complete application
may be obtained for a fee from the
SEC’s Public Reference Branch.
Applicant’s Representations
1. Applicant was founded in 1922 as a
motion picture exhibition business. It
was incorporated in the State of
Delaware in 1950 as the successor to a
M assachusetts corporation organized in
1937 for the purpose of acquiring
additional theatre locations. As of
October 31,1990, approximately 8.2
percent of applicant’s assets were
devoted to its theatre operations.
2. Since 1968, applicant has expanded
its theatre exhibition operations to other
consumer-oriented businesses.
Currently, applicant’s major operating
business is specialty retailing, which
applicant conducts through its
controlling interest in The Neiman
Marcus Group, Inc. (“NMG”). Applicant
acquired its NMG securities in August
1987 as a result of the reorganization of
Carter Hawley Hale Stores, Inc.
(“CHH”), in which applicant had
maintained an investment since 1984. As
of October 31,1990, NMG’s operations
accounted for approximately $1.1 billion
or 36.2 percent of applicant's assets and
approximately $23.6 million or 21.2
percent of applicant’s net income.
3. Between 1968 and 1989, applicant
engaged in the soft drink bottling
business, ultimately operating the
nation’s largest independent bottling
network for Pepsi-Cola and Dr. Pepper.
On March 23,1989, applicant sold its
soft drink bottling business to PepsiCo,
Inc. for $1.77 billion in cash (the
‘‘PepsiCo Sale"). The decision to sell the
bottling business w as essentially the
result of a change in the soft drink

bottling industry. The PepsiCo Sale
produced after-tax proceeds of $1.2
billion in cash. Applicant invested the
majority of the proceeds from the
PepsiCo Sale in short-term investments,
including obligations of the U.S.
Government and its agencies and
instrumentalities, repurchase
agreements collateralized by such
obligations, obligations of foreign and
domestic banks, commercial paper, taxexempt paper, short-term corporate
debt, floating rate notes, and auction
rate preferred stock. Applicant intends
to redeploy these assets in the
establishment of one or more new
operating businesses.
4. On October 9,1990, applicant sold
$592.5 million worth of its holdings of
the outstanding stock of Cadbury
Schweppfes pic ("Cadbury”), which
represented approximately 15 percent of
Cadbury’s outstanding stock, and
invested the proceeds from the sale in
short-term investments. Applicant
retained approximately 2.0 percent of
Cadbury’s outstanding stock, which had
a market value of approximately $79.9
million as of October 31,1990.
5. Applicant maintains approximately
$3.19 million (less than one percent of its
assets) in certain other investments,
including interests in three limited
partnerships organized by the same
general partner (Boston Ventures
Limited Partnership) and common stock
in an insurance company organized and
operated for the purpose of providing
insurance coverage to operating
businesses such as aplicant (and from
which applicant receives a portion of its
insurance).
Applicant’s Legal Analysis
1. Section 3(a)(3) of the 1940 Act
defines the term “investment company”
to include any issuer that "is engaged or
proposes to engage in the business of
investing, reinvesting, owning, holding,
or trading in securities, and owns or
proposes to acquire investment
securities having a value exceeding 40
per centum of the value of such issuer’s
total assets (exclusive of Government
securities and cash items) on an
unconsolidated basis." As of October 31,
1990, applicant’s draft balance sheet,
attached as an exhibit to the
application,1 reflects total assets of
1 Applicant represents that its application
includes financial and statistical data as of the most
recent date practicable. With respect to financial
information for applicant’s fiscal year ended
October 31,1990, the application included a draft
annual report to shareholders that included draft
financial statements. Applicant subsequently
provided to the staff of the Division of Investment
Management a final annual report that included
final financial statements. The final annual report
will be filed with the Commission.

5049

$3,068,395,000 (which includes assets
attributable to NMG’s operations). Of
this amount, short-term investments
account for $1,634,373,000 or 53.3% of
applicant’s total assets. In addition, the
draft financial statements reflect
$56,189,000 in equity investments, an
additional 1.8% of total assets. Even
aside from applicant’s holdings of NMG
securities, applicant appears to hold
investment securities having a value
exceeding 40% of its assets. Accordingly,
pursuant to section 3(a)(3), applicant
could be deemed to be an investment
company under the 1940 Act.
2. After the PepsiCo Sale in March
1989, applicant relied on the safe harbor
provided by Rule 3a-2 under the 1940
Act. Rule 3a-2 generally provides that,
for purposes of section 3(a)(3) of the
1940 Act, an issuer will not be deemed
to be engaged in the business of
investing, reinvesting, owning, holding,
or trading in securities for a period not
exceeding one year if the issuer has a
bona fide intent to be engaged in a non­
investment company business. The
maximum one-year period under Rule
3a-2 expired on March 23,1990, which
necessitated the filing of the application.
Applicant expects to hold its short-term
investments until one or more suitable
acquisition or acquisitions have been
consumated.
3. Applicant argues that its holdings of
NMG securities should not be
considered “investment securities”'
under section 3(a)(3). Applicant owns
16,292,073 shares of Exchangeable
Adjustable Voting Common Stock of
NMG, which is identical (except as to
voting rights) to NMG’s common stock,
1,000,000 shares of NMG’s 6%
Cumulative Exchangeable Convertible
Adjustable Voting Preferred Stock, and
533,205 shares of NMG’s common stock.
(Applicant’s NMG Exchangeable
Adjustable Voting Common Stock and
NMG 6% Cumulative Exchangeable
Convertible Adjustable Voting Preferred
Stock is hereinafter collectively referred
to as "Exchangeable Stock.”)
Notwithstanding certain limitations on
the degree of control that applicant can
exercise over NMG, which limitations
arise out of a "standstill” agreement
between applicant and NMG,2 applicant
* When applicant first acquired the Exchangeable
Stock after the restructuring of CHH, it entered into
a standstill agreement with NMG governing these
securities. Among other things, and in the absence
of a tender offer by applicant complying with the
terms of the agreement (or acquisition of a
significant amount of NMG's common stock by a
third party), the agreement: (a) Limits applicant's
aggregate voting power in regard to its
Exchangeable Stock and restricts applicant's ability
to exchange or convert these securities to NMG
Continued

5050

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

presently: (a) Is the largest single
stockholder of NMG, having the right to
cast at least 44% of the votes at meetings
of NMG’s shareholders; (b) is the only
holder of preferred stock, entitling it to a
class vote (and therefore an absolute
veto) respecting proposed amendments
to NMG’s Restated Certificate of
Incorporation; (c) is substantially
represented on NMG’s board of
directors; and (d) provides NMG with
virtually all of the services and
corporate staff necessary for its
operations (including, by way of
example, management, legal,
accounting, tax, personnel, and real
estate services) pursuant to an
Intercompnay Services Agreement
between the applicant and NMG. In
addition, most of NMG’s senior
executive officers hold identical
positions with applicant. Applicant
asserts that the foregoing factors
demonstrate that NMG is a controlled
company of applicant and submits that
the NMG securities should not be
treated as “investment securities" under
section 3(a)(3) of the 1940 A c t Applicant
acknowledges, however, that the NMG
securities do not constitute securities
issued by a majority-owned subsidiary,
which would be excluded from the
definition of “investment
8eGurtiie8”under section 3(a)(3).
4. Applicant submits that the relief
requested in the application is fully
justified and appropriate to resolve any
uncertainties respecting the applicability
of the 1940 Act to the applicant's present
situation. In addition, applicant believes
that the issuance of an order under
section 6(c) would be in the public
interest and consistent with the
protection of investors and the purposes
of the 1940 Act. Applicant acknowledges
that, pursuant to section 6(e), the
provisions of the 1940 Act imposed on it
in any relief would apply to applicant
and to other persons in their
transactions and relations with
applicant as if it were a registered
investment company.
5. Applicant submits that if the
requested relief were denied, applicant
would be forced to invest a substantial
amount of its short-term assets in U.S.
Government securities (so that it could
meet the 40% test set forth in section
3(a)(3)) or to comply with the provisions
of the 1940 Act. The first alternative
would require applicant to forego the
more attractive yields currently on the
common stock until January 31,1993; (b) requires a
majority of NMG's directors to be independent of
applicant until January 31,1993; (c) requires
applicant to vote its Exchangeable Stock in
accordance with the recommendations of NMG’s
board of directors until January 31,1991.

majority of its short-term holdings. And,
as described thoroughly in the
application, the second alternative
would result in expensive and
burdensome regulation and require
changes in applicant’s business that
would not necessarily benefit
shareholders.
6. In determining whether to grant
exemptive relief beyond the one-year
period prescribed by Rule 3a-2, the
Commission has considered the
following three factors: (a) W hether the
failure of applicant to become primarily
engaged in a non-investment business or
excepted business or to liquidate within
one year w as due to factors beyond its
control; (b) whether applicant's officers
and employees during that period tried,
in good faith, to invest applicant's assets
in a non-investment business or
excepted business or to cause the
liquidation of applicant; and (c) whether
applicant invested in securities solely to
preserve the value of its assets.
Applicant meets each of these criteria
and thus believes that it is entitled to
receive the relief requested by the
application.
7. Following the PepsiCo Sale,
applicant formed a Mergers and
Acquisition Group to accomplish its
objective of investing its substantial
short-term holdings in one or more new
businesses. The Mergers and
Acquisition Group—which consists of
the four members of the Office of the
Chairman, two executive officers, and
three other persons—has devoted
substantial amounts of time, energy, and
resources toward the identification and
evaluation of potential acquisition
candidates.
8. Applicant’s experience in its
acquisition efforts demonstrates that its
inability to effect an acquisition to date
is attributable to factors beyond its
control. In the first instance, applicant’s
acquisition prospects are dependent
upon the availability of suitable
acquisition candidates in the
marketplace. Second, assuming suitable
acquisitions are available, applicant’s
ability to consummate a proposed
transaction generally depends on the
level of competition and the highest
price offered for a particular
acquisition.9
9. In contrast to the activities of
applicant’s Mergers and Acquisition
Group, the management of applicant’s
short-term investments are handled by
three individuals in applicant’s Treasury
* The staff of the Division of Investment
Management notes that, as reported in The Wall
Street Journal on January 25,1991 at page A3,
applicant has agreed to acquire Harcourt Brace
Jovanovich Inc. for approximately $1.4 billion.

Department, who are responsible for
establishing the policy and guidelines
governing applicant's short-term
holdings. On a monthly basis, the four
members of the Office of the Chairman
receive a report summarizing the status
of applicant’s short-term investments.
Because applicant intends to use its
short-term holdings (the majority of
which represent the proceeds from the
PepsiCo Sale) tow ard the acquisition of
one or more new businesses, these
holdings have been invested with a view
to preserving applicant’s short-term
assets and not for speculative purposes.
The majority of applicant’s short-term
investments are rated in the top three
highest rating categories and none is
rated below investment grade.
A pplicant''s C onditions

Applicant agrees that any relief
granted on die application will be
subject to the following conditions:
1. Applicant will not purchase or
otherwise acquire any additional
securities other than securities that are
rated investment grade or higher by a
nationally recognized statistical rating
organization or, if unrated, deemed to be
of comparable quality under guidelines
approved by applicant's board of
directors, except th a t Applicant (a)
may, without limitation, make additional
investments in NMG; and (h) may make
equity investments in issuers that are
not investment companies, as defined in
section 3(a) of the 1940 Act (unless such
issuer is covered by a specific exclusion
from the definition of investment
company under section 3(c) other than
section 3(c)(1)), in the following
circumstances; (i) In connection with the
consideration of the possible acquisition
of an operating business as evidenced
by a resolution approved by applicant's
board of directors and (ii) in connection
with the acquisition of majority-owned
subsidiaries.
2. Applicant will continue to allocate
and utilize its accumulated cash and
short-term securities for the bona fide
purposes of funding cash requirements
for its existing businesses and/or
acquiring one or more new businesses.
Applicant will not invest or trade in
securities for short-term speculative
purposes.
3. Applicant will comply with sections
9 ,17(a), 17(d), 17(e), 17(f), 36, and 37 of
the 1940 Act and the rules and
regulations thereunder as if it were a
registered investment company under
the 1940 Act, provided, however, that;
(a) For purposes of sections 17(a), 17(d),
and 17(e), the definition of an affiliated
person shall not include any employee
who is not also an executive officer or

5051

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices
director of General Cinema or NMG,
any co-partner of an executive officer or
director of General Cinema or NMG,
provided such executive officer or
director owns less than 5% of the
partnership, or any co-partner of
General Cinema arising from its
investment in the limited partnerships
described in the application; (b) the
provisions of sections 17(a) and 17(d) 4
shall not apply to (i) applicant’s
employee benefit plans as described in
its most recent proxy statement dated
January 30,1990 (and substantially
similar plans, including amendments to
existing plans, as described in future
proxy statements); (ii) transactions
between applicant and NMG; (iii)
transactions with an affiliated persons
(by reason of ownership of securities in
such person) which are effected by
applicant (or NMG) for the purpose of
acquiring such person; (iv) transactions
arising in the ordinary course of
business of applicant or NMG which are
on terms and under circumstances that
are substantially the same or at least as
favorable to applicant or NMG as those
prevailing at the time for comparable
transactions with or involving persons
who are not affiliated persons of
applicant or NMG withing the meaning
of section (2)(a)(3) of the 1940 Act,
provided that, with the exception of the
procurement of insurance from Liberty
Mutual Insurance Company as
described in the application, the
transaction does not involve more than
$100,000 on an amiual basis and, for
such transactions involving more than
$100,000 on an annual basis, the
transaction is approved by a required
majority (as defined in section 57(o) of
the 1940 Act) of the directors of
applicant or NMG in accordance with
section 57(f) of the 1940 Act; and (v) any
transaction by an affiliated person
(other than by reason of section
2(a)(3)(C) of the 1940 Act) of a director,
executive officer, or member of an
advisory board of applicant or NMG, or
by an affiliated person (other than by
reason of section 2(a)(3)(C) of the 1940
Act) of any persons controlled by or
under common control with applicant or
NMG, that is approved by a required
majority (as defined in section 57(o) of
the 1940 Act) of the directors of
applicant or NMG in accordance with
section 57(f) of the 1940 Act; (c) the
provisions of section 17(e)(1) shall not
apply to the occasional receipt of travel,
4 In determining the applicability of sections 17(a)
ar.d 17(d) and for purposes of determining a
“required majority" under section 57(o) of the 1940
Act as provided in subsections (d) and (e) below,
the provisions of section 57(m) of the 1940 Act shall
apply.

entertainment, holiday gifts, and the like
from third parties pursuant to
established policies of applicant or
NMG; and (d) the provisions of section
17(f) shall not apply to applicant’s
holdings of NMG and Cadbury
securities and its investments in the
limited partnerships, insurance
company, and theatres described in the
application.
For the Commission, by the Division of
Investment Management, under delegated
authority.
Margaret H. McFarland,

Deputy Secretary.
[FR Doc. 91-2955 Filed 2-6-91; 8:45 am]
BILLING CODE 8010-01-M

SMALL BUSINESS ADMINISTRATION
[Declaration of Disaster Loan Area #2475]

Alabama (With Contiguous Counties in
Tennessee, Mississippi, and Georgia);
Declaration of Disaster Loan Area

As a result of the President’s major
disaster declaration on January 4,1991,1
find that the Counties of Colbert,
Cullman, Franklin, Jackson, Lauderdale,
Lawrence, Madison, Marion, Morgan,
and W inston in the State of Alabama
constitute a disaster area as a result of
damages caused by severe storms and
flooding beginning on December 21,
1990. Applications for loans for physical
damage may be filed until the close of
business on March 4,1991, and for loans
for economic injury until the close of
business on October 4,1991, at the
address listed below: Disaster Area 2
Office, Small Business Administration,
120 Ralph McGill Blvd., 14th FI., Atlanta,
Georgia 30308, or other locally
announced locations. In addition,
applications for economic injury loans
from small businesses located in the
contiguous counties of Blount, De Kalb,
Fayette, Marshall, and W alker in the
State of Alabama; Hardin, Lawrence
and W ayne Counties in the State of
Tennessee; Itawamba and Tishomingo
Counties in the State of Mississippi; and
Dade County in the State of Georgia
may be filed until the specified date at
the above location.
Any counties contiguous to the abovenamed primary counties and not listed
herein are covered in a separate
declaration for the same occurrence.
The interest rates are:
Percent
For physical damage:
Homeowners with credit available else­
where ....................................................

Percent
Homeowners without credit available
elsewhere..............................................
Businesses with credit available else-

8.000
Businesses and non-profit organiza­
tions without credit available else­
where ....................................................
Others (including non-profit organiza­
tions) with credit available elsewhere...
For economic injury:
Businesses and small agricultural coop­
eratives without credit available else­
where ....................................................

4.000
9.125

4.000

The number assigned to this disaster
for physical damage is 247506 and for
economic injury the numbers are 722300
for the State of Alabama; 722400 for the
State of Tennessee; 722000 for the State
of Mississippi; and 722500 for the State
of Georgia.
(Catalog of Federal Domestic Assistance
Program Nos. 59002 and 59008)
Dated: January 9,1991.

Alfred E. Judd,
Acting Assistant Administrator for Disaster
Assistance.
[FR Doc. 91-2937 Filed 2-6-91; 8:45 am]
BILLING CODE 6025-01-M

[Declaration of Economic Injury Disaster
Loan Area #7234]

Arkansas; Declaration of Disaster
Loan Area

Jackson County and the contiguous
counties of Craighead, Cross,
Indpendence, Lawrence, Poinsett,
White, and W oodruff in the State of
Arkansas constitute an Economic Injury
Disaster Loan Area due to the
destruction of the Highway 18 bridge
over the Cache River near Grubbs which
was destroyed by fire in July 1990,
rebuilt by October 1990 and was washed
out by floods in the latter part of
December 1990. Eligible small
businesses without credit available
elsewhere and small agricultural
cooperatives without credit available
elsewhere may file applications for
economic injury assistance until the
close of business on October 24,1991, at
the address listed below: Disaster Area
3 Office, Small Business Administration,
4400 Amon Carter Blvd., suite 102, Ft.
Worth, TX 76155, or other locally
announced locations. The interest rate
for eligible small businesses and small
agricultural cooperative is 4 percent.
(Catalog of Federal Domestic Assistance
Program No. 59002)

8.000

4.000

5052

Federal Register / Vol. 56, No, 26 / Thursday, February 7, 1991 / Notices

Dated: January 24,1991,

June M. Nichols,

The interest rates are:

Acting Administrator.

Percent

{FR Doc. 91-2939 Filed 2-6-01; 8:45 am]
BILLING CODE 8025-Sr-M

[Declaration of Disaster Loan Area #2477]

Indiana; With Contiguous Counties in
Ohio, Kentucky, Illinois & Michigan;
Declaration of Disaster Loan Area

As a result of the President’s major
disaster declaration on January 5,1991,
and amendments thereto on January 5, 7,
and 10,1 find that the Counties of
Adams, Allen, Bartholomew, Blackford,
Brown, Carroll, Clark, Clinton,
Dearborn, Decatur, DeKalb, Delaware,
Elkart, Fayette, Franklin, Fulton, Gibson,
Grant, Greene, Hamilton, Henry,
Howard, Huntington, Jay, Johnson,
Knox, Kosciusko, Madison, Marion,
Marshall, Miami, Monroe, Montgomery,
Morgan, Newton, Noble, Owen, Parke,
Pike, Porter, Posey, Pulaski, Rush,
Shelby, St. Joseph, Sullivan, Tippecanoe,
Tipton, Vanderburgh, Vermillion, and
Vigo in the State of Indiana constitute a
disaster area as a result of damages
caused by severe storms and flooding
beginning on December 28,1990.
Applications for loans for physical
damage may be filed until the close of
business on March 7,1991, and for loans
for economic injury until the close of
business on October 7,1991 at the
address listed below: Disaster Area 2
Office, Small Business Administration,
120 Ralph McGill Blvd., 14th FI., Atlanta,
Georgia 30308, or other locally
announced locations. In addition,
applications for economic injury loans
from small businesses located in the
contiguous counties of Benton. Cass,
Clay, Daviess, Dubois, Fountain,
Hendricks, Jackson, Jasper, Jennings,
Lagrange, Lake, LaPorte, Lawrence,
Martin, Ohio, Putnam, Randolph, Ripley,
Scott, Union, Wabashi, Warren, Warrick,
Washington, Wayne, Wells, White, and
Whitley in the State of Indiana; Butler,
Darke, Defiance, Hamilton, Mercer,
Paulding, Van Wert, and Williams
Counties in the State of Ohio; Boone,
Henderson, Jefferson, Oldham, Trimble,
and Union Counties in the State of
Kentucky; Clark, Crawford, Edgar,
Gallatin, Iroquois, Kankakee, Lawrence,
Vermilion, W abash, and White in the
State of Illinois; and Berrien, Cass, and
St. Joseph Counties in the State of
Michigan may be filed until the specified
date at the above location.
Any counties contiguous to the abovenam ed counties and not listed herein are
covered in a separate declaration for the
same occurrence.

For physical damage:
Homeowners with credit available
elsewhere............................. .............
Homeowners without credit available
elsewhere.._________ ___ ______
Businesses with credit available elsewhere.................................................
Businesses and non-profit organizaSons without credit available elsew h e r e ____ ..
___
„ ___
Others (including non-profit organizations) with credit available elsewhere................................................
For economic injury:
Businesses and small agricultural co­
operatives without credit available
elsewhere............................................

8.000
4.000
8.000
4.000

Rankin, Scott, Sharkey, Sunflower,
Tallahatchie, Washington, W ebster, and
Yazoo in the State of Mississippi;
Madison and Tensas Counties in the
State of Louisiana; and Lamar and
Pickins Counties in the State of
Alabama may be filed until the specified
date at the above location.
Any counties contiguous to the abovenamed primary counties and not listed
herein are covered in a separate
declaration for the same occurrence.
The interest rates are:

9.125
Percent
4.000

The number assigned to this disaster
for physical damage is 247706 and for
economic injury the numbers are 722900
for the State of Indiana; 723000 for the
State of Ohio; 722800 for the State of
Kentucky; 723100 for the State of
Michigan; and 723200 for the State of
Illinois.
(Catalog of Federal Domestic Assistance
Program Nos. 59002 and 59008)
Dated: January 15,1991.

For physical damage:
Homeowners with credit available
elsewhere.......■...................................
Homeowners without credit available
elsewhere..................................
Businesses with credit available elsewhere................................... ..............
Businesses and non-profit organizadons without credit available elsewhere™... „. _________________
Others (including non-profit organizatons) with credit available elsewhere............. ...................................
For economic injury.
Businesses and small agricultural co­
operatives without credit available
elsewhere_____________________

8.000
4.000
8.000
4.000
9.125

4600

Alfred E. Judd,

Acting A ssistant Administratorfor Disaster
Assistance.

[Declaration o f Disaster Loan Area #2474]

The number assigned to this disaster
for physical damage is 247406 and for
economic injury the numbers are 722000
for the State of Mississippi, 722100 for
the State of Louisiana, and 722200 for
the State of Alabama.

Mississippi; With Contiguous Counties
in Louisiana & Alabama; Declaration of
Disaster Loan Area

(Catalog of Federal Domestic Assistance
Program Nos. 59002 and 59008)
Dated: January 9,1991.

[FR Doc. 91-2940 Filed 2-0-91; 8:45 am]
BILUNG CODE B025-01-M

As a result of the President's major
disaster declaration on January 3,1991,
and an amendment thereto on January 8,
I find that the Counties of Carroll, Clay,
Humphreys, Leflore, Lowndes, Madison,
Monroe, and W arren in the State of
Mississippi constitute a disaster area as
a result of damages caused by severe
storms, tornadoes, and flooding
beginning on December 19,1990.
Applications for loans for physical
damage may be filed until the close of
business on March 3,1991, and for loans
for economic injury until the close of
business on October 3,1991, at the
address listed below: Disaster Area 2
Office, Small Business Administration,
120 Ralph McGill Blvd., 14th FL, Atlanta,
Georgia 30308, or other locally
announced locations. In addition,
applications for economic injury loans
from small businesses located in the
contiguous counties of Attala,
Chickasaw, Claiborne, Grenada, Hinds,
Holmes, Issaquena, Leake, Lee,
Montgomery, Noxubee, Oktibbeha,

Alfred E. Judd,

Acting Assistant Administrator for Disaster
Assistance.
[FR Doc. 91-2941 Filed 2-6-91; 8:45 am]
BILLING CODE 8025-01-M

[License No. 06/06-0258]

Texas Commerce Investment Co.;
License Surrender

Notice is hereby given that Texas
Commerce Investment Co., 712 Main
Street, Houston, TX 77002 has
surrendered its License to operate as a
small business investment company
under the Small Business Investment
Act of 1958, as amended (Act). Texas
Commerce Investment Co. w as licensed
by the Small Business Administration o,
June 9,1982.
Under the authority vested by the Act
and pursuant to the Regulations
promulgated thereunder, the surrender
of the license was accepted on January
25,1991 and accordingly, all rights,

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices
privileges, and franchises derived
therefrom have been terminated.
(Catalog of Federal Domestic Assistance
Program No. 59.011, Small Business
Investment Companies)

Office of the Legal Adviser

Dated: January 30,1991.
Bernard Kulik,

Claims for Property Located in the
Territory of the Former German
Democratic Republic

Associate Administratorfor Investment
[FR Doc. 91-2942 Filed 2-6-91; 8:45 am]
BILLING CODE M 25-01-M

California; Region IX Regional
Advisory Council Public Meeting

The U.S. Small Business
Administration Region IX Advisory
Council, located in the geographical area
of San Francisco, will hold a public
meeting at 10 a.m. on Thursday,
February 28,1991, at the Oakland
Chamber of Commerce, Conference
Room, 47514th Street, Oakland,
California, to discuss such m atters as
may be presented by members, staff of
the U.S. Small Business Administration,
or others present.
For further information, write or call
Michael R. Howland, District Director,
U.S. Small Business Administration, 211
Main Street, 4th Floor, San Francisco,
California 94105-1988, telephone (415)
744-6801.
Dated: January 28,1991.
Jean M. Nowak,

Director, Office o f Advisory Councils.
[FR Doc. 91-2943 Filed 2-6-91; 8:45 am]
BILLING CODE 8025-01-M

Texas; Region VI Advisory Council
Public Meeting

The U.S. Small Business
Administration Region VI Advisory
Council, located in the geographical area
of Rio Grande Valley, will hold a public
meeting at I p.m. on Thursday, February
28,1991, at the Rio Grande Valley
Chamber of Commerce, F M 1015 &
Expressway 83, Weslaco, Texas, to
discuss such m atters a s may be
presented by members, staff of the U.S.
Small Business Administration, or
others present.
For further information, write or call
Miguel Cavazos, Jr., District Director,
U.S. Small Business Administration, 222
E. Van Buren, Suite 500, Harlingen,
Texas 78550, telephone (512) 427-8625.
Dated: January 28,1991.
Jean M. Nowak,
Director, Office of Advisory Councils.

[FR Doc. 91-2944 Filed 2-6-01; 8:45 am]
BILLING CODE 8025-01-M

DEPARTMENT OF STATE

[Public Notice 1339]

Prior to German unification, the
former German Democratic Republic
(GDR) published a law providing for the
registration of certain claims of
individuals and corporations (including
claims of non-German nationals) to
property expropriated or placed under
state administration by the communist
government of the GDR. This law,
described in Public Notice 1259, 55 FR
3739Z (Sept. 11,1990), remains in effect
in the united Federal Republic of
Germany (FRG).
Since that time, new German laws
have come into effect modifying and
expanding upon the initial claims
registration law. As revised, the
domestic German claims program covers
the following three additional categories
of property claims with the filing
deadlines noted below:
1. Claims of persons who were
persecuted in the period from January
30,1938, through May 8,1945, for racial,
political, religious, or ideological
reasons, and who lost property in the
territory of the former GDR as a result of
forced sales or expropriations. The
deadline for filing claims falling within
this category is March 31,1991.
2. Claims for assets which were seized
in connection with criminal proceedings
not in conformity with the principle of a
state based on the rule of law, provided
that the claimant has applied under
governing German law for review of the
criminal verdict or other prosecution
measures. The deadline for filing claims
falling within this category is March 31,
1991.
3. Claims for residential properties
which w ere transferred to state
ownership by expropriation,
relinquishment of ownership, donation,
or renunciation of inheritance, on the
basis of rents that did not cover costs
and consequent over-indebtedness. The
deadline for filing claims falling within
this category w as October 13,1991.
Additionally, it is our understanding
that any property claims filed with the
GDR before July 15,1990, must be
resubmitted.
The deadline for claims filed under
the original registration decree for
certain claims to property expropriated
or placed under state administration

5053

after 1949 by the communist government
of the GDR remains October 13,1990.
Potential claimants should understand,
however, that failure to file a claim by
the relevant deadline does not
automatically terminate all potential
rights under the German claims
program. Although certain rights may be
waived if a claimant does not file before
file relevant deadline, late declarations
of claims will be considered. A claimant
who files after the relevant deadline is
still eligible for financial compensation.
Moreover, so long as the administrative
agency responsible for disposing of
expropriated property has not sold the
property in question or entered into
other long-term legal obligations, a
claimant who files after the relevant
deadline may still seek restitution of the
property. Within these limits, the
German government has not yet
established a final filing deadline for its
claims program.
The U.S. Government continues to
pursue a lump-sum settlement with the
FRG of claims adjudicated by the
Foreign Claims Settlement Commission
in its GDR program. Since such a
settlement may not preclude persons
with such claims from having the option
of recovering under the domestic
German claims program, all individuals
with property claims m ay wish to
consider filing under the domestic
German claims program.
Anyone who wishes to receive more
information, including information on
how and where to file a claim, should
contact the Embassy of the Federal
Republic of Germany in Washington,
DC, or regional German consulates. The
German Embassy in W ashington may be
reached at 4645 Reservoir Road NW.,
Washington, DC 20007 (tel: 202-2984000). In addition, persons may obtain
further information from the Foreign
Claims Settlement Commission,
Washington, DC 20579, Attn: David
Bradley, Chief Counsel (tel: 202-6535883), or the Assistant Legal Adviser for
International Claims and Investment
Disputes, 2100 K Street NW.,
Washington, DC 20037-7180 (tel: 202632-5040).
Dated: January 30,1991.
Ronald J. Bettauer,

Assistant LegalAdviser for International
Claims and Investment Disputes,
(FR Doe. 91-2917 Filed 2-8-91: 8:45 am]
BILLING CODE 4710-08-M

5054

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices

[Public Notice 1338]

Oceans and International
Environmental and Scientific Affairs
Advisory Committee; Partially Closed
Meeting

The Antarctic Section of the Oceans
and International Environmental and
Scientific Affairs Advisory Committee
will meet at 2 pm, February 28,1991, in
room 1406, Department of State, 22nd
and C Streets, NW., Washington DC.
At this meeting, officers responsible
for Antarctic affairs in the Department
of State will report on the Eleventh
Antarctic Treaty Special Consultative
Meeting in Vina del Mar, Chile and
preparations for the follow-on to that
meeting, which is scheduled to take
place in April. The Section will also
discuss issues related to the Preparatory
Meeting for the Sixteenth Antarctic
Treaty Consultative Meeting, which will
be held in Bonn, also in April.
Department officials will be prepared to
discuss other key issues and problems
involving the Antarctic in the context of
current domestic and international
developments. This session will be open
to the public. The public will be
admitted to the session to the limits of
seating capacity and will be given the
opportunity to participate in discussion
according to the instructions of the
Chairman. As access to the Department
of State is controlled, persons wishing to
attend the meeting should enter the
Department through the Diplomatic (“C"
Street] Entrance. Department officials
will be at the Diplomatic Entrance to
escort attendees.
The Antarctic Section of the Oceans
and International Environmental and
Scientific Affairs Advisory Committee
will also meet on March 1, in room 1406,
Department of State, 22nd and C Streets,
NW. The purpose of these discussions
will be to elicit views concerning the
further development of United States
policy regarding current Antarctic
issues, and will concentrate on the
results of the Eleventh Antarctic Treaty
Special Consultative Meeting in Vina
del Mar, Chile and preparations for the
follow-on to that meeting, which is
scheduled to take place in Madrid, April
22-30,1991. The Section will cover the
development of U.S. policy regarding the
Preparatory Meeting for the Sixteenth
Antarctic Treaty Consultative Meeting,
which will be held in Bonn, April 15-19,
1991. The meeting will include classified
briefings and examination and
discussion of classified documents
pursuant to Executive Order 12356. The
disclosure of classified material and
revelation of considerations which go
into policy development would

substantially undermine and frustrate
the U.S. position in future meetings and
negotiations. Therefore, the meeting will
not be open to the public, pursuant to
section 10(d) of the Federal Advisory
Committee Act and 5 U.S.C. 552b (c) (1)
and 5 U.S.C. 552b (c)(9)(B).
Requests for further information on
the meetings should be directed to R.
Tucker Scully of OES/OA, Room 5801,
Department of State. He may be reached
by telephone on (202) 647-3262.
Dated: January 28,1991.
Curtis Bohlen,

Chairman.
[FR Doc. 91-2918 Filed 2-6-91; 8:45 am]
BILLING CODE 4710-09-M

Office of Inter-American Affairs
[Public Notice 1335]

Delegation of Authority No. 187;
Foreign Asistance Act of 1961 and
Certain Related Acts

By virtue of the authority vested in me
by Delegation of Authority No. 145-5 of
January 22,1988, 53 FR 5072, pursuant to
Executive order 12163 of September 29,
1979, 44 FR 56673, as amended, and the
Foreign Assistance Act of 1961, as
amended, 22 U.S.C. 2151 et. seq., I
hereby delegate to the Assistant
Administrator for Latin America and the
Caribbean of the Agency of
International Development functions
conferred on the President by section
534(b)(3)(D) of the Act.
Dated: January 28,1991.
Bernard Aronson,

Assistant Secretary for Inter-American
Affairs.
[FR Doc. 91-2865 Filed 2-6-91; 8:45 am]
BILLING CODE 4710-29-M

Office of Diplomatic Security
[Public Notice 1337]

Public Information Collection
Requirement Submitted to OMB for
Review

Department of State.
The Department of State has
submitted the following public
information collection requirements to
OMB for review and clearance under
the Paperwork Reduction Act of 1980,
Public Law 96-511.

agency:
a c tio n :

The Arms Export Control Act
(22 CFR part 2778) authorizes control of
the export and import of defense articles
and defense services. The information
collection requirements listed are
associated with the registration,
SUMM ARY:

reporting, and issuance of licenses for
the export and import of items on the
United States Munitions List. The
following summarizes the information
collection proposals submitted to OMB:
1. Type of request—Reinstatement.
Originating office—Bureau of PoliticoMilitary Affairs.
Title of information collection—
Application/License for Permanent
Export of Unclassified Defense Articles
and Related Unclassified Technical
Data.
Frequency—Triennially.
Form Number—DSP-5.
Respondents—Applicants for Export
Licenses of Defense Articles and
Related Technical Data.
Estimated number of respondents—
4.500.
Average number of responses per
respondent—12.34.
Average hours per response—Yz hour.
Total estimated burden hours—27,765.
2. Type of request—Reinstatement.
Originating office—Bureau of PoliticoMilitary Affairs.
Title of Information collection—
Application for Registration.
Frequenty—Triennially.
Form Number—DSP-9.
Respondents—Manufacturers and
Exporters of Defense Articles and
Services.
Estimated number of respondents—
3,000.
Average hours per response—1 hour.
Total estimated burden hours—3,000.
3. Type of request—Reinstatement.
Originating office—Bureau of PoliticoMilitary Affairs.
Title of information collection—
Application/License for Temporary
Import of Unclassified Defense Articles.
Frequency—Triennially.
Form Number.—DSP-61.
Respondents—Importers of
Unclassified Defense Articles.
Estimated number of respondents—
4.500.
Average number of responses per
respondent—2.09.
Average hours per response—Yz hour.
Total estimated burden hours—4,702.
4. Type of request—Reinstatement.
Originating office—Bureau of PoliticoMilitary Affairs.
Title of information collection—
Application/License for Temporary
Export of Unclassified Defense Articles.
Frequency—Triennially.
Form Number—DSP-73.
Respondents—Exporters of
Unclassified Defense Articles.
Estimated number of respondents—
4.500.
Average number of responses per
respondent—1.47.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices
Average hours per response— Vz hour.
Total estimated burden hours—3,307.
5. Type of request—Reinstatement.
Originating office—Bureau of PoliticoMilitary Affairs.
Title of information collection—NonTransfer and Use Certificate.
Frequency—Triennially.
Form No.—DSP-83.
Respondents—Exporters of Munitions
List Defense Articles.
Estimated number of respondents—
4.500.
Average number of responses per
respondent—6.67.
Average hours per response— Vz hour.
Total estimated burden hours—15,007.
6. Type of request—Reinstatement.
Originating office—Bureau of PoliticoMilitary Affairs.
Title of information collection—
Application/License for Permanent/
Temporary Export or Temporary Import
of Classified Defense Articles and
Related Classified Technical Data.
Frequency—Triennially.
Form No.—DSP-85.
Respondents—Exporters/Importers of
Items on the U.S. Munitions List.
Estimated number of respondents—
4.500.
Average number of responses per
re spondent—.026.
Average hours per response— Vz hour.
Total estimated burden hours—585.
7. Type of request—Reinstatement.
Originating office—Bureau of PoliticoMilitary Affairs.
Title of information collection—
Authority to Export Defense articles and
Defense Services Sold Under the Foreign
Military Sales Program.
Frequency—Triennially.
Form No.—DSP-94.
Respondents—Exporters of Defense
Articles Under the Foreign Military
Sales Program.
Estimated number of respondents—
250.

Average number of responses per
respondent—20.
Average hours per response—8
minutes.
Total estimated burden hours—2,500.
8. Type of request—Reinstatement.
Originating office—Bureau of PoliticoMilitary Affairs.
Title of information collection—
Political Contributions and Fees or
Commissions in Connection With the
Sale of Defense Articles or Services.
Frequency—On occasion.
Respondents—Exporters of Defense
Articles or Services.
Estimated number of respondents—
3,000.
Average number of responses per
respondent—.04.
Average hours per response—8 hours.
Total estimated burden hours—952.
Section 3504(h) of Public Law 96-511
w as addressed in the regulation
published in the Federal Register (49
CFR 49671).

s u m m a r y : The Department of
Transportation and Related Agencies
Appropriations Act, 1990, Public Law
101-164, signed into law by President
George Bush on November 21,1989,
contained a provision requiring the
Urban Mass Transportation
Administration to publish an
announcement in the Federal Register
every 30 days of grants obligated
pursuant to sections 3 and 9 of the
Urban Mass Transportation Act of 1964,
as amended. The statute requires that
the announcement include the grant
number, the grant amount, and the
transit property receiving each grant.
This notice provides the information as
required by statute.

FOR FURTHER INFORMATION CONTACT:

ADDITIONAL INFORMATION OR
c o m m e n t s : Copies of the proposed

forms and supporting documents may be
obtained from Gail J. Cook (202) 6473538. Comments and questions should
be directed to (OMB) Marshall Mills
(202) 395-7340.
Dated: January 29,1991.

Sheldon J. Krys,
Assistant Secretary for Diplomatic Security.
[FR Doc. 91-2864 Filed 2-6-91; 8:45 am]
BILLING CODE 4710-10-M

DEPARTMENT OF TRANSPORTATION
Urban Mass Transportation
Administration
UMTA Section 3 and 9 Grant
Obligations

5055

Janet Lynn Sahaj, Chief, Resource
Management Division, Office of Capital
and Formula Assistance, Department of
Transportation, Urban Mass
Transportation Administration, Office of
Grants Management, 400 Seventh Street
SW., room 9301, Washington, DC 20590,
(202) 366-2053.
SUPPLEM ENTARY INFORMATION: The
section 3 program w as established by
the Urban Mass Transportation Act of
1964 to provide capital assistance to
eligible recipients in urban areas.
Funding for this program is distributed
on a discretionary basis. The section 9
formula program was established by the
Surface Transportation Assistance Act
of 1982. Funds appropriated to this
program are allocated on a formula
basis to provide capital and operating
assistance in urbanized areas. Pursuant
to the statute UMTA reports the
following grant information:

Urban Mass Transportation
Administration (UMTA), DOT.
a c t i o n : Notice.
AGENCY:

S ection 3 G rants
Transit property

Grant number

City of Key West, Key West, FL...................................................................................................
Commuter Rail Division of the Regional Transportation Authority, Chicago, IL-Northwestem IN......................
Commuter Rail Division of the Regional Transportation Authority, Chicago, IL-Northwestem IN......................
Chicago Transit Authority, Chicago, IL-Northwestem IN......................................................................................
Northern Indiana Commuter Transportation District, Chicago, IL-Northwestem IN............................................

FL-03-0103-00
IL-03-0133-02
IL-03-0149-00
IL-03-0154-00
IN-03-0062-00

Grant amount
$600,000
4,665,000
11,508,000
30,699,975
199,998

Obligation
date
01/07/qj
09/28/90
09/28/90
09/28/90
12/31/90

S ection 9 G rants
Transit property

Grant number

City of Montgomery, Montgomery, AL............................................................... ...... ............................................. AL-90-X054-00
City of Tucson, Tucson, AZ............................................................. ...................
AZ-90-X026-00
City of Simi Valley, Simi Valley, CA..................................... ................................................................
CA-90-X411-00

Grant amount
1,162,423
4,217,719
609,250

Obligation
date
12/28/90
12/31/90

5056

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 J N otices
S ection 9 G rants — Continued
Transit property

Grant number

City of Montebello, l e s Angeles-Long Beach, CA................... ........................................................................... CA-90-X414-00
City of Napa, Napa, CA.......................................................................................... ................................................ CA-90-X419-00
City of Commerce, Los Angeles—Long Beach, CA....................................................................... ,
CA-90-X432-00
City of Colorado Springs, (Colorado Springs, CO.........................................
CO-90-X056-00
City of Pueblo. Pueblo, CO....................................................................................
CO-90-X057-00
Middletown Transit District, Danbury, CT-NY...........................................
CT-90-XTO0-O1
Greater Waterbury Transit District, Watarhury, CT................ ..... ................... ............................................
CT-90-X166-01
Greater Hartford Transit District, Hartford, CT......................................... ......................................
CT-90-X169-00
Housatonic Area Regional Transit District, Danbury, CT-N.Y.............................................................................. CT-90-X175-01
City of'Stamford Commission on Aging, Stamford, CT.................................. ..................................................... CT-90-X179-00
Norwalk Transit District, Norwalk, CT..................................................................................... „
........... CT-90-X160-00
Delaware Transportation Authority, Delaware....................................................................................................... DE-90-X010-00
Hillsborough Area Regional Transit Authority, Tampa, FI.............. .......................... ........................
FL-90-X141-01
Orange-Seminole-Osceoia Transportation Authority, Orlando, PL............................................................... ..... FL-9Q-X156-00
Broward County Board of Commissioners, Fort Lauderdale-Hollywood, FI........................................ ............
FL-90-X159-00
Metropolitan Dade Transit Agency, Miami, FL..................................................................................................... FL-90-X160-00
East Volusia County—East Volusia Transp. Authority, Daytona Baach, FL 1...................................................... FL-9Q-JC161 -00
City of Tallahassee—Tallahassee Transit .Authority, Tallahassee, FI
FL-90-X162-00
City Of Gainesville, Gainesville, FL................................................. ........................ ....................
FL-90-X163-00
Jacksonville Transportation Authority, Jacksonville, FL.................................................................................... FL-90-X164-00
Hillsborough Area Regional Transit Authority, Tampa, FL...................................... ........................................... FL-90-X165-00
ConsolidatedDovemment of Columbus,-Coiumhua, DA-AL............ ...............................
,, GA-90-X050-01
City of Augusta. August, GA.-S.C..................................................................
GA-90-X056-01
Metropolitan Atlanta Rapid Transit Authority, Atlanta, GA...........................................................................
GA-90-X059-00
Atlanta Regional Commission, Atlanta, GA..................................................................
............ r ......... GA-90-X060-00
Keyline Bus System, Dubuque, IA.-IL........................................................................... ............ .........
IA-90-X112-02
Sioux City Transit System, Sioux-City, IA-NE-S.D................................................................................................ IA-90-X117-00
City Of Coralville, Iowa City, IA.......................................................................... ................................
|A-90-X118-00
University of lowa/Cambus, Iowa City, IA................................................................
IA-90-X1T9-00
Iowa City Transit Iowa City, IA.............................................................._............................................................. IA-90-X120-00
Des Moines ’Metropolitan Transit Authority, Des Moines, IA..................................................
IA-90-X121-00
Cedar Rapids Transit Department, Cedar Rapids, IA.......................................................................................... . IA-90-X122-00
Cityof Pocatello, Pocatello, ID...................... ........ ....... ........................................
ID-90-X020-00
City of Decatur, Decatur, IL............................„....................................................... ..... .............
IL-90-X165-00
Champaign-Urbana Mass Transit District, Champaign-Urbana, IL........................................................
...... IL-90-X167-00
City of East Dubuque, Dubuque, IA-IL............................................................................
IL-90-X168-00
Greater Peoria Mass Transit District Peoria, IL.............................................................................
IL-90-X169-00
Soringfield Mass Transit District Springfield, IL................................ -.................
, , IL-90-X1T0-00
Bloomington-Normal Public Transit System, Bloomington-Normal, II
IL-90-X171-G0
RoCk Island County Metropolitan Mass Transit District, Davenport-Rock Isi-MO, IA—
II .....
IL-90-X172-00
Greater Lafayette Public Transportation Corporation, Lafayette-West 1afayette, IN........................................... ■IN-90-X144-00
Indianapolis Public Transportation Corporation, Indianapolis, IN......................................................................... IN-90-X145-00
Fort Wayne Public Transportation Corp., Fort Wayne, IN ........................ ........................................................... IN-90-X146-00
South Bend Public Transportation Corporation, South Bend, IN-MI................................................................... IN_g0-X147-00
Johnson County Transit, Kansas City, MO-KS.................................................................................................... KS-90-X047-00
Transit Authority of the Lexington-Fayette Urban County Govt, Lexington-Fayette, KY.................................... KY-90-X050-01
Transit Authority of River City, Louisville, KY-IN.......................................................................................... ...... 'KY-90-X051 -00
Regional Transit Authority, New Orleans, LA............................................................................................................................................... |_A_90_X113-00
City of Baton Rouge, Baton Rouge, LA......................................................................................................................................................... LA-90-X114-00
Montachusett Regional Transit Authority, Fitchburg-I eominster, MA............................................ .................... MA-90-X113-00
Cape Ann Transportation Authority, Boston MA....”................................................................................................................................. MA-90-X114-00
Brockton Area Transit Authority, ërockton, MA......................................................... ......................................................... . MA-90-X115-00
Worcester Regional Transit Authority, Worcester, MA........................................................................................r MA-90-X116-00
Lowell Regional Transit Authority, Lowell, MA-N-H.............................................................................................. MA-90-X117-00
Southeastern Regional Transit Authority, New Bedford, MA............................................................................... MA-90-X118-00
Pioneer Valley Transit Authority, Springfield-Chic-Holy, MA-CT........................................................................... MA-90-X119-00
Merrimack Valley Regional Transit Authority, Lawrence-Haverhill, MA-N.H........................................................ MA-90-X120-00
Mass Transit Administration, Baltimore, MÖ................................................................................................................................................ MD-90-X044-00
Greater Portland Transit District, Portland, ME...........................................................................................................
ME-90-X051-00
Maine Department of Transportation, Maine........................................................ „ ..................................................................................... ME-90-X052-00
Ann Arbor Transportation Authority, Ann Arbor, Ml................................................................................................................................. MI-90-XT85-00
Jackson-Transit System, Jackson,-Ml.... T .......................... ....... .............................................
MI-90-X136-0Û
Twin Cities Area Transportation Authority, Benton Harbor, Ml.......................................................................................................... MI-90-X137-00
©rand Rapids Areas Transit Authority, Grand Rapids, Ml.... ....................................................... ...................................................... MI-90-X138-00
City oLMoorhead, Fargo-Moorhead, N.D.-MN........................................................................................................................................... MN-90-X050-00
Bi-State Development Agency, St. Louis, MO.-ll..................................................................... ........................... MO-90-X073-00
City of Hattiesburg—Planning & Community Development,'Hattiesburg, "MS...................................................... MS-90-X036-00
City of Durham, Durham, N.C..............................................................
NC-90-X109-00
Oitytrt Greensboro, Greensboro, N:C.................................................. .. ............................................................... . NC-90-X111-00
City of Durham, Durham, N.C.................................................................................................
NC-90-X117-00
City of Asheville, Asheville, N.C................................................................ .............. .................................................................... NC-90-X120-00
City of Raleigh, Raleigh, N.C..........................................................................
NC-90-X121 -00
City of Charlotte. Charlotte, N.C...............................................................................................................
NC-90-X122-00
City of Lincoln, (Lincoln; NE .................................................................. ................................................................................................................ NE-90-X027-00
New Jersey Transit Corporation, New York, N Y—Northeastern N.J.... ........................
NJ-90—
X031-00
Regional Transportation Commission of Washoe County, Reno, NV
NV-90-X015-00
City of Albany Parking Authority, Alhany-Sehenactady-Tmy, N Y ............................................................................................... ■NY-90-X179-00
Orange County, Newburgh, N.Ÿ...........................................Z............................................................. .. .......................................................... NY-90-X192-00

Grant amount
4,700,000
«69,550
78,800
296,600
1,263,485
176,614
47600
1,520,000
104,000
200,980
239Î987
1,950,000
796,540
1,740,981
7,131,520
14,832,737
1,034,025
844,180
828,000
3,925,391
1,619626
115,104
192,553
19668,000
100,000
400600
450,681
51.19.1
94,860
202,401
1,423686
754,812
315659
701,028
868,800
6,659
601,440
663,100
614.899
336600
700,022
5,475,909
1,424,062
1.172624
391,600
150,000
4,636621
T6;004,958
*3,408,662
338,807
93,164
1,204,578 !
2,150,559
1,071,380
2,028,538
3,566.099
1,603,346
18,086,485
401620
261,485
1,283,167
463,517
351,987
1,722,147
249,195 !
14627,717 '
482,445
9,255,600
338,894
903,500
608,348
1,000,142
4,563,011
1,112,693
101 ;512,562
1,221,453
742,684
415,036

Obligation
date
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/3-1/90
12/31/90
12/31/90
12/31/90
12/28/90
12/28/90
12/28/90
12/28/90
12/31/90
12/28/90
12/28/90
12/28/90
12/28/90
12/28/90
12/28/90
12/28/90
12/28/90
12/28/90
12/31/90
-12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31790
12/31/90
12/31/90
12/31/90
12/26/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
-12/31/90
t2/31/90
12/31/90
12/34/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/28/90
12/18/90
12/28/90
12/18/90
12/26/90
12/26/90
12/28/90
12/31/90
12/26/90
12/31/90
12/31/90
12/31/90

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Notices
S ection

9 G rants — Continued

Transit property
Niagara Frontier Transportation Authority, Buffalo, N.Y.......................................................................................
Suffolk Co., New York, N.Y.,-Northeastern N.J.....................................................................................................
Nassau County, New York, N.Y.-Northeastern N.J..............................................................................................
City of Long Beach, New York, N.Y.-Northeastern N.J.......................................................................................
Town of Huntington, New York, N.Y.-Northeastern N.J.......................................................................................
Greater Glens Falls Transit System, Glen Falls, N.Y............................................................................................
Capital District Transportation Authority, Albany-Schenectady-Troy, N.Y............................................................
New York Metropolitan Transportation Authority, New York, N.Y.-Northeastern N.J........................................
Rochester-Genesee Regional Transportation Authority, Rochester, N.Y.............................................................
Utica Transit Authority, Cltica-Rome, N.Y...............................................................................................................
Canton Regional Transit Authority, Canton, OH................................................................................... ...............
Metro Regional Transit Authority, Akron, ÓH........................................................................................................
Central Ohio Transit Authority, Columbus, OH.....................................................................................................
Miami Valley Regional Transit Authority, Dayton, OH...........................................................................................
Toledo Area Regional Transit Authority, Toledo, OH.-MI....................................................................................
Portage Area Regional Transportation Authority, Akron, OH................................................................................
Central Ohio Transit Authority, Columbus, OH.....................................................................................................
Metropolitan Tulsa Transit Authority, Tulsa, OK....................................................................................................
Lane transit District, Eugene, OR.........................................................................................................................
Salem Area Mass Transit District, Salem, OR......................................................................................................
Erie Metropolitan Transit Authority, Erie, PA.........................................................................................................
Cumberland-Dauphin-Harrisburg transit Authority, Harrisburg, PA............................................................ ........
Luzerne County transportation Authority, Scranton-Wilkes Barre, PA.................................................................
County of Lackawanna Transit System, Scranton-Wilkes Barre, PA...................................................................
York County Transportation Authority, York, PA...................................................................................................
Southeastern Pennsylvania Transportation Authority, Philadelphia, PA.-N.J......................................................
Lehigh and Northampton Transportation Authority, Allentown-Beth-East, PA.-N.J.............................................
Westmoreland County Transit Authority, Pittsburgh, PA............... .......................................................................
Port Authority of Allegheny County, Pittsburgh, PA...............................................................................................
Beaver County Transit Authority, Pittsburgh, PA...................................................................................................
Municipality gif Manatí, Vega-Baja-Manati, P.R............................ .........................................................................
Municipality of Vega Alta, Vega-Baja-Manati, P.R.................................................................................................
Commonwealth of Puerto Rico, San Juan, P.R.....................................................................................................
Metropolitan Bus Authority, San Juan, P.R...........................................................................................................
Rhode Island Department of Transportation, Providence-Pawtucket-Warwick, R.I.-MASS................................
City of Rapid City, Rapid City, S.D................. .......................................................................................................
Memphis Area Transit Authority, Memphis, TN.-AR.-MS.....................................................................................
Chattanooga Area Regional Transportation Authority, Chattanooga, TN.-GA....................................................
Metropolitan Transit Authority, Nashville-Davidson, TN..........................................................
City of Knoxville—Knoxville transportation Authority, Knoxville, TN...................................................................
Corpus Christi Regional Transit Authority, Corpus Christi, TX..............................................................................
City of Plano Dallas-Ft. Worth, TX..........................................................................
Metropolitan Transit Authority of Harris County Houston, TX...............................................................
City of Wichita Falls, Wichita Falls, TX...................................................................
City of Brownsville, Brownsville, TX.....................................................
Lower Rio Grande Development Council, McAllen-Pharr-Edinburg, TX...............................................................
Peninsula Transportation District Commission, Newport News-Hampton, VA.....................................................
Tidewater Transportation District Commission, Norfolk-Portsmouth, VA.............................................................
Chittenden County Transportation Authority, Burlington, VT..................................................
Kitsap Transit, Bremerton, WA.................. .............7.......................
Snohomish County Transportation Authority, Seattle-Everett, WA......................................................................
Washington, State Dept of Transportation Marine Division, Washington............................................................
City of Lacrosse Planning Department (LAPC) La Crosse, WI.-MN ..7..................................................................
City of Weirton, West Virginia...........................................................

Issued on February 1,1991.
Brian W. Clymer,

Administrator.
[FR Doc. 91-2929 Filed 2-6-91; 8:45 am]
BILLING CODE 4910-57-M

HARRY S. TRUMAN SCHOLARSHIP
FOUNDATION
Harry S. Truman Scholarship
Nomination Forms
AGENCY: Harry S. Truman Scholarship
Foundation; information collection
under OMB Review.
a c t i o n : Notice.

5057

sum m ary : The

Harry S. Truman
Scholarship Foundations has submitted
to OMB for approval the following
proposal for collection of information
under the provisions of the Paperwork
Reduction Act (44 U.S.C. chapter 35).
Title, A p p lica b le Form, and
A p p lica b le OMB C ontrol Num ber:

Nomination Forms for Scholarship
Program; OMB Control No. 3200-0004.
T ype o f request: Reinstatement.
A verage Burden H ours/M inute: 10

hours.
F requency o f R esponse: One response

per respondent.
N um ber o f R espondents: 1,100.
A nnual Burden H ours: 11,000.

Grant number
NY-90-X193-00
NY-90-X194-00
NY-90-X195-00
NY-90-X196-00
NY-90-X197-00
NY-90-X198-00
NY-90-X199-00
NY-90-X200-00
NY-90-X201-00
NY-90-X202-00
OH-90-X137-00
OH-90-X138-00
OH-90-X140-00
OH-90-X141-00
OH-90-X142-00
OH-90-X143-00
OH-90-X144-00
OK-90-X036-00
OR-90-X036-00
OR-90-X037-00
PA-90-X195-01
PA-90-X197-01
PA-90-X198-00
PA-90-X199-00
PA-90-X200-00
PA-90-X201-00
PA-90-X202-00
PA-90-X203-00
PA-90-X204-00
PA-90-X205-00
PR-90-X031-01
PR-90-X056-00
PR-90-X058-00
PR-90-X059-00
RI-90-X015-02
SD-90-X017-00
TN-90-X086-00
TN-90-X088-00
TN-90-X089-00
JN-90-X090-00
TX-90-X200-00
TX-90-X201-00
TX-90-X202-00
TX-90-X203-00
TX-90-X204-00
TX-90-X205-00
VA-90-X075-01
VA-90-X082-00
VT-90-X011-00
WA-90-X110-00
WA-90-X111-00
WA-90-X112-00
WI-90-X124-00
WV-90-X041 -00

Grant amount
8,392,560
5,829,331
4,962,396
342,690
623,138
265,591
5,042,460
298,329,607
3,807,184
490.000
100.000
3,608,900
4,363,157
7,042,863
2.678.000
666,565
2.020.000
3,435,443
1.370.000
958,401
241,800
1,137,100
947,505
843,079
152,001
64.527,983
240.000
231,200
22,407,431
326,124
476.000
266,400
340.000
8,468,026
8,910,095
282,150
3,595,220
1,544,488
3.700.000
1,366,034
2.008.000
11,000
20,430,000
923,808
2,137,400
195.000
1,949,191
3,289,615
425,378
1,011,373
156,000
1,164,000
919,254
161,816

Obligation
date
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/27/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/27/90
12/27/90
12/27/90
12/28/90
12/31/90
12/28/90
12/31/90
12/28/90
12/31/90
12/28/90
12/28/90
12/28/90
12/28/90
12/28/90
12/31/90
12/31/90
12/28/90
12/31/90
12/31/90
12/28/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/26/90
12/26/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90
12/31/90

A nnual R esponses: 1,100.
N eeds an d Uses: The Foundation’s

nomination forms are used by appointed
Truman Scholarship Faculty
Representatives on participating
college/university campuses to advance
the nominations of up to 3 candidates
per year for the Truman Scholarship.
A ffected Public: Individuals seeking
nomination for the Harry S. Truman
Scholarship.
Frequency: Annually.
R espon den t’s O bligation: Voluntary.
OMB D esk O fficer: Written comments

and recommendations on the proposed
information collection should be sent to
Louis H. Blair, Executive Secretary, 712

5058

^edeTal^ Register / Vol. 56, No, 26 ./ Thursday, February 7, 1991 ,/ Notices

Jackson Place, NW., Washington, DC
20006.

Harry S. Truman Scholarship
Foundation Clearance Officer: Louis H.
Blair, Executive Secretary.
Dated: January.31,1991.
Louis H. Blair,

Executive Secretary.
f[FR Doc. 91-2919 Filed 2-6-91; 8:45 am]
BILLING CODE 6820-AD-M

DEPARTMENT O F THE TREASURY
Public Information Collection
Requirements Submitted to OMB for
Review.
Dated: February 1,1991.

The Department -14(e) is amended
(34) * * *
by revising paragraph (e)(10), and by
Nate: In contracts with profit making
adding a note fallowed by new
contractors, add the following clauses:
paragraph (e)(15)(hr) and a note
fi) Notwithstanding any other provision of
followed by new paragraph (e)(34) as
this contract, the costs of bands and
follows:
970.5204-14 Allow able c o s ts and fixed fee
(suport contracts).

*

* * * *
(e)* * *
(10) Fines and penalties.

Note 1: In contracts with nonprofit
contractors, use the following clauses:
Fines and penalties, including assessed
interest resulting from violations of, or
failure of the contractor to comply with
Federal, state, local or foreign laws and
regulations, except when incurred as a result
of compliance with the scope of work,
specific terms and conditions, or other
provisions of the contract or written
instructions from the contracting officer
authorizing in advance such payments. Civil
or criminal penalties assessed under the
Price-Anderson Amendments Act of 1988, 42
US.C. 2273, 2282, and fife costs of litigation
resulting from such assessments, are also
unallowable except as may be specifically
provided in regulations implementing those
civil and criminal penalty provisions.
Note 2: In contracts with profit making
contractors, use the following -clause:
Fines and penalties, including assessed
interest and costs of litigation, that are
incurred as a result of contractor or
subcontractor negligence or willful
misconduct where the breach of the legal
duty of the contractor or subcontractor giving
rise to such fine or penalty involves an area
of responsibility clearly placed on the
contractor or subcontractor. Civil or criminal
penalties assessed under the Price-Anderson
Amendments Act of 1968,42 U.S.C. 2273,
2282, and the costs of litigation resulting from
such assessments are unallowable except as
may be specifically provided in regulations
implementing those civil or criminal penalty
provisions.

*

*

-*

*

*

(15)* * *
Note: In contracts with profit making
contractors, add the following paragraph:

insurance are unallowable to the extent they
are incurred to protect and indemnify the
contractor against otherwise unallowable
Avoidable Costs, such as fines and penalties,
third party claims, negligently or willfully
caused damage to or loss of government
property and theft or unauthorized use of
government property, except and only to the
extent such insurance or bond is required by
the specific written direction of the
Contracting Offices:.
(ii) The unallowable costs provisions of
subparagraph (e)(15)(iv) dealing with
Avoidable Costs and subparagraph (i) of this
clause, the profit making provision of the
clause set forth at 970.5204-14{e)(10), the
clause set forth at 970.5204-21(j), and the
profit making provision of the clause set forth
at 97Q.5204-31 are not applicable to Small
Businesses and Small Disadvantaged
Businesses as defined in file clause of this
contract entitled "Utilization of Small
Business Concerns and Small Disadvantaged
Business Concerns." All costs resulting from
the actions or inactions of Small Business
and Small Disadvantaged Businesses which
would otherwise be determined to be
Avoidable Costs are allowable costs to the
contractor.

5085

less. Such refund shall be at the rate of 5% of
the basic fee allocated to the evaluation
period in question for each performance point
below 76, as assigned by the Government Fee
Determination Official (FDD), provided that
no more than 50% of the basic fee shall be
required to he refunded under this provision.
Award fees earned shall become due and
payable following the issuance by the FDO of
a Determination of Award Fee Earned, in
accordance with the clause of this contract
entitled “Award Fee.”
*
*
*
*
*

14. Section 970.5204-18 is added as
follows:
970.5204- 18 Definition o f Nonprofit and
Profit Making Managem ent and Operating
contractors.

For purposes of subsections 970.520413(e)(12) and (e)(17)(iv), 97O.5204-44(e)(10)
and (e)(15)(iv), 970.5204-21(j) and 970.5204-31,
a nonprofit management and operating
contractor is one which receives no fee and is
considered nonprofit under the laws of the
jurisdiction where it is incorporated. A
subsidiary may be a nonprofit contractor if
all entities above it in the corporate structure
are considered nonprofit under the laws of
the incorporating jurisdiction. A Contracting
Officer may also treat as nonprofit a
contractor whose particular corporate
organization or circumstances, m the
judgment of the Contracting Officer, warrants
such consideration, provided such contractor
is a nonprofit organization as defined at 35
U.S.C. 201(i). All other management and
operating contractors are considered profit
making.

15. Section 970.5204-21 is amended by
adding a new paragraph (j):
970.5204- 21 Property.
*
*
*
*
*

(j)
A ddition al respon sibility fo r risk a flo s s
o f governm ent property .

The following paragraph (j) shall be added
in contracts with profit making contractors:
Notwithstanding the limitation of liability
described in paragraph ;(f) above, the
contractor will also be liable for direct costs
and expenses resulting from damage to
Government property as a direct result of
contractor or subcontractor negligence or
willful misconduct where the costs which are
13.
Section 970.5204-16 is amended by to be borne by the contractor are those
incurred in effecting the repairs to, or
revising the heading of the clause and
replacement of, Government property. These
by revising Note 2 to read as follows:
Avoidable Costs do not include scrap, waste
and other routine damages or losses winch
97GL5204-16 Payments and advances.
occur as part of the cost of doing business
Payments and Advances (January, 1991)
and are reasonably anticipated. Costs which
*
*
*
*
*
shall not be reimbursable are the result of
circumstances: (1) Clearly within the
Note 2: When aw ard-fee provision s in this
contractor’s or subcontractor's sole and
clause are used, in lieu o f paragraph (a), use
exclusive control and (2) resulting from acts
the fallow ing text:
or'omissions of the contractor or
(a) Payment o f Basic Fee and Award Fee.
subcontractor, in which the exercise of
The basic fee shall become due and payable
reasonable care would have avoided file loss
in equal monthly installments, provided,
or damage. In the event that such direct costs
however, that the contractor shall refund to
and expenses resulting from damage to
the Government a portion of the basic fee if
Government property are also in part caused
its performance during an evaluation period
falls below the level of acceptable
by third parties, other than DOE, such costa
and expenses will not be reimbursed by DOE.
performance, ie , a performance score of 75 or

5086

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Rules and Regulations

The allocation of financial responsibility
between the contractor and such third party
should be determined by the parties involved.
In addition, the contractor shall be liable
for direct damage to, or loss of, Government
property stemming from theft, embezzlement,
unauthorized use, or any other ultra vires
activity by any contractor or subcontractor
personnel at any level. Under these
circumstances the contractor shall be
required to bear the cost of repairing or
replacing the damaged or lost government
property.
For purposes of this clause, negligence is
the failure to exercise that standard of care
which a reasonable and prudent person
would exercise under the same or similar
circumstances in an identical or similar
environment.

16.
Section 970.5204-31 is revised to
read as follows:
970.5204-31

Litigation and claim s.

(a) Initiation o f litigation. The contractor
may, with the prior written authorization of
the Contracting Officer, and shall, upon the
request of the Government, initiate litigation
against third parties, including proceedings
before administrative agencies, in connection
with this contract. The contractor shall
proceed with such litigation in good faith and
as directed from time to time by the
Contracting Officer.
(b) D efense an d settlem en t o f claims.
Note 1: In contracts with nonprofit
contractors, add the following clause:
The contractor shall give the Contracting
Officer immediate notice in writing (1) Of any
action, including any proceeding before an
administrative agency, filed against the
contractor arising out of the performance of
this contract, and (2) of any claim against the
contractor, the cost and expense of which is
allowable under the clause entitled
‘‘Allowable Costs and Fixed-Fee.” Except as
otherwise directed by the Contracting
Officer, in writing, the contractor shall
furnish immediately to the Contracting
Officer copies of all pertinent papers received
by the contractor with respect to such action
or claim. To the extent not in conflict with
any applicable policy of insurance, the
contractor may, with the Contracting
Officer’s approval, settle any such action or
claim; shall effect, at the Contracting
Officer’s request, an assignment and
subrogation in favor of the Government of all
of the contractor’s rights and claims (except
those against the Government) arising out of
such action or claim against the contractor;
and, if required by the Contracting Officer,
shall authorize representatives of the
Government to settle or defend any such
action or claim and to represent the
contractor in, or to take charge of, any action.
If the settlement or defense of an action or
claim against the contractor is undertaken by
the Government, the contractor shall furnish
all reasonable assistance in effecting a
settlement or asserting a defense. Where an
action against the contractor is not covered
by a policy of insurance, the contractor shall,
with the approval of the Contracting Officer,
proceed with the defense of the action in
good faith and in such event the defense of

the action shall be at the expense of the
Government, provided, however, That the
Government shall not be liable for such
expense to the extent that it would have been
compensated for by insurance which was
required by law or by the written direction of
the Contracting Officer, but which the
contractor failed to secure or maintain
through its own fault or negligence.
Note 2: In contracts with profit making
contractors, add the following clause:
(1) The contractor shall give the
Contracting Officer immediate notice in
writing of any action, including any
proceeding before an administrative agency,
filed against the contractor arising out of the
performance of this contract, and of any
claim against the contractor the costs and
expense of which the contractor would
propose to submit as a claim for allowable
costs under the terms of the clause entitled
‘‘Allowable Costs and Fixed-Fee.”
(2) Except to the extent prohibited by the
Major Fraud Act of 1988, 41 U.S.C. 256, the
Contracting Officer may choose to instruct
the contractor to proceed in good faith with
the defense of the claim subject to the
direction of the Government. Except as
otherwise directed by the Contracting Officer
in writing, the contractor shall furnish
immediately to the Contracting Officer copies
of all pertinent papers received by the
contractor with respect to such action or
claim. The contractor may, with the
Contracting Officer’s approval, settle any
such action or claim. The contractor shall
effect, at the Contracting Officer’s request, an
assignment and subrogation in favor of the
Government of all of the contractor’s rights
and claims (except those against the
Government) arising out of or related to such
action or claim against the contractor, and, if
required by the Contracting Officer, shall
authorize representatives of the Government
to settle or defend any such action or claim
and to represent the contractor in, or to take
charge of, any action. If the settlement or
defense of an action or claim against the
contractor is undertaken by the Government,
the contractor shall furnish all reasonable
assistance in effecting a settlement or
asserting a defense. If an adverse judgment is
entered against the contractor in a case
where the Contracting Officer has approved
and/ or directed the defense as provided in
this paragraph, the costs of litigation and
liability for any resulting claim or damages
shall be at the expense of the Government,
provided, how ever, that the Government shall
not be liable for such expenses to the extent
that they would have been compensated for
by insurance which was required by law or
by the written direction of the Contracting
Officer, but which the contractor failed to
secure or maintain through its own fault or
negligence.
(3) Should the Contracting Officer not
choose to approve or direct the defense of the
litigation as provided in paragraph (2), the
Government has no liability for the costs of
litigation except as provided in paragraphs
(4) and (5). The contractor may request that
the Contracting Officer assume direction of
the litigation at any point when new facts on
the matter would so warrant; provided,
how ever, That the Contracting Officer may

assu m e direction o f the litigation or direct
settlem ent, w ithou t a req uest from the
contractor, at an y tim e during the litigation
p rocess w h en the Contracting O fficer
determ ines that it is in the b e st in terest o f the
G overnm ent to do so, in w h ich c a se the
liab ility for a n y resulting claim s or d am ages
sh all b e at the e x p e n se o f the G overnm ent.

(4) The contractor must inform the
Contracting Officer of any proposed
settlement agreement. The notification shall
be supported by all information available to
the contractor which is pertinent to the
settlement.
(i) Except to the extent prohibited by the
Major Fraud Act of 1988, 41 U.S.C. 256, the
Contracting Officer has the option of
accepting the settlement reached by the
contractor. If the settlement is accepted, the
Contracting Officer and the contractor shall
negotiate the Government’s share of the
settlement and litigation expenses. Any
agreement reached at this point shall be
under the authority, and subject to the
restrictions, of FAR 33.210.
(ii) If the contractor p roceed s without, or
oth erw ise d o e s not obtain, Contracting
O fficer approval o f the settlem en t agreem ent,
the co st o f the agreem ent and all related
c o sts o f litigation sh all b e at the contractor’s
o w n risk and exp en se.

(5)
(i) If the contractor has suffered a final
judgment, a claim for reimbursement of the
costs of litigation or any resulting damages or
both may be made to the Contracting Officer.
Except to the extent prohibited by the Major
Fraud Act of 1988,41 U.S.C. 256, the
Contracting Officer is authorized, in his
discretion, to negotiate a settlement with the
contractor.
(ii) Reimbursement of costs of litigation
and judgments under subsection (5)(i) may be
paid by the Government notwithstanding the
prohibitions contained in subsections
970.5204- 13(e) (12) and (17)(iv), subsections
970.5204- 14(e) (10) and (15)(iv) and section
970.5204- 21(j) and section 970.5204-31.
(6) Certification o f costs. The Contracting
Officer may not accept any settlement or
otherwise authorize reimbursement of costs
and/or damages where the contractor has not
certified, in the form required by the clause of
this contract entitled “Disputes,” the facts
known by the contractor, at the time the
matter is submitted for review, which form
the basis upon which the contractor seeks
reimbursement of these costs.
(c) C osts o f Litigation.
“Costs of Litigation” as used herein,
includes, but are not limited to,
administrative and clerical expenses; the cost
of legal services, whether performed by inhouse or private counsel; the costs of the
services of accountants, consultants, or
others retained by the contractor to assist it;
all elements of compensation, related costs,
and expenses of employees, officers, and
directors; and any similar costs incurred
before, during, and after commencement of a
judicial or administrative proceeding which
bear direct and substantial relationship to the
proceedings.
17.
Section 970.5204-32 is revised to
read a s follow s:

Federal Register / Vol. 56, No. 26 / T h u rsd ay , F e b ru a ry 7, 1991 / R ules a n d R egulations
970.5204- 32 Required bond and
insurance-exclusive o f G overnm ent
property.

Note 1: In contracts with nonprofit
contractors use the following clause:
The contractor sh all procure and m aintain
su ch b on d s an d insurance a s are required by
la w or by the w ritten direction o f the
Contracting Officer. T he term s and
con d ition s o f su ch b on d s an d insurance sh all
conform to the direction s o f the Contracting
Officer. In v ie w o f the p rovision s o f section

970.5204- 21, “Property,” the contractor shall
not procure or maintain for its own protection
any insurance covering loss or destruction of,
or damage to, Government property.
Note 2: In contracts with profit making
contractors use the following clause:
The contractor shall procure and maintain
such bonds and insurance as are required by
law or by the written direction of the
Contracting Officer. The terms and
conditions of any such bonds and insurance
shall conform to the directions of the
Contracting Officer. In view of the provisions
of 970.5204-21, “Property,” the contractor
may, at its own expense and not as an
allowable cost, procure for its own protection
insurance covering loss or destruction of, or
damage to, Government property to
compensate the contractor for any
unallowable or nonreimbursable costs
incurred in connection with such property.

particular a ctivities to individual evalu ation
periods, the financial ob ligation o f the
contractor sh all be lim ited to the am ount o f
the actual aw ard fee earn ed an d actual b a sic
fee earn ed in the evalu ation period w h en the
am ount o f su ch nonreim bursable c o sts or
liab ilities w ere fin ally determ ined. If the
determ ination a s to w h ich aw ard fee
period(s) the in cid en t or a ctivity occurred
resulting in the u n a llow ab le a v o id ab le c o sts
is m ade follow in g the expiration o f the
contract, or the contractor is oth erw ise
replaced, the actual aw ard fee earn ed and
the actual b a sic fee earn ed for the last
evalu ation period that the contract w a s in
effect sh all b e u tilized after deducting
d isa llo w ed A v oid ab le C osts that w ere
p reviou sly charged to the contractor during
that period.

(b)(1) The financial obligations of a
subcontractor, at any tier or level, under the
unallowable Avoidable Cost provisions
contained in 970.5204-13{e)(12) and
(e)(17)(iv), 970.5204-14(e)(10) and (e)(15)(iv),
970.5204-21(j), and 970.5204-31, (including (i)
Noncriminal fines and penalties, (ii) losses
which are avoidable losses or other third
party claims including the costs of defense of
such litigation, (iii) additional programmatic
expenses which are Avoidable Costs, and (iv)
the costs of subcontractor responsibility for
lost or damaged Government property) shall
be limited to the cumulative amount of the
fee or profit actually earned under the
contract, whether cost-plus or fixed-price,
18.
Sections 970.5204-55 and 970.5204- during the six-month contractor evaluation
56 are added as follows:
period when the event or events which were
caused by the subcontractor led to the
970.5204- 55 Ceiling on certain liabilities
incurrence of costs or liabilities or the
for profit making contractors.
imposition of fines and penalties occurred,
(a) The contractor’s potential financial
provided, how ever, if the Contracting Officer
obligations under the unallowable Avoidable
cannot reasonably determine the amount of
Cost provisions contained in 970.5204profit earned, the amount of profit earned
13(e}(12) and (e)(17)(iv), 970.5204-14(e)(10)
shall be deemed to be 15% of the subcontract
and (e)(15)(iv), 970.5204-21(j), and 970.5204price, prorated to the applicable six-month
31, {including (1) Noncriminal fines and
award fee period, which shall be the liability
penalties, (2) losses which are avoidable
cap for such period. This limitation or ceiling
losses or other third party claims including
does not apply to any other categories of
the costs of defense of such litigation, (3)
unallowable costs. In the case of continuing
additional programmatic expenses which are
activities of the subcontractor which occur
Avoidable Costs, and (4) the costs of
over a number of contract evaluation periods
contractor responsibility for lost or damaged
and result in costs or liabilities described
Government property) shall be limited to the
above, the potential financial obligation of
amount of the actual award fee earned and
the subcontractor shall be limited to the
the actual basic fee earned under the contract
amount of the fee or profit earned in the
[or the amount of 6-months of fixed fee in the
single contractor evaluation period when the
case of cost-plus-fixed fee contracts) in the
incident(s) or event(s) giving rise to the
evaluation period when the event or events
subcontractor’s disallowed cost or expense
which led to the imposition of the incurrence
took place. If it is not possible to relate or
of costs or liabilities or the imposition of fines
reasonably allocate particular activities to
and penalties occurred. This limitation or
individual contractor evaluation periods, the
ceiling does not apply to any other categories
financial obligation of the subcontractor shall
of unallowable costs, nor shall any other
be limited to the amount of the actual fee or
unallowable costs be utilized in the
profit earned, or the percentage of the
calculation of that ceiling for any evaluation
contract price designated by the Contracting
period. In the case of continuing activities of
Officer during the evaluation period when the
the contractor which occur over a number of
amount of such nonreimbursable costs or
evaluation periods and result in costs or
liabilities were finally determined. If the
liabilities described above, the potential
determination as to which award fee
financial obligation of the contractor shall be
period(s) the incident or activity occurred
limited to the amount of the actual award fee
resulting in the unallowable avoidable costs
earned and the actual basic fee earned in the
is made following the expiration of the
single evaluation period when the incident(s)
contract, or the subcontractor is otherwise
or event(s) giving rise to the contractor’s
replaced, the actual fee or profit earned, or
disallowed cost or expense took place. If it is
the percentage of the contract price
not possible to relate or reasonably allocate
designated by the Contracting Officer for the

5087

last contractor evaluation period that the
subcontract was in effect shall be utilized,
after deducting disallowed Avoidable Costs
that were previously charged to the
subcontractor during that period.
(2) Where the amount of fee or profit
earned by a subcontractor during the
contractor’s evaluation period is not
sufficient to pay in full all Avoidable Costs
incurred during that period, the excess
amount of these costs will be reimbursed or
otherwise treated as allowable costs by DOE;
p ro vid ed , however, That the M&O contractor
shall be responsible for the payment of such
Avoidable Costs in excess of the
subcontractor’s ceiling if such costs and/or
damages were caused in whole or in part by
the negligence of the M&O contractor;
provided, further, That in any case the M&O
contractor’s obligation to pay Avoidable
Costs incurred by the negligence of the
subcontractor is limited to the extent that (i)
The subcontractor’s profit for that evaluation
period was insufficient to pay the Avoidable
Costs in full and (ii) the contractor’s ceiling
on Avoidable Costs liabilities specified in
this subsection and in subparagraph (a) of
this section has not been reached for that
evaluation period. The contractor shall not
require a subcontractor, at any tier or level,
to provide financial guarantees for the
payment of Avoidable Costs beyond the
profit or fee earned by the subcontractor in
the relevant contractor’s six-month
evaluation period.
(3) Appropriate provisions to implement
the subcontractor liability ceiling contained
in this subparagraph (b) shall be inserted into
every subcontract, at any tier or level,
entered into with an M&O cohtractor
executed after the effective date of these
regulations, provided, how ever, That such
subcontract shall provide that to the extent
that Avoidable Costs incurred by the
negligence of the subcontractor are
reimbursed by the Government to the M&O
contractor, the M&O contractor shall
reimburse its subcontractor for all such costs
to the extent that such subcontractor has
already paid, or incurred without
reimbursement, such costs.
(c)
The contractor shall be responsible for
all costs and liabilities described in
paragraph (a) and (b) of this section, up to the
amount of the actual award fee earned and
the actual basic fee earned in the pertinent
evaluation period. The contractor agrees to
provide, in such form and amount as shall be
satisfactory to the Contracting Officer, a
financial guarantee to assure that the
contractor will have sufficient resources to
satisfy all costs and liabilities up to the
amount of the actual award fee earned and
the actual basic fee earned for a period based
upon the highest amount of fee received over
the last four evaluation periods.
Alternatively, at the election of the
contractor, at the end of each evaluation
period the Contracting Officer may retain a
percentage of the award fee and basic fee as
determined to be sufficient by the
Contracting Officer to protect the interests of
the Government. With respect to new
contracts or contracts that have been in
effect for less than two years (or four six-

5088

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Rules an d Regulations

month evaluation periods), the guarantee
shall be in an amount that the Contracting
Officer determines to be in the best interest
of the Government, but not to exceed the
amount of award fee and basic fee available
for the upcoming evaluation period. The
financial responsibility of the contractor and
the guarantee or retainage of the contractor
and the guarantee or retainage shall remain
in effect for up to one year after the
termination or expiration of the contract Any
costs or liabilities to third parties beyond the
limitations described above would be
reimbursed subject to the other provisions of
the contract governing cost reimbursement
The contractor’s potential financial risk far
proceedings costs under the Major Fraud Act
of 1988, 41 U.S.C. 256, or the civil or crim inal
penalties provisions of the Price-Anderson
Amendments Act of 1988,42 U.S.C. 2273,
2282, will not be limited except as provided in
regulations implementing those provisions.
970.5204-56

Determining avoidable costs.

(a)(1) Avoidable Costs are those costs
specified in 970.5204-13(e)(12) and (e)(17)(iv).

970.5204-14(eXl0) and (e)(15)(iv), 970.520421(j), and 970.5204-31 which are incurred as
the result of negligence or willful misconduct
by the contractor or its subcontractors, in
carrying out the terms and conditions of the
contract when:
(1) The work is clearly within the sole and
exclusive control of the contractor or
subcontractor; and
(ii) The increased costs or expenses result
from the actions or inactions of the contractor
or subcontractor; and
(in) DOE is not responsible in any way for
the act or omission which resulted in the
additional costs.
(2) The cost and expenses of litigation,
settlements, and related litigation costs
(including attorneys fees), fines, penalties,
judgments and liabilities resulting from
administrative findings, and damage to, or
loss of, Government property when carrying
out well understood non-experimental work
and damage to, or loss of, Government
property as the result of theft, embezzlement
or other unauthorized use are unallowable to
the extent that the acts or omissions resulting

in these costs are Avoidable Costs as defined
in paragraph (1) above. Such costs are
unallowable except as specifically authorized
by the Contracting Officer and within the
scope of work in the contract
(b) For purposes of this section, negligence
is the failure to exercise that standard of care
which a reasonable and prudent person
would exercise under the same or similar
circumstances in an identical or similar
environment
(c) Avoidable Costs shall not include the
cost of losses or damages incurred by the
contractor as a result of the acts or amissions
of employees who, during the phase-in period
of a new contract, the contractor is required
to employ as a result of assuming the
management of a DOE facility. The length of
this phase-in period shall be — months. It
shall in no event, however, exceed twelve
months. The contractor is always responsible
for the acts or omissions of any employee
hired directly by the contractor.
[FR Doc. 93-2212 filed 2-6-91; 8:45 am}
B U X iN S CODE 6450-01-M

Thursday
February 7, 1991

Part III

Environmental
Protection Agency
40 CFR Part 136 Water Programs;
Guidelines Establishing Test Procedures
for the Analysis of Pollutants; Proposed
Rule

5090

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules

ENVIRONMENTAL PROTECTION
AGENCY
40 CFR Part 136

[FRL 3813-5]
Water Programs; Guidelines
Establishing Test Procedures for the
Analysis of Pollutants

Environmental Protection
Agency (EPA).
ACTION: Proposed rule with request for
comments.
agency

:

This proposed rule amends
the Guidelines Establishing Test
Procedures for the Analysis of
Pollutants under section 304(h) of the
Clean W ater Act. This amendment
approves a method for the analysis of
seventeen tetra-through octachlorinated dioxin and furan
compounds. This technique, isotope
dilution high resolution GC/MS, is
substantially the same in both precision
and accuracy to the techniques already
approved under 40 CFR part 136.
Approved analytical techniques are
used for determining compliance with
effluent limitations, guidelines and
standards and in pretreatment
standards set forth at 40 CFR parts 402
through 699 (unless otherwise specially
noted or defined in those parts.).
d a t e s : Comments on this proposal must
be submitted on or before March 11,
1991.
a d d r e s s e s : Comments on this proposal
should be labeled as “section 304(h):
Comments on Proposed Rule” and
submitted to: Mr. James Lichtenberg,
Environmental Monitoring Systems
Laboratory-Cincinnati, U.S.
Environmental Protection Agency, 26
W est Martin Luther King Drive,
Cincinnati, Ohio 45268.
That portion of the public docket
proposed for incorporation by reference
into 40 CFR part 136 is available upon
request during this comment period from
Mr. James Lichtenberg, Environmental
Monitoring Systems Laboratory—
Cincinnati, U.S. Environmental
Protection Agency, 28 W est Martin
Luther King Drive, Cincinnati, Ohio
45268. Telephone Number: (513) 5697306.
The entire public docket will be
available for inspection from 8 a.m. to 4
p.m. in EPA’8 Public Information
Reference Unit, room M2904 (rear of
EPA Library), PM-211D, 401 M Street,
SW., Washington, DC 20460, and at the
Environmental Monitoring Systems
Laboratory—Cincinnati, at the Andrew
W. Breidenbach Environmental
Research Center, 26 W est Martin Luther
SUMMARY:

King Drive, Cincinnati, Ohio 45268, from
8 a.m. to 4:30 p.m., Monday through
Friday, excluding Federal holidays. The
EPA information regulation (40 CFR part
2) allows the Agency to charge a
reasonable fee for copying.
FOR FURTHER INFORMATION CONTACT:

Mr. James J. Lichtenberg at the address
listed above, or call (513) 569-7306.
SUPPLEM ENTARY INFORMATION

Outline of Preamble
I. Authority
II. Background and History
A. Analytical Methods Under 40 CFR part
136
B. Dioxin Testing
III. Summary of Proposed Rule
A. Introduction
B. Summary of Proposed Method
C. Method Parameters and Units
D. Method Quality Control
IV. Method Validation
A. Results of Method Validation Studies
B. Results of MDL Study
V. Precision and Recovery of the Proposed
Test Method
VI. Regulatory Requirements
VII. Public Docket
VIII. Materials Proposed for Incorporation by
Reference into 40 CFR Part 136
IX. Request for Comments

I. Authority
Today’s proposal is pursuant to the
authority of sections 301, 304(h), and
501(a) of the Clean W ater Act (CWA),
33 U.S.C. 1251 et seq (the Federal W ater
Pollution Control Act Amendments of
1972 as amended by the Clean W ater
Act of 1977 and the W ater Quality Act
of 1987) 33 U.S.C. 1314(h), 1361(a) 86
Stat. 816, Pub. L. 92-500, 91 Stat. 1567,
Pub. L. 95-217; 100 Stat. 7, Pub. L. 100-4
(the “Act”). Section 301 of the Act
prohibits the discharge of any pollutant
into navigable w aters unless the
discharge complies with a NPDES
permit, issued under section 402 of the
CWA. Section 304(h) of the Act requires
the Administrator of the EPA to
“promulgate guidelines establishing test
procedures for the analysis of pollutants
that shall include the factors which must
be provided in any certification
pursuant to section 401 of this Act or
permit applications pursuant to section
402 of this Act.” Section 501(a) of the
Act authorizes the Administrator to
“prescribe such regulations as are
necessary to carry out his function
under this Act.”
The Administrator has also made
these test methods applicable to
monitoring and reporting of NPDES
permits (40 CFR part 122, §§ 122.21,
122.41,122.44, and 123.25), and
implementation of the pretreatment
standards issued under section 307 of
the CWA (40 CFR part 403, §§ 403.10
and 402.12).

II. Background and History
A. Analytical Methods Under 40 CFR
Part 136 «
The CWA establishes two principal
bases for effluent limitations. First,
existing discharges are required to meet
technology-based effluent limitations
that reflect the best available
technology economically achievable.
New source discharges must meet the
best demonstrated technology-based
controls. Second, where necessary,
additional requirements are imposed to
assure attainment and maintenance of
w ater quality standards established by
the States under section 303 of the
CWA. In establishing or reviewing
NPDES permit limits, EPA must ensure
that the limits will result in the
attainment of w ater quality standards
and protect designated w ater uses,
including an adequate margin of safety.
To ensure compliance with these
effluent limitations, EPA promulgated
“Guidelines Establishing Test
Procedures for the Analysis of
Pollutants” in 40 CFR part 136 on
October 16,1973 (38 FR 28758). These
Guidelines, as amended, provide test
procedures for 262 different parameters.
These procedures apply to the analysis
of inorganic (metal, non-metal, mineral),
nutrient, demand, residue, radiological,
organic, bacteriological, and physical
parameters. Today’s proposal would
add a method to this list of nationallyapproved methods. EPA approves
methods which can provide generally
consistent and reliable results. Such
methods must be scientifically
validated, provide for reasonable
precision and recovery profiles, and
provide for quality control.
An alternate test procedure program
is also provided in 40 CFR 136.5,
whereby the Administrator may approve
alternate test procedures developed and
proposed by dischargers or other
persons. If dischargers or other persons
wish to use such alternate test
procedures, they must apply to the State
or Regional EPA permitting office for
limited approval and to the Director of
the Environmental Monitoring and
Support Laboratory (now the
Environmental Monitoring Systems
Laboratory) in Cincinnati for nationwide
approval.
Finally, there may be discharges from
some particular industries which need to
be regulated on the basis of parameters
or test procedures which have not been
proposed and approved within the scope
of the test procedure guidelines under 40
CFR part 136. EPA may include such
parameters as alternate test procedures
within the rulemaking for these

Federal Register / Vol, 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules
methods for dioxins, and in evaluation
of the potential toxic effects of the
polychlorinated dibenzo-p-dioxins
(PCDD) and polychlorinated
B. Dioxin Testing
dibenzofurans (PCDF).
In 1976 the U.S. District Court for the
In December 1983, EPA issued its
District of Columbia entered a consent
Dioxin Strategy for identifying,
decree requiring the Environmental
investigating, and cleaning up sites
Protection Agency (EPA) to measure and contaminated by dioxin. One aspect of
limit 65 compounds and classes of
that strategy w as a comprehensive
compounds in effluents discharged to
national survey of potentially
receiving w aters in the United States
contaminated industrial sites. H ie report
on the National Dioxin Study, Tiers 3, 5,
(NRDC v EPA). The list of 65 was
subsequently refined by EPA to a list of
6, and 7 w as issued in February 1987
126 specific analytes termed the
(EPA 440/4-87-003). The methods
“Priority Pollutants” and codified as the
employed for that study were restricted
section 307(a) list of “toxic pollutants"
to die analysis of 2,3,7,8-TCDD, and
in the 1977 Clean W ater Act (CWA)
were either variants of Method 613 or
amendments. Priority Pollutant Number
research methods employed by three
126 is 2,3,7,8 -tetrachlorodibenzo-pAgency ORD laboratories and an
dioxin (2,3,7,8-TCDD), one of the most
academic institution under contract.
Through the Office of Solid W aste
toxic substances known to man.
At the time of the inception of EPA,
(OSW), die EPA published two draft
several other Federal agencies were
methods for the analysis of PCDDs and
involved in the regulation of dioxinPCDFs. Method 8280, included in the
containing materials. In 1970, USDA
September 1986 release of the OSW
cancelled registration of the herbicide
method m anual SW-846, provided for
2.4.5- Trichlorophenoxyacetic acid (2,4,5- the analysis of all seventeen 2,3,7,8T) for use on human food crops, near
substituted PCDDs and PCDFs, at levels
bodies of water, and around homes. The
of approximately 100 parts per trillion
cancellation w as based on the
(ppt) in water, and 1 part per billion
contamination of the herbicide with low
(ppb) in soils. In 1987, a draft of a more
levels of 2,3,7,8-TCDD. In 1971, following sensitive method, Method 8290, was
a recommendation from the National
released for comment; a revision of
Academy of Science, EPA restored the
M ethod 8290 w as prepared in 1989 for
registration of 2,4,5-T for use on forests,
the Office of Solid W aste.
range lands, and in rice fields, but
In 1984, EPA published a revision of
limited the allowable levels of 2,3,7,8earlier w ater quality criteria in partial
TCDD in new stocks of the herbicide to
fulfillment of both paragraph 11 of the
less than 0.1 parts per million (ppm). In
consent decree and section 303(c) of the
1979, responding to new data on the
CWA. The document entitled “Ambient
effects of dioxin on laboratory animals
W ater Quality Criteria for 2,3,7,8and health effects in a population of
Tetrachlorodibenxo-p-dioxin” (EPA 440/
women living in Oregon near where
5-84-007) established the level of 0.013
2.4.5- T w as sprayed, EPA issued an
parts per quadrillion as the
emergency suspension of 2,4,5-T use.
concentration in w ater that corresponds
Also in 1979, EPA published the first
to a human cancer risk of 10“ ®. This
and only Agency analytical method for
level is below the ability of any method
2,3,7,8-TCDD to be promulgated under
at that time or the present to detect this
section 304(h). Method 613 was
analyte.
published in FR 44 (233), on December 3,
In 1987, in an effort to address risks
1979, The method is specific to the one
posed by PCDDs and PCDFs in the
isomer, 2,3,7,8-TCDD, and has an
environment, EPA adopted an interim
approximate detection limit of 2000
procedure for estimating the hazard and
parts per quadrillion (ppq) in w ater.
dose-response of complex mixtures of
In 1982, EPA confirmed earlier
PCDDs and PCDFs that w as based on
findings of the Centers for Disease
dioxin "toxicity equivalence” factors
Control (CDC) that die several areas in
(TEFs) (EPA/625/3-87/012). That
and around Times Beach, Missouri, were procedure, updated in 1989 (EPA/625/3significandy contaminated with 2,3,7,889/016), recognized that structureTCDD as a result of the disposal of
activity relationships exist between the
waste industrial oils. The problems at
chemical structure of a particular
PCDD/PCDF “and its ability to elicit a
Times Beach, and those later identified
biological/toxic response in various in
at Love Canal, in Niagara Falls, New
vivo and in vitro test systems”. Of the
York, increased public aw areness of the
210 possible chlorinated dibenzo-ppotential for dioxin contamination.
Partly in response to this awareness, the dioxins and chlorinated dibenzofurans,
the seventeen isomers that bear chlorine
Agency engaged in an increased level of
atoms in the 2,3,7, and 8 positions of
effort in die development of analytical

industries in accordance with the
provisions prescribed at 40 CFR 401.13,
‘T e s t Procedures for Measurements.”

5091

their respective structures are the
compounds of greatest concern. To aid
in the assessm ent of risks to human
health and the environment, a factor is
assigned to each of these seventeen
2.3.7.8- substituted PCDDs and PCDFs
that relates the toxicity of that isomer to
a concentration of the most toxic isomer,
2.3.7.8- TCDD. These factors are called
TEFs. The concentrations of any of the
seventeen isomers that are detected in
an environmental sample can then be
adjusted by the TEF and summed,
yielding a concentration of 2,3,7,8-TCDD
with an equivalent toxicity.
Given that PCDD/PCDF isomers other
than 2,3,7,8-TCDD have been identified
in effluents from pulp and paper mills
and in samples from other industries,
and considering that the TEF-adjusted
concentrations of the 2,3,7,8-substituted
PCDDs and PCDFs are additive, there
has been increased need for analyses of
PCDDs and PCDFs other than 2,3,7,8TCDD. The patterns of occurrence of the
other PCDDs and PCFDs have also been
demonstrated to be of use in
differentiating potential sources of
environmental contamination.
IIL Summary of Proposed Rule
A. Introduction
The proposed method, Method 1613, is
a high resolution capillary column gas
chromatography (HRGC)/high
resolution mass spectrometry (HRMS)
method for analysis of tetra- through
octa-chlorinated dibenzo-p-dioxins
(PCDDs) and dibenzofurans (PCDFs)
using isotope dilution. Method 1613 was
developed by the USEPA Office of
W ater Regulations and Standards
(OWRS), Industrial Technology Division
(ITD) in response to the need for
analysis of treated effluents at low
levels of 2,3,7,&TCDD (10 ppq). The
method w as designed for regulatory
development purposes and compliance
monitoring under the National Pollutant
Discharge Elimination System (NPDES,
CWA section 402).
The seventeen dioxin and furan
compounds identified in this amendment
may be determined in waters, soils,
sludges, and other matrices using the
proposed method. The detection limits
of the method are usually dependent on
the level of interferences rather than
instrumental limitation. The minimum
levels identified in this amendment
typify the minimum quantities that can
be determined in environmental
samples, using the method. Actual
detection limits for a given matrix would
need determination on a case-by-case
basis.

5092

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules

The GCMS portions of the proposed
method are for use only by analysts
experienced with HRGC/HRMS or
under the close supervision of such
qualified persons. Each laboratory that
uses the method must demonstrate the
ability to generate acceptable results
using the procedure in section 8.2 of the
method.
B. Summary o f Proposed M ethod
13C-labeled analogs of fifteen of the
2,3,7,8-substituted PCDDs and PCDFs
are added to each sample prior to
extraction. Samples containing coarse
solids are prepared for extraction by
grinding or homogenization. W ater
samples are filtered and then extracted
with methylene chloride using
separatory funnel procedures. The
particulates from die w ater samples,
soils, and other finely divided solids are
extracted using a combined Soxhlet
extraction/Dean-Stark azeotropic
distillation. Prior to cleanup and
analysis, the extracts of the filtered
w ater and the particulates are
combined.
After extraction, S7CU-labeled 2,3,7,8TCDD is added to each extract to
measure the efficiency of the cleanup
process. Sample cleanup may include
back extraction with acid and/or base,
and gel permeation, alumina, silica gel,
and activated carbon chromatography.
High performance liquid
chromatography (HPLC) may be used
for further isolation of the 2,3,7,8isomers or other specific isomers or
congeners.
After cleanup, the extract is
concentrated to near dryness.
Immediately prior to injection, two
internal standards are added to each
extract, and a 1 uL aliquot of the extract
is injected into the gas chromatograph.
The analytes are separated by the GC
and detected by a high resolution
(ii 10,000) mass spectrometer. Two exact
masses (m /z’s) are monitored for each
analyte.
Dioxins and furans are identified by
comparing GC retention times and the
ion abundance ratios of the m /z’s with
the corresponding retention time ranges
of authentic standards and the
theoretical ion abundance ratios of the
exact m /z’s. Isomers and congeners are
identified w hen the retention times and
m /z abundance ratios agree within pre­
defined limits. By using a GC column or
columns capable of resolving the 2,3,7,8substituted isomers from all other tetraisomers, the 2,3,7,8-substituted isomers
are identified when the retention time
and m /z abundance ratios agree within
pre-defined limits of the retention times
and exact m /z ratios of authentic
standards.

Quantitative analysis is performed by
GCMS using selected ion current profile
(SICP) areas, in one of two ways. For the
fifteen 2,3,7,8-substituted isomers for
which labeled analogs are available, the
GCMS system is calibrated and the
compound concentration is determined
using an isotope dilution technique. The
quantitative result for each of these
fifteen isomers is corrected for the
recovery of the corresponding
isotopically-labeled compound from the
sample, which serves to correct for the
variability of the entire analytical
procedure. Although a labeling analog of
the octachlorinated dibenzofuran
(OCDF) is available, using high
resolution mass spectrometry it
produces an m /z that may interfere with
the identification and quantitation of the
unlabeled octachlorinated dibenzo-pdioxin (OCDD). Therefore, this labeled
analog has not been included in the
calibration standards, and the unlabeled
OCDF is quantitated against the labeled
OCDD. Because the labeled analog of
1.2.3.7.8.9- HxCDD is used as an internal
standard (i.e., not added before
extraction of the sample), it cannot be
used to quantitate the unlabeled
compound by strict isotope dilution
procedures. Therefore, the unlabeled
1.2.3.7.8.9- HxCDD is quantitated using
the average of the responses of the
labeled analogs of the other two 2,3,7,8substituted HxCDD’s, 1,2,3,4,7,8-HxCDD
and 1,2,3,6,7,8-HxCDD. As a result, the
concentration of the unlabeled
1.2.3.7.8.9- HxCDD is corrected for the
average recovery of the other two
HxCDD’s.
For non-2,3,7,8-substituted isomers
and the total concentrations of all
isomers within a level of chlorination
(i.e., total TCDD), concentrations are
determined using response factors from
the calibration of labeled analogs at the
same level of chlorination.
The quality of the analysis is assured
through reproducible calibration and
testing of the extraction, cleanup, and
GCMS systems.
C. M ethod Parameters and Units
Method parameters are listed below,
identified by CAS Registry numbers.
PCDDs/PCDFs isomer/congener1
2,3,7,8-TCDD.....................................
Total—TCDD..............................
2,3,7,8-TCDF......................................
Total—TCDF..............................
1,2,3,7,8-PeCDD................................
Total—PeCDD............................
1.2.3.7.8- PeCDF............................
2.3.4.7.8- PeCDF............................
Total—PeCDF.............................
1,2,3,4,7,8-HxCDD.............................
1,2,3,6,7,8-HxCDD.............................

CAS registry
1746-01-6
41903-57-5
51207-31-9
55722-27-5
40321-76-4
36088-22-9
57117-41-6
57117-31-4
30402-15-4
39227-28-6
57653-85-7

PCDDs/PCDFs isomer/congener1
1,2,3,7,8,9-HxCDD.............................
Total—HxCDD............................
1 2,3,4 7,8-HxCDF.............................
1,2’3 ^ 7 ’8-HxCDF.............................
1^2,3j]8,9-HxCDF.............................
2’3A 6’7’8-HxCDF.............................
Tn'tfii—HvrnF
1,2,3,4,6,7,8-HpCDD..........................
total—Hphnn ......................
1,2,3,4,6,7,8-HpCDF...........................
1,2,3,4,7fi,9-HpCDF................. „.......
Total—HpCDF.............................
OCDD................................................
OCDF.................................................

CAS registry
19408 74-3
34465-4608
70648-26-9
57117-44-9
72918-21-9
60851-34-5
55684-94-1
35822-46-9
37871-00-4
67562-39-4
55673-89-7
38998-75-3
3268-87-9
39001-02-0

1 Polychlorinated dioxins and furans:
TCDD = Tetrachlorodibenzo-p-dioxin
PeCDD = Pentachlorodibenzo-p-dioxin
HxCDD = Hexachlorodibenzo-p-dioxin
HpCDD = Heptachlorodibenzo-p-dioxin
OCDD = Octachlorodibenzo-p-dioxin
TCDF = Tetrachlorodibenzofuran
PeCDF = Pentachlorodibenzofuran
HxCDF = Hexachlorodibenzofuran
HpCDF = Heptachlorodibenzofuran
OCDF = Octachlorodibenzofuran

Test results are expressed in units of
pg/L for aqueous samples. For samples
containing one percent or greater solids
(soils, sediments, aqueous sludges, filter
cake, compost), test results are reported
in units of ng/Kg, based on the dry
weight of the sample.
D. Method Quality Control
Method 1613 provides a QA/QC
program that equals or exceeds that of
the 600 series methods promulgated
under CWA section 304(h).
Each laboratory that uses the
proposed method is required to operate
a formal quality assurance program. The
minimum requirements of this program
consist of an initial demonstration of
laboratory capability (described in
Method 1613, section 8.2), analysis of
samples spiked with labeled compounds
to evaluate and document data quality,
and analysis of standards and blanks as
tests of continued performance.
Laboratory performance is compared to
established performance criteria to
determine if the results of analyses meet
the performance characteristics of the
method. If the method is to be applied
routinely to samples containing high
solids with very little moisture (e.g.,
soils, filter cake, compost) or to an
alternate matrix, the high solids
reference matrix or the alternate matrix
is substituted for the reagent w ater
matrix in all performance tests.
The method requires spiking of all
samples with labeled compounds to
monitor method performance. When
results of these spikes indicate atypical
method performance for samples, the
samples are diluted to bring method
performance within acceptable limits.
The method requires calibration
verification and the analysis of the

F e d e ra l R eg ister / Vol. 56, No. 26 / T h u rsd ay , F e b ru ary 7, 1991 / P ro p o sed R ules
precision and recovery standard every
shift to demonstrate that the analytical
system is in control. Analysis of blanks
is required to demonstrate freedom from
contamination.
Laboratories using the method are
required to maintain records to define
the quality of data (i.e., data accuracy
statements) that are generated.
Specific method quality control
requirements are described in
paragraphs 1-8 below.
Note: Requirements apply separately to
each individual instrument and column/
detector system. All Method 1613
performance criteria must be met on an
instrument and column/detector system prior
to the analysis of samples, blanks, or
precision and recovery standards on that
system.

1. Instrument calibration and system
performance: Initial and continuing
calibration and associated system
performance checks are required on
each instrument and column/detector
system.
a. GCMS system performance checks
and initial 5-point calibration are
performed for all target (unlabeled)
analytes and labeled compounds
(section 7, Method 1613). System
performance checks to demonstrate that
method specifications for relative
retention times, mass spectrometer
resolution, ion abundance ratios,
Minimum Levels, absolute retention
times, retention time windows, and
isomer specificity have been met, are
required. Initial calibration and
successful completion of system
performance checks are required prior
to the analysis of any samples on the
analytical system, and if calibration
verification criteria cannot be met for
any compound at any time (sections
14.3.4 and 14.4.3, Method 1613).
b. Verification of system performance
and calibration are required for all
target (unlabeled) analytes and labeled
compounds through analysis of the VER
standard (CS3) (Table 4, Method 1613)
and isomer specificity test standards
(section 6.16, Table "5, Method 1613) and
through demonstration that mass
spectrometer resolution and retention
time specifications are met, at the
beginning of each 12-hour shift during
which samples are analyzed (sections
14.1-14.4, Method 1613). If recovery of
labeled compound spiking standards in
a diluted sample fall outside method
limits, then calibration verification is
performed at that time (section 17.4,
Method 1613).
2. Attainment of Minimum Levels:
Whenever initial calibration is
performed, the method requires
demonstration that each instrument and
column/detector system meets the

minimum levels (MLs) specified for each
analyte in the method (Table 2, Method
1613), through analysis of the CSl
calibration solution (sections 7.2 and
7.2.3, Method 1613). The capability of the
instrument and column/detector system
to attain method MLs for all target
compounds must be demonstrated prior
to the analysis of any samples on that
system.
3. Precision and recovery analyses:
Initial and ongoing precision and
recovery (PAR) of all target (unlabeled)
analytes and labeled compounds are
required on each instrument and
column/detector system.
a. Initial demonstration of ability to
generate acceptable precision and
recovery (IPR) by analysis of multiple
samples prepared from the PAR
standard (section 8.2, Method 1613).
b. To establish ongoing precision and
recovery (OPR), the analysis of a single
sample prepared from the PAR standard
and extracted with each sample set
(section 14.5, Method 1613) is required.
(A sample set is comprised of samples
started through the extraction process
on the same 12-hour shift, to a maximum
of 20 samples.)
4. Ongoing sample QC: a. All samples
and QC aliquots are spiked with the
diluted labeled compound spiking
standard, to assess method performance
on the sample matrix (section 8.3,
Method 1613).
b. To assess method precision and
recovery, after the analysis of five
samples of a given matrix type, an
accuracy interval is determined based
on computations of average percent
recovery and the standard deviation of
the percent recovery for labeled
compound analyses. The laboratory is
required to maintain and update
accuracy assessments on a regular
basis. (Section 8.4, Method 1613.)
5. Complex sample reanalyses:
Sample dilution and reanalysis of
aqueous samples and reanaiysis of a
smaller portion of solid samples is
required if labeled compound recoveries
fall outside method limits in the original
sample analysis (sections 8.3.3 and 17,
Method 1613).
6. Blanks: A minimum of one reagent
w ater blank, high solids reference
matrix blank, paper'matrix blank, or
alternate reference matrix blank
analysis, as appropriate to the sample
matrix type, is prepared once for each
sample set, and analyzed immediately
after analysis of the OPR aliquot, and
when contamination is suspected or
detected (section 8.5, Method 1613). (A
sample set is comprised of samples
started through the extraction process
on the same 12-hour shift, to a maximum
of 20 samples.)

59S3

7. Analysis of standards: Analysis of
all standard solutions is required within
48 hours of preparation and on a
monthly basis thereafter, to monitor
stability (section 6.17, Method 1613). The
laboratory must use standard reference
solutions for EPA or the NIST (or
secondary standards traceable thereto),
or from sources which attest to the
authenticity and concentrations of the
standard solutions.
8. Data Storage: Storage of each signal
at its exact m /z, response ratios and
response factors, multi-point calibration
curves, computations of relative
standard deviations (coefficient of
variation) used to test calibration
linearity, statistics on initial and
ongoing precision and recovery, and
other pertinent data necessary for
rigorous compound identification and
quantification, is required (section 7.8,
Method 1613).
The method requires adherence to
standard laboratory practices for
cleanliness and environment, and to the
specifications of the method for
glassware and apparatus, reagents,
solvents, and safety. Additional
guidelines regarding general laboratory
procedures are to be followed as
specified in sections 4 and 5 of the
Handbook for Analytical Quality
Control in Water and W astewater
Laboratories, EPA-600/4-79-019.
IV. Method Validation
The current version of Method 1613
(Revision A, April, 1990) is a result of
extensive peer review and comment,
intralaboratory validation, and the
analysis of over 500 samples of
industrial and municipal wastewaters
and sludges.
EPA has conducted a singlelaboratory validation of the method and
of the SDS extraction technique for
municipal sewage sludge. The SDS
study, described briefly here, is detailed
in the document “Performance
Evaluation of Method 1613,“ March 1990,
USEPA Office of Water, OWRS, ITD. In
April 1990, the EPA conducted a single­
laboratory method detection limit (MDL)
study for Method 1613 determination of
2.3.7.8- TCDD and 2,3,7,8-TCDF. This
study, described briefly here, is detailed
in the document, “Summary Report,
USEPA, ITD, Method Detection Limit
Study for Method 1613 Determination of
2.3.7.8- TCDD and 2,3,7,8-TCDF," May
1990, USEPA Office of Water, OWRS,
ITD.
A multiple-laboratory international
validation study is currently being
initiated. The study will use previously
prepared extracts of pulp and paper
effluents and sludges to create a series

5094

Federal Register / Vol. 56, N o. 26 / T h u rsd ay , F eb ru ary 7, 1991 / P ro p o sed R ules

of simulated effluent samples for
extraction and analysis. At least
fourteen laboratories from five countries
are scheduled to participate in this
study. This study is described in the
document, “Study Plan for the
Evaluation of Method 1613“, May 1990
USEPA Office of W ater, QWRS, ITD.
EPA intends to provide a notice o f data
availability and solicit comments on the
results of this study.
A. Results o f M ethod Validation Studies
This single-laboratory test involved
the use of a new extraction technique
for solid matrices. The SDS technique
w as taken from published work
(Lamparski and Nestrick, 1989)
performed at Dow Chemical Company,
and modified for use in M ethod 1613.
A Soxhlet extraction procedure is
specified in many analytical methods for
the extraction of polychlorinated
dibenzo-p-dioxins and polychlorinated
dibenzofurans (PCDDs/PCDFs) from
solid and semi-solid matrices such as
soil and sludge. Basically, the procedure
involves fee repeated refluxing of an
organic solvent such feat fee solvent
percolates through fee sample matrix
and extracts fee compounds of interest
by dissolution.
Typically, when using Soxhlet
extraction, steps must be taken to
remove the w ater from the sample
matrix prior to extraction because fee
organic solvents used for extraction are
not w ater miscible. This is particularly
true when extracting samples wife high
moisture contents such as sludge.
Techniques such as filtration and
centrifugation have been employed to
remove the w ater in other analytical
procedures. The addition of sodium
sulfate to remove the w ater from the
sample has been extensively employed
in the analysis of organic compounds
from environmental matrices. Each of
these techniques involves additional
handling of fee sample, and therefore
increases fee potential for introduction
of contaminants, loss of analytes, or loss
of the entire sample. Since each sample
handling step has fee potential to
increase fee variability of the data
produced by the overall analytical
method, it is critical to minimize sample
handling steps when dealing with
2,3,7,8-TCDD at the levels addressed in
fee Method 1613 (10-25 ppq).
Another technique for removing w ater
from a sludge sample and ether types of
wet samples involves the use of a Dean
Stark w ater separator in conjunction
with a Soxhlet extractor. This piece of
glassware fits between the Soxhlet
extractor and the condenser, and offsets
fee condenser to one aide. This offset
provides space for a dogleg that drops

8traignt down from the bottom of the
condenser. Ground glass joints connect
fee separator to fee Soxhlet extractor
and fee condenser, and fee dogleg ends
in either a graduated receiving tube or a
stopcock. The resulting combined
apparatus is referred to as fee SoxhletDean Stark apparatus, abbreviated as
SDS.
W ater is removed from fee sample
during extraction by fee process of
azeotropic distillation. Originally
designed for processes involving xylene,
fee separator works equally well wife
toluene, the extraction solvent specified
in Method 1613, because toluene and
w ater form an azeotrope feat boils at a
temperature of 85 *C. W hen fee
azeotropic vapor condenses, fee liquid
drops into the dogleg, where fee toluene
floats on top of the more dense water,
and eventually flows back into the
distilling flask. The use of a separator
with a stopcock allows fee laboratory to
draw off fee collected w ater without
interrupting the extraction process.
The SDS extraction technique offers
fee potential for enhancing analytical
precision and decreasing bias by
reducing fee number of sample handling
steps and more effectively extracting the
sample. It has a noteworthy advantage
over simple Soxhlet extraction in that
fee percent moisture in the sample may
be determined directly from the sample
being extracted, rather than from
another aliquot of fee sample which
may not be truly representative of fee
aliquot that is extracted.
The SDS combination offers a
significant advantage over fee use of
sodium sulfate to remove fee w ater from
fee sample matrix. Sodium sulfate drys
fee sample by hydrating itself wife fee
w ater in fee sample. During the process
of extraction, some of this w ater of
hydration may be lost back to the
sample or to fee solvent and, as a result,
fee dehydrated sodium sulfate may seal
off pores in fee surface of fee solid
matrix. This process effectively traps fee
analytes of interest within fee matrix,
thus preventing their extraction.
Another potential problem wife fee
use of sodium sulfate in fee analysis of
very low levels of PCDDs/PCDFs is the
loss of analytes by adsorption of
contaminants on the reagent itself. The
reagent is typically purified on any
organic contaminants by heating it in a
muffle furnace at high temperatures.
Any organic material present is charred,
often given the reagent a light gray cast.
While the heat treatment effectively
prevents this organic m aterial from
being extracted from fee sodium sulfate,
PCDDs/PCDFs are strongly adsorbed by
activated carbon, and fee charred
material represents a source of

activated carbon. Because of fee
potential loss of analytes through fee
use of sodium sulfate, ITD has chosen to
avoid the use of this reagent during the
extraction of samples.
Although Dow has published data on
fee use of the SDS in other solid
matrices (Lamparski and Nestrick, 1989),
fee first phase in the validation on
Method 1613 consisted of an
intralaboratory study to ascertain the
comparability of fee SDS procedure with
fee more commonly used Soxhlet
procedure when applied to municipal
sewage sludge.
1. Experimental Design of SDS Study
To demonstrate fee comparability of
fee SDS procedure proposed for EPA
Method 1613 with fee Soxhlet procedure
currently employed in other analytical
methods for PCDDs/PCDFs, a five
gallon sample of sewage sludge w as
sent to an EPA contract laboratory for
analyses. Industrial Technology Division
Episode 1519 consisted of nine analyses
of fee sludge sample, as follows:
—3 analyses of the unspiked sludge,
extracted by Soxhlet
—3 analyses o f sludge spiked wife
PCDDs/PCDFs, extracted by Soxhlet
—3 analyses of sludge spiked wife
PCDDs/PCDFs, extracted by SDS
A preliminary examination of the
unspiked sludge data indicated feat very
few of the PCDDs/PCDFs were detected
in these samples. Hence, it would have
been impossible to collect statistically
meaningful results from an experiment
in which fee unspiked sludge was
extracted by both procedures.
Therefore, fee unspiked data were not
considered further.
The sludge w as spiked by fee
laboratory wife all 17 2,3,73-substituted
PCDD/PCDF isomers prior to extraction.
Replicate aliquots were extracted by
Soxhlet alone and by fee SDS
procedure. Because this work w as done
during fee earliest stages of
development of Method 1613, fee
laboratory utilized Method “8290x” for
fee analyses. (For the purpose of testing
fee SDS procedure, this instrumental
aspects of “8290x" were deemed to be
sufficiently similar to Method 1613.) The
resulting data were evaluated to
determine if the SDS procedure provided
comparable or better results than fee
Soxhlet procedure alone.
The results of this study are
summarized in “Peformance Evaluation
of Method 1613, “USEPA, OWRS, ITD,
March 1990.
2. SDS Study Conclusions
Based on this study, fee data for
1,2,3,4,6,7,8-HpCDD and 2,3,7,8-TCDF
do indicate a significant difference

Federal Register / V ol. 56, No. 26 / Thursday, February 7, 1991 / Proposed R u le s _______ 5095

between the extraction procedures, with
the SDS extraction yielding higher mean
concentrations (recoveries) of these two
isomers. However, one cannot
differentiate between the means of the
concentrations of 15 of the spiked
analytes determined using the two
extraction procedures. The lack of
differentiation betw een those mean
concentrations m ay reflect the small
size of the data sets tested.
Although the strength of this
conclusion is limited by the size of the
data set, the data indicate that the SDS
procedure is as good an extraction
method as the Soxhlet procedure alone,
and better for at least two isomers.
Given this, and the advantages that
fewer sample handling steps are
involved in the SDS procedure and the
percent solids content of the sample
may be determined directly from the
aliquot extracted for analysis, the SDS
procedure w as incorporated into
Method 1613.
B. Results ofMDL Study
A single-laboratory method detection
limit (MDL) study of Method 1613 w as
undertaken in April 1990. The basic
design of this study w as in accordance
with the procedure for determining
MDLs specified in appendix B of 40 CFR
part 136, as published in the October 26,
1984 Federal Register. The major
requirements of this procedure are:
• At least seven (7) aliquots of
reagent w ater must be spiked with the
analytes of interest.
• Spike levels should be in the range
of one to five times the laboratory’s
estimate of the detection limit of each
analyte.
• Analyze all replicates and calculate
a mean and standard deviation of die
concentration of each analyte.
• Calculate the MDL as the standard
deviation times the Students t value for
(n-1) degrees of freedom, where n is the
number of replicates.
According to 40 CFR part 136, the
MDL is defined as the minimum
concentration of a substance that can be
measured and reported with 99%
confidence that the analyte
concentration is greater than zero and is
determined from analysis of a sample in
a given matrix containing the analyte.
For the purposes of this study, die
laboratory chose to analyze eight
replicate samples instead of the
minimum of seven.
1. Estimated Detection Limits
As noted above, the Federal Register
procedure requires that each replicate is
spiked with a solution containing target
analytes at a concentration between one

and five times the laboratory’s
estim ated detection lim it The
specifications in 40 CFR part 136 also
list four ways in which to determine an
estimate of the detection limit of the
method. The first of these options is to
estimate the concentration value that
corresponds to an instrument signal-tonoise ratio of 2.5 to 2.0. Using this
criteria, the laboratory calculated an
estimated detection limit of 25 ppq for
2,3,7,8-TCDD and 2,3,7,8-TCDF as
follows:
• The lowest calibration solution
(CSI) in Method 1613 has a 2,3,7,8-TCDD
concentration of 0.5 ng/mL and presents
a peak with a signal to-noise ratio of at
least 10.
• Each sample analyzed by Method
1613 has a final volume of 20 uL. By
multiplying the final volume of the
sample times the concentration of TCDD
in the CSI solution, it w as determined
that the sample with a concentration
equivalent to that of the lowest
calibration standard would have a final
TCDD concentration of 10 pg/L or 10
ppq. This concentration is equal to the
“Minimum Level’’ described in Method
1613, and is derived in the same fashion.
• The Minimum Level in Method 1613
w as equated with the American
Chemical Society’s (ACS) concept of the
Limit of Quantitation (LOQ). The ACS
further defines a Limit of Detection
(LOD) as approximately one-third of the
LOQ. Thus, the laboratory set their
estim ated detection limit as one-third
the Minimum Level, or 3.3 ppq. This
figure represents the estimated detection
limit at 100% recovery, and should yield
an instrumental signal of at least 2.5
times the background noise.
• Since Method 1613 specifies analyte
quantitation by isotope dilution and
allows data acceptance when labeled
compound recovery is as low as 25%, the
estimated detection limit w as adjusted
by the laboratory to account for the
worst-case recovery. Thus, 3.3 ppq w as
divided by 0.25, and a worst-case
estim ated detection limit w as calculated
as 13.2 ppq.
2. Spike Levels
The Federal Register specifies that
each of the replicates be spiked with
each analyte to yield a concentration
between one and five times the
estimated detection limit. The
laboratory chose to use spike solutions
containing approximately twice the
estimated detection limit of 13.2 ppq.
Thus, the 2A7.8-TCDD and 2 ,3 ,7 ,8 -TCDF
isomers were both spiked at 25 ppq.
3. MDL Study Conclusions
Analytical results of the MDL study
are summarized in “Summary Report,

USEPAITD, Method Detection Limit
Study for Method 1613 Determination of
2.3.7.8- TCDD and 2 ,3, 7 ,8 -TCDF’, USEPA,
OVVRS, ITD, May 1990.
The MDL value for 2,3,7,8-TCDD from
this single laboratory study w as 5.6 ppq.
The MDL for 2,3,7,8-TCDF w as 1.7 ppq.
These values are 1.8 and 5.8 times lower
than the respective Minimum Levels
specified in Method 1613 for these two
isomers, and indicate that the method is
capable of determining 2,3,7,8-TCDD
and 2,3,7,8-TCDF at the Minimum Level.
H ie MDL values for 10 of the other 15
isomers follow a similar pattern, with
the dioxin isomers having slightly higher
MDLs than the corresponding furans.
The MDL values of these 10 isomers are
all (2—5x) below the specified Minimum
Levels, and indicate the ability of
Method 1613 to determine these
analytes at the specified Minimum
Levels.
The exceptions are the OCDD, OCDF,
1.2.3.4.6.7.8- HpCDD, 1,2,3,4,6,7,8-HpCDF,
and 1,2,3,6,7,8-HxCDD isomers. The
MDL values of these 5 isomers were
significantly higher (5—100 X) than the
other MDL values. However, these
MDLs were all skewed by the
inordinately high concentrations of
these five isomers in two of the eight
samples, None of these isomers were
detected at significant levels in the
method blank associated with ail eight
samples, however, the concentrations
appear to be the result of either
laboratory contamination or incorrect
spiking of these two samples. No
attempt was made to correct the MDL
values for these outlier concentrations.
V. Precision and Recovery of the
Proposed Test Method
As part of die method’s ongoing QA/
QC requirements and l'l'D’s QA/QC
program, ITD and each laboratory
performing method 1613 routinely collect
data on method performance in various
reference matrices (see § 6.6 of the
method). Additional method
performance data have been collected
by ITD during 1989 industry studies on
effluent and sludge samples from the
pulp and paper, petroleum refining,
Superfund dischargers, and pesticides
industries.
Prior to sample analysis using Method
1613, a laboratory must complete the
start-up tests (Initial Precision and
Recovery, Method § 8.2). The laboratory
must also analyze an ongoing precision
and recovery aliquot (Method § 14.5)
with each sample set. The results of
these analyses must display acceptable
precision and recovery, as defined in the
method.

5096

Federal Register / V ol. 56, No. 26 / Thür^day, February ?, ÏÔ91 ./ P ro p o sed R ules

ITD has compiled the initial precision
and recovery (IPR) data and ongoing
precision and recovery (OPR) data from
all the laboratories that have performed
analyses using this method under
contract to ITD (see Performance
Evaluation of Method 1613, OWRS, ITD,
March 1990). An evaluation of over 60
IPR and OPR analyses indicates that all
the laboratories are able to achieve
acceptable recoveries of the unlabeled
and labeled compounds spiked into the
reference matrices. For 2,3,7,8-TCDD,
the mean IPR recovery across all labs
was 88.5%. The mean IPR recoveries of
all other unlabeled compounds were
even higher. The mean recovery of
OCDD w as above 100% due to the great
difficulty in eliminating background
levels of this compound. The data have
not been adjusted for the levels of
OCDD found in the blanks. The
standard deviation of the unlabeled
compound recoveries are also relatively
low. No unlabeled compound had a
standard deviation across all labs of
greater than 20%.
The evaluation of the ongoing
precision and recovery data indicates
similar trends. The unlabeled compound
recoveries were all above 90%, and the
labeled compound recoveries were
greater than 50%.
Isotope dilution quantification
provides significant improvements in
analytical precision. Despite losses of
some labeled compounds as high as 50%
during the extract cleanup, the precision
of the results for the unlabeled
compounds, measured as the standard
deviation of the recoveries, is
considerably better than for the two
unlabeled compounds quantified by
internal standard techniques.
Based on results of analysis of 500
samples, performance data show that
the recoveries of labeled compounds
from field samples were well within the
method specifications (25 to 150%) for all
but a few samples. These few samples
were generally in-process w astew aters
or product samples such as a
depentanized petroleum reformate. The
recoveries from solid samples were
slightly higher than for aqueous samples
from the same industrial categories.
The data collected by ITD
demonstrate that the method is
sufficiently reliable to be used by a
variety of laboratories. The precision
and recovery of the method meet the
needs of the Agency for a compliance
monitoring and survey method for
dioxins and furans. Specifically, the
precision and recovery profiles are well
within the range of current part 136

methods and similar to the existing part
136 method for dioxin. The method
contains an extensive QA/QC program
that allows the data user to evaluate the
quality of individual sample results. This
QA/QC program w as built into the
method from the start, not simply added
on to an existing method. The benefits of
this approach were evident during the
development of the final method, where
data on labeled compound recoveries
were instrumental in evaluating various
sample extraction and clean up
procedures.
VI. Regulatory Requirements
A. Executive Order 12291
This rule is associated with no
increase in reporting or recordkeeping
burden to respondents as covered under
the provisions of the Paperwork
Reduction Act, 35 U.S.C. 3501 e t seq.
The rule describes a test method but
does not place any additional
information reporting or recordkeeping
burden on respondents.
Under Executive Order 12291, EPA
must judge whether a regulation is
“major" and, therefore, requires a
regulatory impact analysis study. This
regulation is not major for the following
reasons:
1. It only prescribes an analytical
method that ensures a uniform measure
of pollutants across all w astew ater
discharges within minimum acceptance
criteria. It does not require that analyses
actually be performed. (Other existing
rules require such analyses.) The
purpose is to ensure that the quality of
the environmental monitoring data
meets certain minimum standards.
2. The impact of this regulation will be
far less than $100 million. The regulation
affects unit monitoring cost for the
NPDES programs, e.g., effluent
guidelines regulations and the NPDES
implementation regulations, and the
pretreatment programs. However, this
rule does not itself impose those costs.
The monitoring costs for other programs
are considered in the rule-making for
each program.
3. This regulation will potentially
affect all NPDES permittees and will not
be concentrated on any particular
sectors of American industry, and will
not be significant Accordingly, there
will be no significant adverse affects on
competition, employment, investm ent
productivity, innovation, or on the
ability of the U.S.-based enterprises to
compete with foreign-based enterprises
in domestic or export markets.

This action will be submitted to OMB
for review as required by Executive
Order 12291.
B. Regulatory Flexibility A ct
Under the Regulatory Flexibility Act
(5 U.S.C. 602 et seq.), EPA is required to
determine if a regulation will
significantly afreet a substantial number
of small entities and, therefore, require a
regulatory analysis. This amendment
will not have a significant economic
impact on a substantial number of small
facilities. This regulation simply
approves an analytical technique to be
available for use by all laboratories.
C. Paperwork Reduction A ct
This rule contains no requests for
information and is, therefore, exempt
from the requirements of the Paperwork
Reduction A ct 44 U.S.C. 3501 e t seq.
VII. Public Docket
All of the documents listed below are
available only for public inspection and
copying at room M2904, U.S.
Environmental Protection Agency, 401M
Street SW., Washington, DC from 8 a.m.
to 4:30 p.m., Monday through Friday,
excluding Federal holidays. The
documents are also available for
inspection and copying at the Office of
the Director, Environmental Monitoring
Systems Laboratory—Cincinnati, at the
Andrew W. Breidenbach Environmental
Research Center, 26 W est Martin Luther
King Drive, Cincinnati, Ohio 45268, from
8 a.m. to 4:30 p.m., Monday through
Friday, excluding Federal holidays. The
EPA information regulation (40 CFR part
2) allows the Agency to charge a
reasonable fee for copying.
List o f Items in Docket
“Method 1613: Tetra- through OctaChlorinated Dioxins and Furans by
Isotope Dilution HRGC/HRMS”,
USEPA, Office of W ater Regulations
and Standards (OWRS), Industrial
Technology Division (ITU), Revision A,
April 1990.
“Performance Evaluation of Method
1613", USEPA, OWRS, TIT), March 1990.
“Summary Report, USEPA ITD,
Method Detection Limit Study for
Method 1613 Determination of 2,3,7,8TCDD and 2,3,7,8-TCDF", USEPA,
OWRS, ITD, May 1990.
“Study Plan for the Evaluation of
Method 1613”, USEPA, OWRS, ITD,
May 1990.

50S7

Federal Register / Vol. 56, No. 26 / Thursdays February, 7, 1991 / Proposed Roles
VHI. Materials Proposed for
Incorporation by Reference Into 40 CFR
Part 136
1. Tondeur, Yves, "Method 8290:
Analytical Procedures and Quality
Assurance for Multimedia Analysis of
Polychlorinated Dibenzo-p-dioxins and
Dibenzofurans by High-Resolution Gas
Chromatography/High-Resolution Mass
Spectrometry", USEPA, Environmental
Monitoring Systems Laboratory, Las
Vegas, Nevada, June 1987.
2. "M easurement of 2,3,7,8tetrachlorinated Dibenzo-p-dioxin
(TCDD) and 2,3,7,8-Tetrachlorinated
Dibenzofuran (TCDF) in Pulp, Sludges,
Process Samples and W astew aters from
Pulp and Paper Mills," Wright State
University, Dayton, Ohio 45435, June
198«,
3. "NCASI Procedures for the
Preparation and Isomer Specific
Analysis of Pulp and Paper Industry
Samples for 2,3,7,8-TCDD and
2,3,7,8-TGDF’, National Council
of the Paper Industry for Air and Stream
Improvement, 260 Madison Ave., New
York, New York 10019, Technical
Bulletin No, 551, May 1989,
4. “Analytical Procedures and Quality
Assurance Plan for the Determination of
PCDD/PCDF in Fish", U.S.
Environmental Protection Agency,
Environmental Research Laboratory,
6201 Congdon Blvd., Duluth, Minnesota
55804, April 1988.
5. Lamparski, LJL, and Nestrick, T.J.,
"Determination of Tetra-, Hexa-, Hepta-,

and Octachlorodibenzo-p-dioxin
Isomers in Particulate Samples at Parts
per Trillion Levels”, Analytical
Chemistry, 52: 2045-2054 (1980),
6. Lamparski, LL., and Nestrick, T.]„
"Novel Extraction Device for the
Determination of Chlorinated Dibenzop-dioxins (PCDDs) and Dibenzofurans
(PCDFs) in M atrices Containing W ater”,
Chemosphere, 19: 27-31,1989.
7. Patterson, D.G., et. al. "Control of
Interferences in the Analysis of Human
Adipose Tissue for 2,3,7,8Tetrachlorodibenzo-p-dioxin",
Environmental Toxicological Chemistry,
5:355-360,1986.
8. Stanley, John S„ and Sack, Thomas
M„ "Protocol for the Analysis of 2,3,7,8Tetrachlorodibenzo-p-dioxin by HighResolution Gas Chromatography/HighResolution Mass Spectrometry”, USEPA,
Environmental Monitoring Systems
Laboratory, Las Vegas, Nevada 89114,
EPA 600/4-86-004, January 1986.
9. "Method 613—2,3,7,8Tetrachlorodibenzo-p-dioxin", 40 CFR
p art 136 (49 FR 43234), October 28,1984,
Section 4.1.
10. Provost, L.P., and Elder, R.S.,
“Interpretation of Percent Recovery
Data”, American Laboratory, 15: 56-83,
1983.
IX. Request for Comments
The USEPA requests public analysis,
comments, and information on ail
aspects of this proposal.

List of Subjects in 40 CFR Part 136
Reporting and recordkeeping
requirements, W ater pollution control.
Dated: December 3i, 1990.
F. Henry Habicht II,
Acting Adm inistrator.

In consideration of the preceding,
USEPA proposes to amend 40 CFR part
136 as follows:
1. The authority citation of 40 CFR
part 136 continues to read as follows:
Authority. Secs. 301, 304(h), 307, and 501{a)
Pub. L 95-217, Stat. 1580, e t seq. (33 U.S.C.
1251, e t seq.) (The Federal Water Pollution
Control Act Amendments of 1972 as amended
by the Clean Water Act of 1977 and the
Water Quality Act of 1987), 33 U.S.C. 1314
and 1361: 86 Stat. 816, Pub. L. 92-500; 91 Stat
1567, Pub. L. 92-217; S ta t 7, Pub, L. 100-4
(The "Act”).
PART 136— [AMENDED]

1. In § 136.3(a), Table IC—List of
Approved Test Procedures for NonPesticide Organic Compounds, is
amended by revising the entry for
2,3,7,8-Tetrachlorodibenzo-p-dioxin, by
adding entries for sixteen additional
dioxin and furan compounds, end by
revising Table IC Notes * and % as
follows:
§ 136.3

*

Identification o f test p rocedures.

*

*

*

*

Table IC— List of Approved T e st P r o cedu res for N on -P esticide O rganic Co m po u nds
EPA method number *>T
GC
•

•

•

(Revise the following entry)
87. 2,3t7,8.Tetraohlnmdibenzo-/wliA»in
(Add the. following entries.)

•

' * ■

HPLÓ

Other

•

\•

. .............

GC/MS

......... «• 613, 1613 ...........
.........
.........
.........
.........
.........
_____
_____

1.2.3.6r7.8-HexacrtlorodibAn710,000) mass spectrometer. Two exact
masses (m/z’s) are monitored for each
analyte. The isotopically labeled compounds
serve to correct for the variability of the
analytical technique.
2.4 Dioxins and furans are identified by
comparing GC retention times and the ion
abundance ratios of the m /z’s with the
corresponding retention time ranges of
authentic standards and the theoretical ion
abundance ratios of the exact m /z’s. Isomers
and congeners are identified when the
retention times and m /z abundance ratios
agree within pre-defined limits. By using a
GC column or columns capable of resolving
the 2,3,7,8-substituted isomers from all other
tetra-isomers, the 2,3,7,8-substituted isomers
are identified when the retention time and m/
z abundance ratios agree within pre-defined
limits of the retention times and exact m /z
ratios of authentic standards.
2.5 Quantitative analysis is performed by
GCMS using selected ion current profile
(SICP) areas, in one of two ways.
2.5.1 For the 15 2,3,7,8-substituted isomers
for which labeled analogs are available (see
Table 1), the GCMS system is calibrated and
the compound concentration is determined
using an isotope dilution technique. Although
a labeled analog of the octachlorinated
dibenzofuran (OCDF) is available, using high
resolution mass spectrometry it produces an
m /z that may interfere with the identification
and quantitation of the unlabeled
octachlorinated dibenzo-p-dioxin (OCDD).
Therefore, this labeled analog has pot been
included in the calibration standards, and the
unlabeled OCDF is quantitated against the
labeled OCDD. Because the labeled analog of
1,2,3,7,8,9-HxCDD is used as an internal
standard (i.e., not added before extraction of
the sample), it cannot be used to quantitate
'the unlabeled compound by strict isotope
dilution procedures, Therefore, the unlabeled
1,2,3,7,89-HxCDD is quantitated using the
average of the responses of the labeled
analogs of the other two 2,3,7,8-substituted
HxCDD’s, 1,2,3,4,7,8-HxCDD and 1,2,3,6,7,8HxCDD. As a result, the concentration of the
unlabeled 1,2,3,7,8,9-HxCDD is corrected for
the average recovery of the other two
HxCDD’s.
2.5.2 For non-2,3,7,8-substituted isomers
and the total concentrations of all isomers
within a level of chlorination (i.e., total
TCDD), concentrations are determined using
response factors from the calibration of
labeled analogs at the same level of
chlorination.
2.8 The quality of the analysis is assured
through reproducible calibration and testing
of the extraction, cleanup, and GCMS
systems.
3 Contamination an d Interferences
3.1 Solvents, reagents, glassware, and
other sample processing hardware may yield
artifacts and/or elevated baselines causing
misinterpretation of chromatograms
(References 8-9). Specific selection of
reagents and purification of solvents by
distillation in all-glass systems may be
required. Where possible, reagents are
cleaned by extraction or solvent rinse.
3.2 Proper cleaning of glassware is
extremely important because glassware may

not only contaminate the samples, but may
also remove the analytes of interest by
adsorption on the glass surface.
3.2.1 Glassware should be rinsed with
solvent and washed with a detergent solution
as soon after use as is practical. Sonication of
glassware containing a detergent solution for
approximately 30 seconds may aid in
cleaning. Glassware with removable parts,
particularly separatory funnels with teflon
stopcocks, must be disassembled prior to
detergent washing.
3.2.2 After detergent washing, glassware
should be immediately rinsed first with
methanol, then With hot tap water. Thé tap
water rinse is followed by another methanol
rinse, then acetone, and then methylene
chloride.
3.2.3 Do not bake reusable glassware in an
oven as a routine part of cleaning. Baking
may be warranted after particularly dirty
samples are encountered, but should be
minimized, as repeated baking of glassware
may cause active sites on the glass surface
that will irreversibly adsorb PCDDs/PCDFs.
3.2.4 Immediately prior to use, Soxhlet
extraction glassware should be pre-extracted
with toluene for approximately 3 hours. See
Section 11.1.2.3. Separatory funnels should be
shaken with methylene chloride/toluene (80/
20 mixture) for 2 minutes, drained, and then
shaken with pure methylene chloride for 2
minutes.
3.3 All materials used in the analysis shall
be demonstrated to be free from interferences
by running reference matrix blanks initially
and with each sample set (samples started
through the extraction process on a given 12hour shift, to a maximum of 20 samples). The
reference matrix blank must simulate, as
closely as possible, the sample matrix under
test. Reagent water (Section 6.6.1) is used to
simulate water samples; playground sand
(Section 6.6.2) or white quartz sand (Section
6.3.2) can be used to simulate soils; filter
paper (Section 6.6.3) is used to simulate
papers and similar materials; other materials
(Section 6.6.4) can be used to simulate other
matrices.
3.4 Interferences coextracted from samples
will vary considerably from source to source,
depending on the diversity of the site being
sampled. Interfering compounds may be
present at concentrations several orders of
magnitude higher than the PCDDs and
PDCFs. The most frequently encountered
interferences are chlorinated biphenyls,
methoxy biphenyls, hydroxydiphenyl ethers,
benzylphenyl ethers, polynuclear aromatics,
and pesticides. Because very low levels of
PCDDs and PCDF8 are measured by this
method, the elimination of interferences is
essential. The cleanup steps given in Section
12 can be used to reduce or eliminate these
interferences and thereby permit reliable
determination of the PCDDs and PCDFs at
the levels shown in Table 2.
3.5 Each piece of reusable glassware
should be numbered in such a fashion that
the laboratory can associate all reusable
glassware with the processing of a particular
sample. This will assist the laboratory in; (1)
Tracking down possible sources of
contamination for individual samples, (2)
identifying glassware associated with highly
contaminated samples that may require extra

cleaning, and (3) determining when glassware
should be discarded.
4. S afety
4.1 The toxicity or carcinogenicity of each
compound or reagent used in this method has
not been precisely determined; however, each
chemical compound should be treated as a
potential health hazard. Exposure to these
compounds should be reduced to the lowest
possible level.
4.1.1 The 2,3,7,8-TCDD isomer has been
found to be acnegenic, carcinogenic, and
teratogenic in laboratory animal studies. It is
soluble in water to approximately 200 ppt
and in organic solvents to 0.14 percent. On
the basis of the available toxicological and
physical properties of 2,3,7,8-TCDD, all of the
PCDDs and PCDFs should be handled only by
highly trained personnel thoroughly familiar
with handling and cautionary procedures,
and who understand the associated risks.
4.1.2 It is recommended that the laboratory
purchase dilute standard solutions of the
analytes in this method. However, if primary
solutions are prepared, they shall be
prepared in a hood, and a NIOSH/MESA
approved toxic gas respirator shall be worn
when high concentrations are handled.
4.2 The laboratory is responsible for
maintaining a current awareness file of
OSHA regulations regarding the safe
handling of the chemicals specified in this
method. A reference file of data handling
sheets should also be made available to all
personnel involved in these analyses.
Additional information on laboratory safety
can be found in References 10-13. The
references and bibliography at the end of
Reference 13 are particularly comprehensive
in dealing with the general subject of
laboratory safety.
4.3 The PCDDs and PCDFs and samples
suspected to contain these compounds are
handled using essentially the same
techniques employed in handling radioactive
or infectious materials. Well-ventilated,
controlled access laboratories are required.
Assistance in evaluating the health hazards
of particular laboratory conditions may be
obtained from certain consulting laboratories
and from State Departments of Health or
Labor, many of which have an industrial
health service. The PCDDs and PCDFs are
extremely toxic to laboratory animals. Each
laboratory must develop a strict safety
program for handling the PCDDs ahd PCDFs.
The following practices are recommended
(References 2 and 14).
4.3.1 Facility—When finely divided
samples (dusts, soils, dry chemicals) are
handled, all operations (including removal of
samples from sample containers, weighing,
transferring, and mixing), should be
performed in a glove box demonstrated to be
leak tight or in a fume hood demonstrated to
have adequate air flow. Gross losses to the
laboratory ventilation system must not be
allowed. Handling of the dilute solutions
normally used in analytical and animal work
presents no inhalation hazards except in the
case of an accident
4.3.2 Protective equipment—Throwaway
plastic gloves, apron or lab coat, safety
glasses or mask, and a glove box or fume
hood adequate for radioactive work should

5100

F e d era l R eg ister / Vbl. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rule9

be utilized. During analytical operations
which may give rise to aerosols or dusts,
personnel should wear respirators equipped
with activated carbon filters. Eye protection
equipment (preferably full face shields) must
be worn while working with exposed samples
or pure analytical standards. Latex gloves are
commonly used to reduce exposure of the
hands. When handling samples suspected or
known to contain high concentrations of the
PCDDs or PCDF8, an additional set of gloves
can also be worn beneath the latex gloves.
4.3.3 Training—Workers must be trained in
the proper method of removing contaminated
gloves and clothing without contacting the
exterior surfaces.
4.3.4 Personal hygiene—thorough washing
of hands and forearms after each
manipulation and before breaks (coffee,
lunch, and shift).
4.3.5 Confinement—isolated work area,
posted with signs, segregated glassware and
tools, plastic absorbent paper on bench tops.
4.3.6 Effluent vapors—Effluents of sample
splitters for the gas chromatograph and
roughing pumps on the GC/MS should pass
through either a column of activated
characoal or be bubbled through a trap
containing oil or high-boiling alcohols.
4.3.7 Waste Handling and Disposal
4.3.7.1 Handling—Good technique includes
minimizing contaminated waste. Plastic bag
liners should be used in waste cans. Janitors
and other personnel must be trained in the
safe handling of waste.
4.3.7.2 Disposal
4.3.7.2.1 The PCDDs and PCDFs
decompose above 800 °C. Low-level waste
such as absorbent paper, tissues, animal
remains, and plastic gloves may be burned in
an appropriate incinerator. Gross quantities
(milligrams) should be packaged securely and
disposed through commercial or
governmental channels which are capable of
handling extremely toxic wastes.
4.3.7.2.2 Liquid soluble waste should be
dissolved in methanol or ethanol and
irradiated with ultraviolet light with a
wavelength greater than 290 nm for several
days. (Use F 40 BL lamps or equivalent.)
Analyze liquid wastes and dispose of the
solution when the PCDDs and PCDFs can no
longer be detected.
4.3.8 Decontamination
4.3.8.1 Personal decontamination—Use
any mild soap with plenty of scrubbing
action.
4.3.8.2 Glassware, tools, and surfaces—
Chlorothene NU Solvent (Trademark of thé
Dow Chemical Company) is the least toxic
solvent shown to be effective. Satisfactory
cleaning may be accomplished by rinsing
with Chlorothene, then washing with any
detergent and water. If glassware is first
rinsed with solvent, then the dish water may
be disposed of in the sewer. Given the cost of
disposal, it is prudent to minimize solvent
wastes.
4.3.9 Laundry—Clothing known to be
contaminated should be collected in plastic
bags. Persons who convey the bags and
launder the clothing should be advised of the
hazard and trained in proper handling. The
clothing may be put into a washer without
contact if the launderer knows of the
potential problem. The washer should be run

through a cycle before being used again for
other clothing.
4.3.10 Wipe tests—A useful method of
determining cleanliness of work surfaces and
tools is to wipe die surface with a piece of
filter paper. Extraction and analysis by GC
can achieve a limit of detection of 0.1 ug per
wipe. Less than 0.1 ug per wipe indicates
acceptable cleanliness; anything higher
warrants further cleaning. More than 10 ug on
a wipe constitutes an acute hazard and
requires prompt cleaning before further use of
the equipment or work space, and indicates
that unacceptable work practices have been
employed.
4.3.11 Accidents—Remove contaminated
clothing immediately, taking precautions not
to contaminate skin or other articles. Wash
exposed skin vigorously and repeatedly until
medical attention is obtained.
5. A pparatus an d M aterials.
5.1 Sampling equipment for discrete or
composite sampling
5.1.1 Sample bottles and caps
5.1.1.1 Liquid samples (waters, sludges
and similar materials containing five percent
solids or less)—sample bottle, amber glass,
1.1 L minimum, with screw cap.
5.1.1.2 Solid samples (soils, sediments,
sludges, paper pulps, filter cake, compost,
and similar materials that contain more than
five percent solids)—sample bottle, wide
mouth, amber glass, 500 mL minimum.
5.1.1.3 If amber bottles are not available,
samples shall be protected from light
5.1.1.4 Bottle caps—threaded to fit sample
bottles. Caps shall be lined with Teflon.
5.1.1.5 Cleaning.
5.1.1.5.1 Bottles are detergent water
washed, then solvent rinsed before use.
5.1.1.5.2 Liners are detergent water
washed, then rinsed with reagent water
(Section 6.6.1) and then solvent and baked at
approximately 200°C for one hour minimum,
prior to use.
5.1.2 Compositing equipment—automatic
or manual compositing system incorporating
glass containers cleaned per bottle cleaning
procedure above. Glass or Teflon tubing only
shall be used. If the sampler uses a peristaltic
pump, a minimum length of compressible
silicone rubber tubing may be used in the
pump only. Before use, the tubing shall be
thoroughly rinsed with methanol, followed by
repeated rinsings with reagent water to
minimize sample contamination. An
integrating flow meter is used to collect
proportional composite samples.
5.2 Equipment for glassware cleaning
5.2.1 Laboratory sink with overhead fume
hood
5.3 Equipment for sample preparation
5.3.1 Laboratory fume hood of sufficient
size to contain the sample preparation
equipment listed below.
5.3.2 Glove box (optional)
5.3.3 Tissue homogenizer—VirTis Model
45 Macro homogenizer (American Scientific
Products H-3515, or equivalent) with
stainless steel Macro-shaft and Turbo-shear
blade.
5.3.4 Meat grinder—Hobart, or equivalent,
with 3-5 mm holes in inner plate.
5.3.5 Equipment for determining percent
moisture
5.3.5.1
Oven, capable of maintaining a
temperature of 110 ±5°C.

S.3.5.2 Dessicator.
5.3.8 Balances.
5.3.6.1 Analytical—capable of weighing
0.1 mg.
5.3.0.2 Top loading—capable of weighing
10 mg.
5.4 Extraction apparatus.
5.4.1 Water samples.
5.4.1.1 pH meter, with combination glass
electrode.
5.4.1.2 pH paper, wide range (Hydrion
Papers, or equivalent).
5.4.1.3 Graduated cylinder, 1 L capacity.
5.4.1.4 1 L filtration flasks with side arm,
for use in vacuum filtration of water samples.
5.4.1.5 Separatory funnels—250, 500, and
2000 mL, with Teflon stopcocks.
5.4.2 Soxhlex/Dean-Stark (SDS) extractor
(Figure 1).

S

FIGURE 1 Soxhlet/Dean-Stark Extractor

5.4.2.1 Soxhlet—50 mm i.d., 220 mL
capacity with 500 mL flask (Cal-Glass LG6900, or equivalent, except substitute 500 mL
round bottom flask for 300 mL flat bottom
flask).
5.4.2.2 Thimble—43 X 123 to fit Soxhlet
(Cal-Glass LG-0901-122, or equivalent).
5.4.2.3 Moisture trap—Dean Stark or
Barret with Teflon stopcock, to fit Soxhlet.
5.4.2.4 Heating mantle—hemispherical, to
fit 500 mL round bottom flask (Cal-Glass LG8801-112, or equivalent).
5.4.2.5 Variable transformer—Powerstate
(or equivalent), 110 volt, 10 amp.
5.4.3 Beakers, 400-500 mL.
5.4.4 Spatulas—stainless steel.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules
S.5
Filtration appartus.
5.5.1 Pyrex glass wool—solvent-extracted
by SDS for three hours minimum. (Note:
Baking glass wool may cause active sites that
will irreversibly adsorb PCDDs/PCDFs.)
5.5.2 Glass funnel—125-250 mL.
5.5.3 Glass fiber filter paper (Whatman
GF/D, or equivalent).
5.5.4 Drying column—15 to 20 mm i.d.
Pyrex chromatographic column equipped
with coarse glass frit or glass wool plug.
5.5.5 Buchner funnel, 15 cm.
5.5.6 Glass fiber filter paper for above.
5.5.7 Pressure filtration apparatus—
Millipore YT30142 HW, or equivalent.
5.6 Centrifuge apparatus.
5.6.1 Centrifiige—capable of rotating 500
mL centrifuge bottles or 15 mL centrifuge
tubes at 5,000 rpm minimum.
5.6.2 Centrifuge bottles—500 mL, with
screw caps, to fit centrifuge.
5.6.3 Centrifuge tubes—12-15 mL, with
screw caps, to fit centrifuge.
5.7 Cleanup apparatus.
5.7.1 Automated gel permeation
chromatograph (Analytical Biochemical Labs,
Inc, Columbia, MO, Model GPC Autoprep
1002, or equivalent).
5.7.1.1 Column—600-700 mm X 25 mm
i.d., packed with 70 g of SX-3 Bio-beads (BioRad Laboratories, Richmond, CA, or
equivalent).
5.7.1.2 Syringe, 10 mL, with Luer fitting.
5.7.1.3 Syringe filter holder, stainless
steel, and glass fiber or Teflon filters (Gelman
4310, or equivalent).
5.7.1.4 UV detectors—254-nm, preparative
or semi-prep flow cell; (Isco, Inc., Type 6;
Schmadzu, 5 mm path length; Beckman-Altex
152W, 8 uL micro-prep flow cell, 2 mm path;
Pharmacia UV-1, 3 mm flow cell; LDC
Milton-Roy UV-3, monitor #1203; or
equivalent).
5.7.2
Reverse phase high performance
liquid chromatograph.
5.7.2.1 Column oven and detector—
Perkin-Elmer Model LC-65T (or equivalent)
operated at 0.02 AUFS at 235 nm.
5.7.2.2 Injector—Rheodyne 7120 (or
equivalent) with 50 uL sample loop.
5.7.2.3 Column—two 6.2 X 250 mm
Zorbax-ODS columns in series (DuPont
Instruments Division, Wilmington, DE, or
equivalent), operated at 50 °C with 2.0 mL/
min methanol isocratic effluent.
5.7.2.4 Pump—Altex 110A (or equivalent).
5.7.3 Pipets.
5.7.3.1 Disposable, Pasteur, 150 mm X 5
mm i.d. (Fisher Scientific 13-678-6A, or
equivalent).
5.7.3.2 Disposable, serological, 10 mL (6
mm i.d.).
5.7.4 Chromatographic columns.
5.7.4.1 150 mm x 8 mm i.d., (Kontes K420155, or equivalent) with coarse glass frit or
glass wool plug and 250 mL reservoir.
5.7.4.2 200 mm x 15 mm i.d., with coarse
glass frit or glass wool plug and 250 mL
reservoir.
5.7.5 Oven—for storage of adsorbents,
capable of maintaining a temperature of
130 ± 5 °C.
5.8 Concentration apparatus.
5.8.1 Rotary evaporator—Buchi/
Brinkman-American Scientific No. E5045-10
or equivalent, equipped with a variable
temperature water bath.

5.8.1.1 A vacuum source is required for
use of the rotary evaporator. It must be
equipped with a shutoff valve at the
evaporator, and preferably, have a vacuum
gauge.
5.8.1.2 A recirculating water pump and
chiller are recommended, as use of tap water
for cooling the evaporator wastes large
volumes of water and can lead to
inconsistent performance as water
temperatures and pressures vary.
5.8.1.3 Round bottom flasks—100 mL and
500 mL or larger, with ground glass fitting
compatible with the rotary evaporator.
5.8.2 Kudema-Danish (K-D).
5.8.2.1 Concentrator tube—lOmL,
graduated (Kontes K-570050-1025, or
equivalent) with calibration verified. Ground
glass stopper (size 19/22 joint) is used to
prevent evaporation of extracts.
5.8.2.2 Evaporation flask—500 mL (Kontes
K-570001-0500, or equivalent), attached to
concentrator tube with springs (Kontes K662750-0012).
5.8.2.3 Snyder column—three ball macro
(Kontes K-503000-0232, or equivalent).
5.8.2.4 Boiling chips.
5.8.2.4.1 Glass or silicon carbide—approx
10/40 mesh, extracted with methylene
chloride and baked at 450 °C for one h
minimum.
5.5.2.4.2 Teflon (optional]—extracted with
methylene chloride.
5.8.2.5 Water bath—heated, with
concentric ring cover, capable of maintaining
a temperature within -f / —2 °C, installed in a
fume hood.
5.8.3 Nitrogen blowdown apparatus—
equipped with water bath controlled at 35-40
°C (N-Evap, Organomation Associates, Inc.,
South Berlin, MA, or equivalent), installed in
a fume hood.
5.8.4 Sample vials—amber glass, 2-5 mL
with Teflon-lined screw cap.
5.9 Gas chromatograph—Shall have
splitless or on-column injection port for
capillary column, temperature program with
isothermal hold, and shall meet all of the
performance specifications in Section 7.
5.9.1 GC Column for PCDDs and PCDFs
and for isomer specificity for 2,3,7,8-TCDD—
60 ± 5 m X 0.32 ± 0.02 mm i.d.; 0.25 um 5%
phenyl, 94% methyl, 1% vinyl silicone bonded
phase fused silica capillary column (J&W DB5, or equivalent).
5.9.2 GC Column for isomer specificity for
2,3,7,8-TCDF—30 ± 5 m X 0.32 ± 0.02 mm
i.d.; 0.25 um bonded phase fused silica
capillary column (J&W DB-225, or
equivalent).
5.10 Mass spectrometer—28-40 eV
electron impact ionization, shall be capable
of repetitively selectively monitoring 12 exact
m/z's minimum at high resolution (>10,000)
during a period of approximately 1 second,
and shall meet all of the performance
specifications in Section 7.
5.11 GCMS interface—The mass
spectrometer (MS) shall be interfaced to the
GC such that the end of the capillary column
terminates within 1 cm of the ion source but
does not intercept the electron or ion beams.
5.12 Data system—capable of collecting,
recording and storing MS data.
6. Reagents an d Standards.
6.1 pH adjustment and back extraction.

5101

6.1.1 Potassium hydroxide—Dissolve 20 g
reagent grade KOH in 100 mL reagent water.
6.1.2 Sulfuric acid—reagent grade
(specific gravity 1.84).
6.1.3 Sodium chloride—reagent grade;
prepare a five percent (w/v) solution in
reagent water.
6.2 Solution drying and evaporation.
6.2.1 Solution drying—sodium sulfate,
reagent grade, granular anhydrous (Baker
3375, or equivalent), rinsed with methylene
chloride (20 mL/g), baked at 400 "C for one
hour minimum, cooled in a dessicator, and
stored in a pre-cleaned glass bottle with
screw cap that prevents moisture from
entering. If after heating the sodium sulfate
develops a noticeable grayish cast (due to the
presence of carbon in the crystal matrix), that
batch of reagent is not suitable for use and
shall be discarded. Extraction with
methylene chloride (as opposed to simple
rinsing) and baking at a lower temperature
may produce sodium sulfate that is suitable
for use.
6.2.2 Prepurified nitrogen.
6.3 Extraction.
6.3.1 Solvents—acetone, toluene,
cyclohexane, hexane, nonane, methanol,
methylene chloride, and nonane; distilled-inglass, pesticide quality, lot certified to be free
of interferences.
6.3.2 White quartz sand, 60/70 mesh—for
Soxhlet/Dean-Stark extraction, (Aldrich
Chemical Co., Milwaukee, WI Cat No. 27,4379, or equivalent). Bake at 450 °C for four
hours minimum.
6.4 GPC calibration solution—solution
containing 300 mg/mL com oil, 15 mg/mL
bis(2-ethylhexyl) phthalate, 1.4 mg/mL
pentachlorophenol, 0.1 mg/mL perylene, and
0.5 mg/mL sulfur.
6.5 Adsorbents for sample cleanup.
6.5.1 Silica gel.
6.5.1.1 Activated silica gel—Bio-Sil A,
100-200 mesh (Bio-Rad 131-1340, or
equivalent), rinsed with methylene chloride,
baked at 180 °C for one hour minimum,
cooled in a dessicator, and stored in a pre­
cleaned glass bottle with screw cap that
prevents moisture from entering.
6.5.1.2 Acid silica gel (30 percent w /w )—
Thoroughly mix 44.0 g of concentrated
sulfuric acid with 100.0 g of activated silica
gel in a clean container. Break up aggregates
with a stirring rod until a uniform mixture is
obtained. Store in a screw-capped bottle with
Teflon-lined cap.
6.5.1.3 Basic silica gel—Thoroughly mix
30 g of IN sodium hydroxide with 100 g of
activated silica gel in a clean container.
Break up aggregates with a stirring rod until a
uniform mixture is obtained. Store in a screwcapped bottle with Teflon-lined cap.
6.5.2
Alumina—Either acid or basic
alumina may be used in the cleanup of
sample extracts, provided that the laboratory
can meet the performance specifications for
the recovery of labeled compounds described
in section 8.3. The same type of alumina must
be used for all samples, including those used
to demonstrate initial precision and accuracy
(Section 8.2) and ongoing precision and
accuracy (Section 14.5).
6.5.2.1
Acid alumina—Bio-Rad
Laboratories 132-1340 Acid Alumina AG4 (or

5102

Federal Register / Vol. 56, No. 26 / Thursday, F ebruary 7, 1991 / Proposed Rules

equivalent). Activate by heating to 130 °C for
12 hours minimum.
6.S.2.2
Basic alumina—Bio-Rad
Laboratories 132-1240 Basic Alumina AGIO
(or equivalent). Activate by heating to 600 *C
for 24 hours minimum. Alternatively, activate
by heating alumina in a tube furnace at 650700 aC under an air flow of approximately 400
cc/min. Do not heat over 700 °C, as this can
lead to reduced capacity for retaining the
analytes. Store at 130 SC in a covered flask.
Use within five days of baking.
6.5.3 AX-21/Celite.
6.5.3.1 Activated carbon—AX-21
(Anderson Development Company, Adrian,
MI, or equivalent). Prewash with methanol
and dry in vacuo at 110 °C.
6.5.3.2 Celite 545—(Supelco 2-0199, or
equivalent).
6.5.3.3 Thoroughly mix 5.35 g AX-21 and
62.0 g Celite 545 to produce a 7.9% w /w
mixture. Activate the mixture at 130 *C for six
hours minimum. Store in a dessicator.

6.6 Reference matrices.
6.6.1 Reagent water—water in which the
PCDDs and PCDFs and interfering
compounds are not detected by this method.
6.6.2 High solids reference matrix—
playground sand or similar material in which
the PCDDs and PCDFs and interfering
compounds are not detected by this method.
May be prepared by extraction with
methylene chloride and/or baking at 450 °C
for four hours minimum.
6.6.3 Filter paper—Gelman type A (or
equivalent) glass fiber paper in which the
PCDDs and PCDFs and interfering
compounds are not detected by this method.
Cut the paper to simulate the surface area of
the paper sample being tested.
6.6.4 Other matrices—This method may
be verified on any matrix by performing the
tests given in Section 8.2. Ideally, the matrix
should be free of the PCDDs and PCDFs, but
in no case shall the background level of the
PCDDs and PCDFs in the reference matrix
exceed three times the minimum levels given
in Table 2. If low background levels of the
PCDDs and PCDFs are present in the
reference matrix, the spike level of the
analytes used in Section 8.2 should be
increased to provide a spike-to-background
ratio in the range of l / l to 5/1 (Reference 15).
6.7 Standard solutions—purchased as
solutions or mixtures with certification to
their purity, concentration, and authenticity,
or prepared from materials of known purity
and composition. If compound purity is 98
percent or greater, the weight may be used
without correction to compute the
concentration of the standard. When not
being used, standards are stored in the dark
at room temperature in screw-capped vials
with Teflon-lined caps. A mark is placed on
the vial at the level of the solution so that
solvent evaporation loss can be detected. If
solvent loss has occurred, the solution should
be replaced.
6.8 Stock solutions.
8.8.1 Preparation—Prepare in nonane per
the steps below or purchase as dilute
solutions (Cambridge Isotope Laboratories,
Cambridge, MA, or equivalent). Observe the
safety precautions in section 4, and the
recommendation in Section 4.1.2.
6.8.2 Dissolve an appropriate amount of
assayed reference material in solvent. For

example, weigh 1-2 mg of 2,3,7,8-TCDD to
three significant figures in a 10 mL ground
glass stoppered volumetric flask and fill to
the mark with nonane. After the TCDD is
completely dissolved, transfer the solution to
a clean 15 mL vial with Teflon-lined cap.
6.8.3
Stock standard solutions should be
checked for signs of degradation prior to the
preparation of calibration or performance test
standards. Reference standards that can be
used to determine the accuracy of calibration
standards are available from Cambridge
Isotope Laboratories.
6.9 Secondary standard—Using stock
solutions (Section 6.8), prepare secondary
standard solutions containing the compounds
and concentrations shown in Table 4 in the
nonane.
6.10 Labeled compound stock standard—
From stock standard solutions prepared as
above, or from purchased mixtures, prepare
this standard to contain the labeled
compounds at the concentrations shown in
Table 4 in nonane. This solution is diluted
with acetone prior to use (Section 10.3.2.).
6.11 Clean standard—Prepare S7CU-2,3,7,8TCDD at the concentration shown in Table 4
in nonane.
6.12 Internal standard—Prepare at the
concentration shown in Table 4 in nonane.
6.13 Calibration standards (CSl through
CS5)—Combine the solutions in Sections 6.9,
6.10, 6.11, and 6.12 to produce the five
calibration solutions shown in Table 4 in
nonane. These solutions permit the relative *
response (labeled to unlabeled) and response
factor to be measured as a function of
concentration. The CS3 standard is used for
calibration verification (VER).
6.14 Precision and recovery standard
(PAR)—used for determination of initial
(Section 8.2) and ongoing (Section 14.5)
precision and accuracy. This solution
Contains the analystes and labeled
compounds at the concentrations listed in
Table 4 in nonane. This solution is diluted
with acetone prior to use (Section 10.3.4).
6.15 GC retention time window defining
solutions—used to define the beginning and
ending retention times for the dioxin and
furan isomers.
6.15.1 DB-5 column window defining
standards—Cambridge Isotope Laboratories
ED-1732-A (dioxins) and ED-1731-A
(furans), or equivalent, containing the
compounds listed in Table 5.
6.16 Isomer specificity test standards—
used to demonstrate isomer specificity for the
2,3,7,8-tetraisomers of dioxin and furan.
6.16.1 Standards for the DB-5 column—
Cambridge Isotope Laboratories ED-908, ED908-C, or ED-935, or equivalent, containing
the compounds listed in Table 5.
6.16.2 Standards for the DB-225 column—
Cambridge Isotope Laboratories EF-937 or
EF-938, or equivalent, containing the
compounds listed in Table 5.
6.17 Stability of solutions—Standard
solutions used for quantitative purposes
(Sections 6.9-6.14) shall be analyzed within
48 hours of preparation and on a monthly
basis thereafter for signs of degradation.
Standards will remain acceptable if the peak
area at the quantitation m /z remains within
± 1 5 percent of the area obtained in the
initial analysis of the standard. Any

standards failing to meet this criterion should
be assayed against reference standards, as in
Section 6.8.3, before further use.

7. Calibration
7.1 Assemble the GCMS and establish the
operating conditions necessary to meet the
relative retention time specifications in Table
2.
7.1.1 The following GC operating
conditions may be used for guidance and
adjusted as needed to meet the relative
retention time specifications in Table 2:
Injector temp; 270 *C
Interface temp: 290 “C
Initial temp and time: 200 °C, 2 min
Temp Program: 200-220 °C at 5° C/min, 220
°C for 16 min, 220-235 “C at 5 °C/min, 235 °C
for 7 min, 235-330 °C at 5 eC/min.
Note: All portions of the column which
connect the GC to the ion source shall remain
at the interface temperature specified above
during analysis, to preclude condensation of
less volatile compounds.
7.1.2 Mass spectrometer (MS) resolution—
Obtain a selected ion current profile (SICP) of
each analyte in Table 4 at the two exact
masses specified in Table 3 and at > 10,000
resolving power by injecting an authentic
standard of the PCDDs and PCDFs either
singly or as part of a mixture in which there
is no interference between closely eluted
components, using the procedure in section
13.
7.1.2.1 The analysis time for PCDDs and
PCDFs may exceed the long-term mass
stability of the mass spectrometer. Because
the instrument is operated in the highresolution mode, mass drifts of a few ppm
(e.g., 5 ppm in mass) can have serious
adverse effects on instrument performance.
Therefore, a mass-drift correction is
mandatory. A lock-mass ion from the
reference compound (PFK) is used for tuning
the mass spectrometer. The lock-mass ion is
dependent on the masses of the ions
monitored within each descriptor, as shown
in Table 3. The level of the reference
compound (PFK) metered into the ion
chamber during HRGC/HRMS analyses
should be adjusted so that the amplitude of
the most intense selected lock-mass ion
signal (regardless of the descriptor number)
does not exceed 10 percent of the full-scale
deflection for a given set of detector
parameters. Under those conditions,
sensitivity changes that might occur during
the analysis can be more effectively
monitored.
Note: Excessive PFK (or any other
reference substance) may cause noise
problems and contamination of the ion source
resulting in an increase in time lost in
cleaning the source.
7.1.2.2 By using a PFK molecular leak, tune
the instrument to meet the minimum required
resolving power of 10,000 (10 percent valley)
at m /z 304.9624 (PFK) or any other reference
signal close to m /z 303.9016 (from TCDF). By
using the peak matching unit and the PFK
reference peak, verify that the exact mass of
m /z 380.9760 (PFK) is within 5 PPM of the
required value.
7.2 Ion abundance ratios, minimum levels,
signal-to-noise ratios, and absolute retention

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules
times—inject the CSl calibration solution
(Table 4) per the procedure in Section 13 and
the conditions in Table 2.
7.2.1 Measure the SICP areas for each
analyte and compute the ion abundance
ratios specified in Table 3A. Compare the
computed ratio to the theoretical ratio given
in Table 3A.
7.2.1.1 The groups of m /z’s to be monitored
are shown in Table 3. Each group or
descriptor shall be monitored in succession
as a function of GC retention time to ensure
that all PCDDs and PCDFs are detected. The
theoretical abundance ratios for the m /z’s are
given in Table 3A, along with the control
limits of each ratio.
7.2.1.2 The mass spectrometer shall be
operated in a mass drift correction mode,
using perfluorokerosene (PFK) to provide lock
masses. The lock mass for each group of m/
z’s is shown in Tablé 3. Each lock mass shall
be monitored and shall not vary by more than

± 1 0 percent throughout its respective
retention time window. Variations of the lock
mass by more than 10 percent indicate the
presence of coeluting interferences that may
significantly reduce the sensitivity of the
mass spectrometer. Re-injection of another
aliquot of the sample extract will not resolve
the problem. Additional cleanup of the
extract may be required to remove the
interferences.
7.2.2 All PCDDs and PCDFs shall be within
their respective ratios; otherwise, thé mass
spectrometer shall be adjusted and this test
repeated until the m /z ratios fall within the
limits specified. If the adjustment alters the
resolution of the mass spectrometer,
resolution of the mass spectrometer,
resolution shall be verified (Section 7.1) prior
to repeat of the test.
7.2.3 Verify that the HRGC/HRMS
instrument meets the minimum levels in

5103

Table 2. The peaks representing both
unlabeled and labeled analytes in the
calibration standards must have a signal-tonoise ratio (S/N) greater than or equal to 10;
otherwise, die mass spectrometer shall be
adjusted and this test repeated until the
minimum levels in Table 2 are met.
7.2.4
The absolute retention time of 13Ci21,2,3,4-TCDD (Section 6.12) shall exceed 25.0
minutes on the DB-5 column, and the
retention time of 18Ci2-l,2,3,4-TCDD shall
exceed 15.0 minutes on the DB-225 column;
otherwise, the GC temperature program shall
be adjusted and this test repeated until the
above-stated minimum retention time criteria
are met.
7.3
Retention time windows—Analyze the
window defining mixtures (Section 6.15)
using the procedure in section 13 (Figures 2A2D). Table 5 gives the elution order (first/last)
of the compound pairs.
BILLING CODE 6560-5G-M

5104

Federal Register f *Vol. 56, No. 26 / Thursday, February 7; 1991 / Proposed Rules

6-MAY-88
Sample 1 Injection 1

Sir: Voltage 705
Sys: DB5US
Group 2
Mass 303.9016
Norm:

100

3044

80-

60-

40-

1,3,6,8-TCDF
1,2,8,9-TCDF
* -----------------

20-

V

25:20 26:40 28:00 29:20 30:40

6-MAY-88
Sample 1 Injection 1

FIGURE 2A

32:00 33:20

34:40

36:00

37:20

Sir: Voltage 705
Sys: DB5US
Group 2
Mass 319.8965

First and Last Eluted Tetra- Dioxin and Furan Isomers

38:40

Federal R eg ister/. VoL 56, No. 26 / Thursday, February 7,1991 /»Proposed Rules

6-MAY-88
Sample 1 Injection 1

6-MAY-88
Sample 1 Injection 1

FIGURE 2B

Sir: Voltage 705
Sys: DB5US
Group 2
Mass 339.8597

Sir: Voltage 705
Sys: DB5US
Group 2
Mass 355.8546

First and Last Eluted Penta- Dioxin and Furan Isomers

5105

Federal R eg ister-/ VoL 56, No. 26 / Thursday, February 7» 1991 / Proposed Rules

5106

6-MAY-88
Sample 1 Injection 1

6-MAY-88
Sample 1 Injection 1

100
J» ■
• -

|

Sir: Voltage 705
Sys: DB5US
Group 3
Mass 373.8208

Sir: Voltage 705
Sys: DB5US
Group 3
Mass 389.8156
Norm:

1,2,4,6,7,9/1,2,4,6,8,9-HxCDD

384

.

00*

60

1,2,3,4,6,7-HxCDD

40

20

V

39:30 40:00 40:30 41:00 41:30 42:00 42:30 43:00 43:30 44:00 44:30
FIGURE 2C

First and Last Eluted Hexa- Dioxin and Furan Isomers

Federal Register / Vol. 56, No. 26 / Thursday, February' 7,‘1^91 / Pföpösed Rules

6-MAY-88
Sample 1 Injection 1

Sir: Voltage 705
Sys: DB5US
Group 4
Mass 407.7818

1,2,3,4,6,7,8-HpCDF

100

i

40

Norm:

336

56:00

57:20

Norm:

282

56:00

57:20

1,2,3,4,7,8,9-HpCDF

20

0

45:20

46:40

48:00

49:20

50:40

52:00

53:20

54:40

6-MAY-88
Sir: Voltage 705
Sys: DB5US
Sample 1 Injection 1
Group 4
Mass 423.7766
1,2,3,4,6,7,9-HpCDD
100^

80*
60*
40

1,2,3,4,6,7,8-HpCDD

20
0

45:20

L

46:40

48:00

49:20

50:40

52:00

53:20

6-MAY-88
Sample 1 Injection 1

Sir: Voltage 705
Sys: DB5US
Group 4
Mass 441.7428

6-MAY-88
Sample 1 Injection 1

Sir: Voltage 705
Sys: DB5US
Group 4
Mass 457.7377

54:40

FIGURE 2D First and Last Eluted Hepta- Dioxin and Furan Isomers
BILLING CODE 6560-50-C

51Ö7

5108

Federal Register / Vol. 56, No. 26 ) Thursday, February 7, 1991 / Proposed ’Rhies

7.4 Isomer specificity.
7.4.1 Analyze the isomer specificity test
standards (section 6.16) using the procedure
in section 13.
7.4.2 Compute the percent valley between
the GC peaks that elute most closely to the
2,3,7,8-TCDD and TCDF isomers, on their
respective columns, per Figure 3.
BILLING CODE 6560-50-M

Federal Register / Vol. 56, No. 26 / Thursday, February 7,1991 / Proposed Rules

3A

DB225 Column

21-APR-88
Sir: Voltage 705
Sys: DB225
Sample 1 Injection 1
Group 1
Mass 305.8987
Text: COLUMN PERFORMANCE
2,3,7,8-TCDF

Norm:

3466

o o
Q o
0 o
I-1

3B

DB5 Column

®-cb
CO k "

cvi^

FIGURE 3 Valley between 2,3,7,8- Tetra Dioxin and Furan Isomers and Other Closely Eluted Isomers
BILLING CODE 6560-50-C

5109

5110

Federal Register / V o l 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules

the performance characteristics of the
method. If the method is to be applied
routinely to samples containing high solids
(Afc’+ A ^ C ,
with very little moisture (e.g., soils, filter
cake, compost) or to an alternate matrix, the
high solids reference matrix (section 6.6.2) or
Where:
the alternate matrix (section 6.6.4) is
A ,1 and A,* are the areas of the primary
substituted for the reagent water matrix
and secondary m/z's for the compound
(section 6.6.1) in all performance tests.
to be calibrated. (Note: There is only one
8.1.1 The analyst shall make an initial
m /z for a7CL-2,3,7,8-TCDD. See Table 3.)
demonstration of the ability to generate
Aj,1 and Au* are the areas of the primary
acceptable accuracy and precision with this
and secondary m /z’s for the GCMS
method. This ability is established as
internal standard.
.described in section 8.2.
C1( is the concentration of the GCMS
8.1.2 The analyst is permitted to modify
internal standard (section 6.12 and Table
this method to improve separations or lower
4).
C, is the concentration of the compound in
the costs of measurements, provided that all
the calibration standard.
performance specifications are met. Each
time a modification is made to the method,
7.6.2 To calibrate the analytical system by
the analyst is required to repeat the
internal standard, inject a 1.0 uL aliquot of
procedures in sections 7.2 through 7.4 and
calibration standards CSl through CS5
section 8.2 to demonstrate method
(section 6.13 and Table 4) using the procedure
performance.
in section 13 and the conditions in Table 2.
8.1.3 Analyses of blanks are required to
Compute the response factor (RF) at each
demonstrate freedom from contamination
concentration.
(section 3.2). The procedures and criteria for
7.6.3 Linearity—If the response factor (RF)
for any compound is constant (less than 35
analysis of a blank are described in section
percent coefficient of variation) over the 58.5.
point calibration range, an averaged response
8.1.4 The laboratory shall spike all samples
factor may be used for that compound;
with labeled compounds to monitor method
otherwise, the complete calibration curve for
performance. This test is described in section
that compound shall be used over the 5-point
8.3. When results of these spikes indicate
range.
atypical method performance for samples, the
7.7 Combined calibration—By using
samples are diluted to bring method
(A ^ + A ^ C ,
calibration solutions (section 6.13 and Table
performance within acceptable limits.
RR = ----------------------4) containing the unlabeled and labeled
Procedures for dilutions are given in section
(V + A ^ C »
compounds, and the internal standards, a
16.4.
single set of analyses can be used to produce
8.1.5 The laboratory shall, on an ongoing
calibration curves for the isotope dilution and
basis, demonstrate through calibration
Where:
internal standard methods. These curves are
verification and the analysis of the precision
A,,1 and A„* are the areas of the primary
verified each shift (section 14.3) by analyzing
and recovery standard that the analytical
and secondary m /z’s for the unlabeled
the calibration verification standard (VER,
system is in control. These procedures are
compound.
Table 4). Recalibration is required if
described in sections 14.1 through 14.5.
Ai1 and A|* are the areas of the primary
calibration verification criteria (section
8.1.6 The laboratory shall maintain records
and secondary m/z's for the labeled
14.3.4) cannot be met.
to define the quality of data that is generated.
compound.
7.8 Data storage—MS data shall be
Development of accuracy statements is
Q is the concentration of the labeled
collected, recorded, and stored.
described in section 8.4.
compound in the calibration standard.
7.8.1 Data acquisition—The signal at each
8.2
Initial precision and accuracy—To
C„ is the concentration of the unlabeled
exact m /z shall be collected repetitively
establish the ability to generate acceptable
compound in the calibration standard.
throughout the monitoring period and stored
precision and accuracy, the analyst shall
7.5.3 To calibrate the analytical system by
on a mass storage device.
perform the following operations.
isotope dilution, inject a 1.0 uL aliquot of
7.8.2 Response factors and multipoint
8.2.1 For low solids (aqueous samples),
calibration standards CSl through CS5
calibrations—The data system shall be used
extract, concentrate, and analyze four 1-liter
(section 6.13 and Table 4) using the procedure
to record and maintain lists of response
aliquots of reagent water spiked with the
in section 13 and the conditions in Table 2.
factors (response ratios for isotope dilution)
diluted precision and recovery standard
Compute the relative response (RR) at each
and multipoint calibration curves.
(PAR) (sections 6.14 and 10.3.4) according to
concentration.
Computations of relative standard deviation
the procedures in sections 10 through 13. For
7.5.4 Linearity—If the relative response for
(coefficient of variation) shall be used to test
an alternate sample matrix, four aliquots of
any compound is constant (less than 20
calibration linearity. Statistics on initial
the alternate matrix are used. All sample
percent coefficient of variation) over the 5performance (section 8.2) and ongoing
processing steps, including preparation
point calibration range, an averaged relative
performance (section 14.5) shall be computed
(section 10), extraction (section 11), and
response may be used for that compound;
and maintained.
cleanup (section 12) that are to be used for
otherwise, the complete calibration curve for
8. Q u a lity A ssu ra n ce/Q u a lity C ontrol
processing samples shall be included in this
that compound shall be used over the 5-point
8.1
Each laboratory that uses this method test.
calibration range.
8.2.2 Using results of the set of four
7.8
Calibration by internal standard—The is required to operate a formal quality
analyses, compute the average concentration
assurance program (Reference 16). The
internal standard method is applied to
(X) of the extracts in ng/mL and the standard
minimum requirements of this program
determination of non-2,3,7,8-substituted
deviation of the concentration(s) in ng/mL for
consist of an initial demonstration of
compounds having no labeled analog in this
each compound, by isotope dilution for
laboratory capability, analysis of samples
method, and to measurement of labeled
PCDDs and PCDFs with a labeled analog,
spiked with labeled compounds to evaluate
compounds for intralaboratory statistics
and by internal standard for labeled
and document data quality, and analysis of
(sections 8.4 and 14.5.4).
compounds. Calculate the recovery of the
standards and blanks as tests of continued
7.6.1
Response factors—Calibration
labeled compounds.
performance. Laboratory performance is
requires the determination of response
8.2.3 For each unlabeled and labeled
compared to established performance criteria
factors (RF) defined by the following
compound, compare 8 and X with the
to determine if the results of analyses meet
equation:

7.4.3
Verify that the height of the valley
between the most closely eluted isomers and
the 2,3,7,8-isomers is less than 25 percent
(computed as 100 x /y in Figure 3). If the
valley exceeds 25 percent, adjust the
analytical conditions and repeat the test or
replace the GC column and recalibrate
(section 7.2 through 7.4).
7.5
Calibration with isotope d ilu tion isotope dilution is used for the 15 2,3,7,8substituted PCDDs and PCDFs with labeled
compounds added to the samples prior to
extraction, and for 1,2,3,7,8,0-HxCDD and
OCDF (see section 16.1). The reference
compound for each unlabeled compound is
shown in Table 6.
7.5.1 A calibration curve encompassing the
concentration range is prepared for each
compound to be determined. The relative
response (RR) (unlabeled to labeled) vs.
concentration in standard solutions is plotted
or computed using a linear regression.
Relative response is determined according to
the procedures described below. A minimum
of five data points are employed for
calibration.
7.5.2 The relative response of each
unlabeled PCDD/PCDF and its labeled
analog is determined using the area
responses of both the primary and secondary
m/z's specified in Table 3, for each
calibration standard, as follows:

(A,1+ A i 2)Cto

Dp — ---------

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules
corresponding limits for inhiat precision and
accuracy in Table 7. if s and X for all
compounds meet the acceptance criteria,
system performance is acceptable and
analysis o f blanks and samples may begin. If,
however, any individual s exceeds the
precision limit or any individual X falls
outside the range for accuracy, system
performance is unacceptable for that
compound. Correct the problem and repeat
the test (section 8.2). The concentration limits
in Table 7 for labeled compounds are based
on the requirement that the recovery of each
labeled compound be in the range of 25-150%.
8.3
The laboratory shall spike all samples
and QC aliquots with the diluted labeled
compound spiking solution (sections 6.10 and
10.3.2) to assess method performance on the
sample matrix.
8.3.1 Analyze each sample according to the
procedures in sections 10 through 13.
8.3.2 Compute the percent recovery (R) of
the labeled compounds in the labeled
compound spiking standard and the cleanup
standard using the internal standard method
(section 7.6).
8.3.3 The recovery of each labeled
compound must be within 25-150%. If the
recovery of any compound falls outside of
these limits, method performance is
unacceptable for that compound in that
sample. To overcome such difficulties, water
samples are diluted and smaller amounts of
soils, sludges, sediments and other matrices
are reanalyzed per section 17.
8.4 Method accuracy for samples shall be
assessed and records shall be maintained.
8.4.1 After the analysis of five samples of a
given matrix type (water, soil, sludge, pulp,
etc.) for which the labeled compound spiking
standards pass the tests in section 8.3,
compute the average percent recovery (R)
and the standard deviation of the percent
recovery (SR) for the labeled compounds
only. Express die accuracy assessment as a
percent recovery interval from R—2SR to
R+2SR for each matrix. For example, if
R=90% and SR=10% for five analyses of
pulp, die accuracy interval is expressed as
70-110%.
8.4.2 Update the accuracy assessment for
each compound in each matrix on a regular
basis (e.g., after each 5-10 new accuracy
measurements).
8.5 Blanks—Reference matrix blanks are
analyzed to demonstrate freedom from
contamination (section 3.2).
8.5.1 Extract and concentrate a 1-Iiter
reagent water blank (section 8.6.1), high
solids reference matrix blank (section 8.6.2),
paper matrix blank (section 6.6.3) or alternate
reference matrix blank (section 6.6.4} with
each sample set (samples started through the
extraction process on the same 12-hour shift,
to a maximum o f 20 samples). Analyze the
blank immediately after analysis of the
precision and recovery standard (section
14.5) to demonstrate freedom from
contamination.
8.5.2 If any of the PCDDs or PCDFs (Table
1} or any potentially interfering compound is
found in blank at greater than the minimum
level (Table 2), assuming a response factor of
1 relative to the *sCnrl,2,3,4-TCDD internal
standard for compounds not listed in Table 1,
analysis of samples is halted until the source

of contamination is eliminated and a blank
shows no evidence of contamination at this
level. Note: All samples associated with a
contaminated method blank must be re­
extracted and reanalyzed before the results
may be reported for regulatory compliance
purposes.
8.8
The specifications contained in this
method can be met if the apparatus used is
calibrated properly and then maintained in a
calibrated state. The standards used for
calibration (section 7), calibration
verification (section 14.3), and for initial
(section 8.2) and ongoing (section 14.5)
precision and recovery should be identical, so
that the most precise results will be obtained.
A GCMS instrument will provide the most
reproducible results if dedicated to the
settings and conditions required for the
analyses of PCDDs and PCDFs by this
method.
8 7 Depending on specific program
requirements, field replicates may be
collected to determine the precision of the
sampling technique, and spiked samples may
be required to determine the accuracy of the
analysis when the internal standard method
is used.
9. Sam ple C ollection, P reservation , a n d
H andling

8.1 Collect samples in amber glass
containers following conventional sampling
practices (Reference 17). Aqueous samples
which flow freely are collected in refrigerated
bottles using automatic sampling equipment.
Solid samples are collected as grab samples
using wide mouth jars.
9.2 Maintain samples at 0-4 *C in the dark
from the time o f collection until extraction. If
residual chlorine is present in aqueous
samples, add 80 mg sodium thiosulfate per
liter of water. EPA Methods 330.4 and 330.5
may be used to measure residual chlorine
(Reference 18).
9.3 Perform sample analysis within 40 days
of extraction.
10. Sam ple P reparation

The sample preparation process involves
modifying the physical form of the sample so
that the PCDDs and PCDFs can be extracted
efficiently. In general, the samples must be in
a liquid form or in the form of finely divided
solids m order for efficient extraction to take
place. Table 8 lists toe phase(s) and quantity
extracted for various sample matrices.
Samples containing a solid phase « id
samples containing particle sizes larger than
1 mm require preparation prior to extraction.
Because PCDDs/PCDFs are strongly
associated with particulates, the preparation
of aqueous samples is dependent on the
solids content of the sample. Aqueous
samples containing one percent solids or less
are extracted in a separatory funnel. A
smaller sample aliquot is used for aqueous
samples containing more than one percent
solids. For samples expected or known to
contain high levels of the PCDDs and/or
PCDFs, the smallest sample size
representative of the entire sample should be
used, and the sample extract should be
diluted, if necessary, per section 16.4.
10.1 Determination of percent solids.
10.1.1 Weigh 5-10 g of sample (to three
significant figures) into a tared beaker. Note:

5111

T h is aliquot is u sed on ly for determ ining the
so lid s con ten t o f the sam p le, n ot for a n a ly sis
o f PCDD s/PC DFs.

10.1.2 Dry overnight (12 hours minimum) at
1105 SC, and cool in a dessicator.
10.1.3 C alcu late p ercen t so lid s a s follow s:
% s o lid s —

weight of sample after drying X 100
weight o f sample before drying
10.2 D eterm ination o f particle siz e.
10.2.1 Spread the dried sam p le from
sectio n 10.1.2 on a p ie ce o f filter paper or
alum inum foil in a fum e hood or g lo v e box.

10.2.2 Estimate the size of the particles in
the sample. If the size of the largest particles
is greater than 1 mm, the particle size must be
reduced to 1 mm or less prior to extraction.
10.3
Preparation of aqueous samples
containing one percent solids or less—The
extraction procedure for aqueous samples
containing less than or equal to one percent
solids involves filtering the sample,
extracting the particulate phase and the
filtrate separately, and combining the
extracts for analysis. The aqueous portion is
extracted by shaking with methylene chloride
in a separatory funnel. The particulate
material is extracted using die SDS
procedure.
10.3.1 Mark the original level of the sample
on the sample bottle for reference. Weigh the
sample in the bottle on a top loading balance
to ± l g .
10.3.2 Dilute a sufficient volume of the
labeled compound stock solution by a factor
of 50 witb acetone to prepare the labeled
compound spiking solution. 1.0 mL o f the
diluted solution, is required for each sample,
but no more solution should be prepared then
can be used in one day. Spike 1J) mL o f the
diluted solution into the sample bottle. Cap
the bottle and mix the sample by careful
shaking. Allow the sample to equilibrate for
1-2 hours, with occasional shaking.
10.3.3 Ft» each sample or sample set (to a
maximum of 20 samples) to be extracted
during the same 12-hour shift, place two ID
liter aliquots of reagent water in clean 2 liter
separatory flasks.
103.4 Spike 1.0 mL of the diluted labeled
compound spiking standard (Section 6.10)
into one reagent water aliquot. This aliquot
will serve as the blank. Dilute 10 uL of the
precision and recovery standard (section
614) to 2 8 mL with acetone: Spike 1.0 mL of
the diluted precision and recovery standard
into the remaining reagent water aliquot. This
aliquot will serve as the PAR (section 14.5).
10.3.5 Assemble a Buchner funnel on top of
a clean 1 L filtration flask. Apply a vacuum to
the flask, and pour the entire contents of the
sample bottle through a glass fiber filter
(section 5.5.4) in the Buchner funnel, swirling
the sample remaining in the bottle to suspend
any particulates.
10.3.6 Rinse the sample bottle twice with 5
mL of reagent water to transfer any
remaining particulates onto the filter.
103.7 Rinse any particulates off the sides
of the Buchner funnels with small quantities
of reagent water.
103.8 Weigh the empty sample bottle on a
top-loading balance to ± lg . Determine the

5112

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 f Proposed Rules

weight of the sample by difference. Do not
discard the bottle at this point.
10.3.9 Extract the filtrates using the
procedures in Section 11.1.1.
10.3.10 Extract the particulates using the
procedures in Section 11.1.2.
10.4
Preparation of samples containing
greater than one percent solids.
10.4.1 Weigh a well-mixed aliquot of each
sample (of the same matrix type) sufficient to
provide 10 g of dry solids (based on the solids
determination in 10.1.3) into a clean beaker or
glass jar.
10.4.2 Spike 1.0 mL of the diluted labeled
compound spiking solution (section 10.3.2)
into the sample aliquot(s).
10.4.3 For each sample or sample set (to a
maximum of 20 samples) to be extracted
during the same 12-hour shift, weight two 10 g
aliquots of the appropriate reference matrix
(section 6.6) into clean beakers or glass jars.
10.4.4 Spike 1.0 mL of the diluted labeled
compound spiking solution into one reference
matrix aliquot. This aliqiiot will serve as the
blank. Spike 1.0 mL of the diluted precision
and recovery standard (section 10.3.4) into
the remaining reference matrix aliquot. This
aliquot will serve as the PAR (section 14.5).
10.4.5 Stir or tumble and equilibrate the
aliquots for 1-2 hours.
10.4.6 Extract the aliquots using the
procedures in section 11.
10.5 Preparation of multiphase samples.
10.5.1 Pressure filter the sample, blank, and
PAR aliquots through Whatman GF/D glass
fiber filter paper. If necessary, centrifuge
these aliquots for 30 minutes at greater than
5000 rpm prior to filtration.
10.5.2 Discard any aqueous phase (if
present). Remove any non-aqueous liquid (if
present) and reserve for recombination with
the extract of the solid phase (section
11.1.2.5). Prepare the filter papers of the
sample and QC aliquots for particle size
reduction and blending (section 10.6).
10.6 Sampling grinding, homogenization, or
blending—samples with particle sizes greater
than 1 mm (as determined by section 10.2.2)
are subjected to grinding, homogenization, or
blending. The method of reducing particle
size to less than 1 mm is matrix dependent. In
general, hard particles can be reduced by
grinding with a mortar and pestle. Softer
particles can be reduced by grinding in a
Wiley mill or meat grinder, by
homogenization, or by blending.
10.6.1 Each size-reducing preparation
procedure on each matrix shall be verified by
running the tests in section 8.2 before the
procedure is employed routinely.
10.6.2 The grinding, homogenization, or
blending procedures shall be carried out in a
glove box or fume hood to prevent particles
from contaminating the work environment.
10.6.3 Grinding—Tissue samples, certain
papers and pulps, slurries, and amorphous
solids can be ground in a Wiley mill or heavy
duty meat grinder. In some cases, reducing
the temperature of the sample to freezing or
to dry ice or liquid nitrogen temperatures can
aid in the grinding process. Grind the sample
aliquots from section 10.4.5 or 10.5.2 in a
clean grinder. Do not allow the sample
temperature to exceed 50 *C. Grind the blank
and reference matrix aliquots using a clean
grinder.

10.6.4 Homogenization or blending—
Particles that are not ground effectively, or
particles greater than 1 mm in size after
grinding, can often be reduced in size by high
speed homogenization or blending.
Homogenize and/ or blend the sample, blank,
and PAR aliquots from section 10.4.5,10.5.2,
or 10.6.3.
10.6.5 Extract the aliquots using the
procedures in Section 11.
11. E xtraction an d C oncentration

11.1 Extraction of filtrates—Extract the
aqueous samples, blanks, and PAR aliquots
according to the following procedures.
11.1.1 Pour the filtered aqueous sample
from the filtration flask into a 2-L separatory
funnel. Rinse the flask twice with 5 mL of
reagent water and add these rinses to the
separatory funnel. Add 60 mL methylene
chloride to the sample bottle (section 10.3.8),
seal, and shake 60 seconds to rinse the inner
surface.
11.1.2 Transfer the solvent to the
separatory funnel and extract the sample by
shaking the funnel for 2 minutes with periodic
venting. Allow the organic layer to separate
from the water phase for a minimum of 10
minutes. If the emulsion interface between
layers is more than one-third the volume of
the solvent layer, employ mechanical
techniques to complete die phase separation
(e.g., a glass stirring rod). Drain the
methylene chloride extract into a solventrinsed glass funnel approximately one-half
full of clean sodium sulfate. Set up the glass
funnel so that it will drain directly into a
solvent-rinsed 500-mL K-D concentrator
fitted with a 10 mL concentrator tube. Note:
Experience with aqueous samples high in
dissolved organic materials (e.g., paper mill
effluents) has shown that acidification of the
sample prior to extraction may reduced the
formation of emulsions. Paper industry
methods suggest that the addition of up to 400
mL of ethanol to a 1 L effluent sample may
also reduce emulsion formation. However,
studies by the Agency to date suggest that the
effect may be a result of the dilution of the
sample, and that the addition of reagent
water may serve the same function.
Mechanical techniques may still be necessary
to complete the phase separation. If either of
these techniques is utilized, the laboratory
must perform the startup tests described in
section 8.2 using the same techniques.
11.1.3 Extract the water sample two more
times using 60 mL of fresh methylene chloride
each time. Drain each extract through the
funnel containing the sodium sulfate into the
K-D concentrator. After the third extraction,
rinse the separatory funnel with at least 20
mL of fresh methylene chloride, and drain
this rinse through the sodium sulfate into the
concentrator. Repeat this rinse at least twice.
11.1.4 The extract of the filtrate must be
concentrated before it is combined with the
extract of the particulates for further cleanup.
Add one or two clean boiling chips to the
receiver and attach a three-ball macro
Snyder column. Pre-wet the column by
adding approximately 1 mL of hexane
through the top. Place the K-D apparatus in a
hot water bath so that the entire lower
rounded surface of the flask is bathed with
steam.

11.1.5 Adjust the vertical position of the
apparatus and the water temperature as
required to complete the concentration in 1520 minutes. At the proper rate of distillation,
the balls of the column will actively chatter
but the chambers will not flood.
11.1.6 When the liquid has reached an
apparent volume of 1 mL, remove the K-D
apparatus from the bath and allow the
solvent to drain and cool for at least 10
minutes. Remove the Snyder column and
rinse the flask and its lower joint into the
concentrator tube with 1-2 mL of hexane. A 5
mL syringe is recommended for this
operation.
11.1.7 The concentrated extracts of the
filtrate and the particulates are combined
using the procedures in section 11.2.13.
11.2
Soxhlet/Dean-Stark extraction of
solids—Extract the solid samples,
particulates, blanks, and PAR aliquots using
the following procedure.
11.2.1 Charge a clean extraction thimble
with 5.0 g of 100/200 mesh silica (section
6.5.1.1) and 100 g of quartz sand (section
6.3.2). Note: Do not disturb the silica layer
throughout the extraction process.
11.2.2 Place the thimble in a clean
extractor. Place 30-40 mL of toluene in the
receiver and 200-250 mL of toluene in the
flask.
11.2.3 Pre-extract the glassware by heating
the flask until the toluene is boiling. When
properly adjusted, 1-2 drops of toluene per
second will fall from the condensor tip into
the receiver. Extract the apparatus for three
hours minimum.
11.2.4 After pre-extraction, cool and
disassemble the apparatus. Rinse the thimble
with toluene and allow to air dry.
11.2.5 Load the wet sample from sections
10.4.6,10.5.2,10.8.3, or 10.6.4, and any
nonaqueous liquid from section 10.5.2 into the
thimble and manually mix into the sand layer
with a clean metal spatula carefully breaking
up any large lumps of sample. If the material
to be extracted is the particulate matter from
the filtration of an aqueous sample, add the
filter paper to the thimble also.
11.2.6 Reassemble the pre-extracted SDS
apparatus and add a fresh charge of toluene
to the receiver and reflux flask.
11.2.7 Apply power to the heating mantle
to begin refluxing. Adjust the reflux rate to
match the rate of percolation through the
sand and silica beds until water removal
lessens the restriction to toluene flow. Check
the apparatus for foaming frequently during
the first 2 hours of extraction. If foaming
occurs, reduce the reflux rate until foaming
subsides.
11.2.8 Drain the water from the receiver at
1-2 hours and 8-9 hours, or sooner if the
receiver fills with water. Reflux the sample
for a total of 16-24 hours. Cool and
disassemble the apparatus. Record the total
volume of water collected.
11.2.9 Remove the distilling flask. Drain the
water from the Dean Stark receiver and add
any toluene in the receiver to the extract m
the flask.
11.2.10 For solid samples, the extract must
be concentrated to approximately 10 mL prior
to back extraction. For the particulates
filtered from an aqueous sample, the extract

Federal R egister / V ol. 56, N o. ¿6 V THürsday, February 7', 1991 / P roposed Rules
must be concentrated prior to combining with
th** extract of the filtrate. Therefore, add one
or two clean boiling chips to the round
bottom flask and attach a three-ball macro
Snyder column. Pre-wet the column by
adding approximately 1 mL of toluene
through the top. Place the round bottom flask
in a heating mantle and apply heat as
required to complete the concentration in 1520 minutes. At the proper rate of distillation,
the balls of the column will actively chatter
but the chambers will not flood.
11.2.11 When the liquid has reached an
apparent volume of 10 mL. remove the round
bottom flask from the heating mantle and
allow the solvent to drain and cool for at
least 10 minutes. Remove the Snyder column.
11.2.12 If the extract is from a solid sample,
not the particulates from an aqueous sample,
transfer the concentrated extract to a 250 mL
separatory funneL Rinse the flask with
toluene and add the rinse to the separatory
funnel. Proceed with back extraction per
section 1L3.
11.2.15 If the extract is from, the
particulates from an aqueous sample, it must
be combined with the concentrated extract of
the filtrate (section 11.1.7) prior to back
extraction. Assemble the glass funnel filled
approximately one-half frill with sodium
sulfate from section 11.1.2 such that the
funnel will drain into the K-D concentrator
from section 11.1.7 containing the
concentrated methylene chloride extract of
the filtrate. Pour the concentrated toluene
extract of the particulates through the sodium
sulfate into the K-D concentrator. Rinse the
round-bottom flask with three 15-20 mL
volumes of hexane, and pour each rinse
through the sodium sulfate into the K-D
concentrator. Add one or two fresh boiling
chips to the receiver and attach the three-ball
macro Snyder column to the K-D
concentrator. Pre-wet the column by adding
approximately 1 mL of hexane to the top of
the column. Concentrate the combined
extract to approximately 10 mL (the volume
of the toluene). Remove the K-D apparatus
from the bath and allow the solvent to drain
the cool for at least 10 minutes. Remove the
Snyder column. Transfer die contents of the
K-D concentrator to a pre-rinsed 250 mL
separatory funnel. Rinse the flask and lower
joint with three 5 mL volumes of hexane, and
add each rinse to the separatory funnel.
Proceed with back extraction per section 11.3.
11.3 Back extraction with base and acid.
11.3.1 Spike 1.0 mL of the cleanup standard
(section 6.11) into the separatory funnels
containing the sample and QC extracts
(section 11.2.12 or 11.2.13).
11.3.2 Partition the extract against 50 mL of
potassium hydroxide solution (section 6.1.1.).
Shake for 2 minutes with periodic venting
into a hood. Remove and discard the aqueous
layer. Repeat the base washing until no color
is visible in the aqueous layer, to a maximum
of four washings. Minimize contact time
between the extract and the base to prevent
degradation of the PCDDs and PCDFs.
Stronger potassium hydroxide solutions may
be employed for back extraction, provided
that die laboratory meets the specifications
for labeled compound recovery and
demonstrates acceptable performance using
the procedures in section 8.2.

11.3.3 Partition the extract against 50 mL of
sodium chloride solution (section 6.1.3) in the
same way as with base. Discard the aqueous
layer.
11.3.4 Partition the extract against 50 mL of
sulfuric acid (section 8.1.2) in the same way
as with base. Repeat the acid washing until
no color is visible in the aqueous layer, to a
maximum of four washings.
11.3.5 Repeat the partitioning against
sodium chloride solution and discard die
aqueous layer.
11.3.6 Pour each extract through a drying
column containing 7 to 10 cm of anhydrous
sodium sulfate. Rinse the separatory funnel
with 30-50 mL of toluene and pour through
the drying column. Collect each extract in a
500 mL round bottom flask. Concentrate and
clean up the samples and QC aliquots per
sections 11.4 and 12.
11.4
Macro-concentration—Concentrate
the extracts in separate 100 mL round bottom
flasks on a rotary evaporator.
11.4.1 Assemble the rotary evaporator
according to manufacturer’s instructions, and
warm thé water bath of 45*C. On a daily
basis, preclean the rotary evaporator by
concentrating 100 mL of dean extraction
solvent through the system. Archive both the
concentrated solvent and the solvent in the
catch flask for contamination check if
necessary. Between samples, three 3-3 mL
aliquots of toluene should be rinsed down the
feed tube into a waste beaker.
11.4.2 Attach the round bottom flask
containing the sample extract to the rotary
evaporator. Slowly apply vacuum to the
system, and begin rotating the sample flask.
11.4.3 Lower the flask into the water bath
and adjust the speed of rotation and the
temperature as required to complete the
concentration in 15-20 minutes. At the proper
rate of concentration, the flow of solvent into
the receiving flask will be steady, but no
bumping or visible boiling of thé extract will
occur. Note: If the rate of concentration is too
fast, analyte loss may occur.
11 A 4 When the liquid m the concentration
flask has reached an apparent volume of 2
mL, remove the flask from the water bath and
stop the rotation. Slowly and carefully, admit
air into the system. Be sure not to open the
valve so quickly that the sample is blown mit
of the flask. Rinse the feed tube with
approximately 2 mL of hexane.
11.4.5 Transfer the extract to a vial using
three 2-3 mL rinses of hexane. Proceed with
micro-concentration and solvent exchange.
11.5 Micro-concentration and solvent
exchange.
11.5.1 Toluene extracts to be subjected to
GPC or HPLC cleanup are exchanged into
methylene chloride. Extracts that are to be
cleaned up using silica gel, alumina, and/or
A X -2l/C elite are exchanged into hexane.
11.5.2 Transfer the vial containing the
sample extract to a nitrogen evaporation
device. Adjust the flow of nitrogen so that the
surface of the solvent is just visibly
disturbed. Note: A large vortex in the solvent
may cause analyte loss.
11.5.3 Lower the vial into a 45 °C water
bath and continue concentrating.
11.5.4 When the volume of the liquid is
approximately 100 uL, and 2-3 mL of the
desired solvent (methylene chloride or

5113

hexane) and continue concentration to
approximately 100 uL Repeat the addition of
solvent and concentrate once more.
11.5.5 If the extract is to be cleaned up by
GPC or HPLC, adjust die volume of the
extract to 5.0 mL with methylene chloride.
Proceed with GPC cleanup (section 122).
11.5.6 If the extract is to be cleaned up by
column chromatography (alumina, silica get
AX-21/CelHe), bring the final volume to 1.0
mL with hexane. Proceed with column
cleanups (sections 12.3-12.5).
11.5.7 For extracts to be concentrated for
injection into the GCMS—Add 10 uL of
nonane to the vied. Evaporate the solvent to
the level of die nonane. Evaporate the hexane
in the vial to die level of the nonane.
11.5.8 Seal the vial and label with the
sample number. Store in the dark at room
temperature until ready for GCMS analysis.
12. E xtract Cleanup

12.1 Cleanup may not be necessary for
relatively clean samples (e.g., treated
effluents, groundwater, drinking water). If
particular circumstances require the use of a
cleanup procedure, the analyst may nse any
or all of the procedures below or any other
appropriate procedure. Before using a
cleanup procedure, the analyst must
demonstrate that the requirements of section
8.2 can be met using the cleanup procedure.
12.1.1 Gel permeation chromatography
(section 12.2) removes many high molecular
weight interferences that cause GC column
performance to degrade. It may be used for
all soil and sediment extracts and may be
used for water extracts that are expected to
contain high molecular weight organic
compounds (e.g., polymeric materials, humic
acids).
12.1.2 Acid, neutral, and basic silica gel,
and alumina (sections 122 and 12.4) are used
to remove nonpolar and polar interferences.
12.1.3 AX-Zl/Celite (section 12.5) is used
to remove nonpolar interferences.
12.1.4 HPLC (section 12.6) is used to
provide specificity for the 2,3,7,8-substitu ted
and other PCDD and PCDF isomers.
12.2
Gel permeation chromatography
(GPC)
1 2 ^ .1 Column packing
122.1.1 Place 70-75 g of SX-3 Bio-beads in
a 400-500 mL beaker.
122.1.2 Cover the beads with methylene
chloride and allow to swell overnight (12
hours minimum).
12.2.1.3 Transfer the swelled beads to the
column and pump solvent through the
column, from bottom to top, at 4.5-&5 mL/
min prior to connecting the column to the
detector.
12.2.1.4 After purging the column with
solvent for 1—2 hours, adjust the column head
pressure to 7-10 peig and purge for 4-5 hours
to remove air. Maintain a head pressure of 7—
10 psig. Connect the column to die detector.
12.22 Column calibration.
12.22.1
Load 5 mL of the calibration
solution (section 6.4) into the sample loop.
12.2.2.2 Inject the calibration solution and
record die signal from the detector. The
elution pattern will be corn oil, bis(2-ethyl
hexyl) phthalate, pentachlorophenol,
perylene, and sulfur.

5114

Federal Register / ‘ Vcfl . 56,' No. 26 / Thursday, FebiHiary1 ¡7, isfol / Propbfce&i Riflfe&

12.2.2.3 Set the "dump time” to allow >85
sulfuric acid added to 10 g silica gel). The
percent removal of the com oil and >85
basic silica gel (section 6.5.1.3) may be
increased in strength to as much as 33% w/w
percent collection of the phthalate.
12.2.2.4 Set the "collect time” to the peak
(50 mL IN NaOH added to 100 g silica gel).
minimum between perylene and sulfur.
Note: The use of stronger acid silica gel (44%
w/w) may lead to charring of organic
12.2.2.5 Verify the calibration with the
calibration solution after every 20 extracts.
compounds in some extracts. The charred
material may retain some of the analytes and
Calibration is verified if the recovery of the
pentachlorophenol is greater than 85 percent.
lead to lower recoveries of PCDDs/PCDFs.
Increasing the strengths of the acid and basic
If calibration is not verified, the system shall
silica gel may also require different volumes
be recalibrated using the calibration solution,
of hexane than those specified above, to elute
and the previous 20 samples shall be re­
extracted and cleaned up using the calibrated the analytes off the column. Therefore, the
GPC system.
performance of the method after such
12.2.3
Extract cleanup—GPC requires that modifications must be verified by the
procedures in section 8.2.
the column not be overloaded. The column
specified in this method is designed to handle
12.4 Alumina cleanup.
12.4.1 Place a glass wool plug in a 15 mm
a maximum of 0.5 g of high molecular weight
i.d. chromatography column.
material in a 5 ml extract. If the extract is
12.4.2 If using acid alumina, pack the
known or expected to contain more than 0.5
column by adding 6 g acid alumina (section
g, the extract is split into aliquots for GPC
6.5.2.1). If using basic alumina, substitute 6 g
and the aliquots are combined after elution
basic alumina (section 6.5.2.2). Tap the
from the column. The residue content of the
extract may be obtained gravimetrically by
column to settle the adsorbents.
12.4.3 Pre-rinse the column with 50-100
evaporating the solvent from a 50 pL aliquot.
mL of hexane. Close the stopcock when the
12.2.3.1 Filter the extract or load through
hexane is within 1 mm of the alumina.
the filter holder to remove particulates. Load
12.4.4 Discard the eluate. Check the
the 5.0 mL extract onto the column.
column for channeling. If channeling is
12.2.3.2 Elute the extract using the
calibration data determined in section 12.2.2.
present, discard the column and prepare
Collect the eluate in a clean 400-500 mL
another.
beaker.
12.4.5 Apply the concentrated extract to
12.2.3.3 Rinse the sample loading tube
the column. Open the stopcock until the
extract is within 1 mm of the alumina.
thoroughly with methylene chloride between
12.4.6 Rinse the receiver twice with 1 mL
extracts to prepare for the next sample.
12.2.3.4 If a particularly dirty extract is
portions of hexane and apply separately to
encountered, a 5.0 mL methylene chloride
the column. Elute the interfering compounds
blank shall be run through the system to
with 100 mL hexane and discard the eluate.
check for carryover.
12.4.7 The choice of eluting solvents will
12.2.3.5 Concentrate the eluate per
depend on the choice of alumina (acid or
Section 11.2.1,11.2.2, and 11.3.1 or 11.3.2 for
basic) made in section 12.4.2.
further cleanup or for injection into the
12.4.7.1 If using acid alumina, elute the
GCMS.
PCDDs and PCDFs from the column with 20
12.3 Silica gel cleanup.
mL methylene chloride:hexane (20:80 v/v).
12.3.1 Place a glass wool plug in a 15 mm
Collect the eluate.
i.d. chromatography column. Pack the column
12.4.72, If using basic alumina, elute the
in the following order (bottom to top): 1 g
PCDDs and PCDFs from the column with 20
silica gel (section 6.5.1.1), four g basic silica
mL methylene chloride:hexane (50:50 v/v).
gel (section 6.5.1.3), 1 g silica gel, 8 g acid
Collect the eluate.
silica gel (section 6.5.1.2) 2 g silica gel. Tap
12.4.8 Concentrate the eluate per section
the column to settle the adsorbents.
11.4 or 11.5 for further cleanup or for injection
12.3.2 Pre-rinse the column with 50-100
into the HPLC or GCMS.
mL of hexane. Close the stopcock when the
12.5 AX-21/Celite.
hexane is within 1 mm of the sodium sulfate.
12.5.1 Cut both ends from a 10 mL
Discard the eluate. Check the column for
disposable serological pipet to produce a 10
channeling. If channeling is present, discard
cm column. Fire polish both ends and flare
the column and prepare another.
both ends if desired. Insert a glass wool plug
12.3.3 Apply the concentrated extract to
at one end, then pack the column with 1 g of
the column. Open the stopcock until the
the activated AX-2l/Celite to form a 2 cm
extract is within 1 mm of the sodium sulfate.
long adsorbent bed. Insert a glass wool plug
12.3.4 Rinse the receiver twice with 1 mL
on top of the bed to hold the adsorbent in
portions of hexane and apply separately to
place.
the column. Elute the PCDDs/PCDFs with 100
12.5.2 Pre-rinse the column with five mL
mL hexane and collect the eluate.
of toluene followed by 2 mL methylene
12.3.5 Concentrate the eluate per section
chloride:methanol:toluene (15:4:1 v/v), 1 mL
11.4 or 11.5 for further cleanup or for injection methylene chloride:cyclohexane (1:1 v/v),
into the HPLC or GCMS.
and five mL hexane. If the flow rate of eluate
12.3.6 For extracts of samples known to
exceeds 0.5 mL per min, discard the column.
contain large quantities of other organic
12.5.3 When the solvent is within 1 mm of
compounds (such as paper mill effluents) it
the column packing, apply the sample extract
may ba advisable to increase the capacity of
to the column. Rinse the sample container
the silica gel column. This may be
twice with 1 mL portions of hexane and apply
accomplished by increasing the strengths of
separately to the column. Apply 2 mL of
the acid and basic silica gels. The acid silica
hexane to complete the transfer.
gel (section 6.5.1.2) may be increased in
12.5.4 Elute the interfering compounds
strength to as much as 44% w/w (7.9 g
with 2 mL of hexane, 2 mL of methylene

chloride: cyclohexane (1:1 v/v), and 2 mL of
methylene chloride:methanol:toluene (15:4:1
v/v). Discard the eluate.
12.5.5. Invert the column and elute the
PCDDs and PCDFs with 20 mL of toluene. If
carbon particles are present in the eluate,
filter through glass fiber filter paper.
12.5.6 Concentrate the eluate per section .
11.4 or 11.5 for further cleanup or for injection
into the HPLC or GCMS.
12.6 HPLC (Reference 6).
12.6.1 Column calibration.
12*0.1.1 Prepare a calibration standard
containing the 2,3,7,8-isomers and/or other
isomers of interest at a concentration of
approximately 500 pg/pL in methylene
chloride.
12.6.1.2 Inject 30 pL of the calibration
solution into the HPLC and record the signal
from the detector. Collect the eluant for
reuse. The elution order will be the tetrathrough octaisomers.
12.6.1.3 Establish the collect time for the
tetra-isomers and for the other isomers of
interest. Following calibration, flush the
injection system with copious quantities of
methylene chloride, including a minimum of
five 50-pL injections while the detector is
monitored, to ensure that residual PCDDs and
PCDFs are removed from the system.
12.6.1.4 Verify the calibration with the
calibration solution after every 20 extracts,
Calibration is verified if the recovery of the
PCDDs and PCDFs from the calibration
standard (section 12.6.1.1) is 75-125 percent
compared to the calibration (section 12.6.1.2).
If calibration is not verified, the system shall
be recalibrated using the calibration solution,
and the previous 20 samples shall be re- '
extracted and cleaned up using the calibrated
system.
12.6.2
Extract cleanup—HPLC requires
that the column not be overloaded. The
column specified in this method is designed
to handle a maximum of 30 pL of extract. If
the extract cannot be concentrated to less
them 30 pL, it is split into fractions and the
fractions are combined after elution from the
column.
12.6.2.1 Rinse the sides of the vial twice
with 30 pLof methylene chloride and reduce
to 30 pL with the blowdown apparatus.
12.6.2.2 Inject the 30 pL extract into the
HPLC.
12.6.2.3 Elute the extract using the
calibration data determined in 12.6.1. Collect
the fraction(s) in a clean 20 mL concentrator
tube containing 5 mL of hexane:acetone (1:1
v/v).
12.6.2.4 If an extract containing greater
than 100 ng/mL of total PCDD or PCDF is
encountered, a 30 pL methlene chloride blank
shall be run through the system to check for
carryover.
12.6.2.5 Concentrate the eluate per section
11.5 for injection into the GCMS.
13. HRGC/RHMS Analysis
13.1 Establish the operating conditions
given in section 7.1.
13.2 Add 10 pL of the internal standard
solution (section 6.12) to the sample extract
immediately prior to injection to minimize the
possibility of loss by evaporation, adsorption,
or reaction. If an extract is to be reanalyzed

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules
and evaporation has occurred, do not add
more instrument internal standard solution.
Rather, bring the extract back to its previous
volume (e.g., 19 fiL) with pure nonane only.
13.3
Inject 1.0 jxL of the concentrated
extract containing the internal standard
solution, using on-column or splitless
injection. Start the GC column initial
isothermal hold upon injection. Start MS data
collection after the solvent peak elutes. Stop
data collection after the octachloro-dioxin
and furan have eluted. Return the column to
the initial temperature for analysis of the
next extract or standard.
14. System and Laboratory Performance
14.1 At the beginning of each 12-hour shift
during which analyses are performed, GCMS
system performance and calibration are
verified for all unlabeled and labeled
compounds. For these tests, analysis of the
CS3 calibration verification (VER) standard
(section 6.13 and Table 4) and the isomer
specificity test standards (sections 6.16 and
Table 5) shall be used to verify all
performance criteria. Adjustment and/or
recalibration (per section 7) shall be
performed until all performance criteria are
met Only after all performance criteria are
met may samples, blanks, and precision and
recovery standards by analyzed.
14.2 MS resolution—A static resolving
power of at least 10,000 (10 percent valley
definition) must be demonstrated at
appropriate masses before any analysis is
performed. Static resolving power checks
must be performed at the beginning and at
the end of each 12-hour shift according to
procedures in section 7.1.2. Corrective actions
must be implemented whenever the resolving
power does not meet the requirement
14.3 Calibration verification.
14.3.1 Inject the VER standard using the
procedure in section 13.
14.3.2 The m/z abundance ratios for all
PCDDs and PCDFs shall be within the limits
in Table 3A; otherwise, the mass
spectrometer shall be adjusted until the m/z
abundance ratios fall within the limits
specified, and the verification test (section
14.3.1) repeated. If the adjustment alters the
resolution of the mass spectrometer,
resolution shall be verified (section 7.1.2)
prior to repeat of the verification test.
14.3.3 Tlie peaks representing each
unlabeled and labeled compound in the VER
standard must be present with a S/N of at
least 10; otherwise, the mass spectrometer
shall be adjusted and the verification test
(section 14.3.1) repeated.
14.3.4 Compute the concentration of each
unlabeled compound by isotope dilution
(section 7.5) for those compounds that have
labeled analogs (Table 1). Compute the
concentration of the labeled compounds by
the internal standard method. These
concentrations are computed based on the
averaged relative response and averaged
response factor from the calibration data in
section 7.
14.3.5 For each compound, compare the
concentration with the calibration
verification limit in Table 7. If all compounds
meet the acceptance criteria, calibration has
been verified. If, however, any compound
fails, the measurement system is not

performing properly for that compound. In
this event, prepare a fresh calibration
standard or correct the problem causing the
failure and repeat the resolution (section 14.2)
and verification (section 14.3.1) tests, or
recalibrate (section 7).
14.4 Retention times and GC resolution.
14.4.1 Retention times
14.4.1.1 Absolute—Absolute retention
times of the iaCis-l,2,3,4-TCDD and i3Cir1,2,3,7,8,9-HxCDD GCMS internal standards
shall be within ±15 seconds of the retention
times obtained during calibration (section
7.2.4).
14.4.1.2 Relative—Relative retention times
of unlabeled and labeled PCDDs and PCDFs
shall be within the limits given in Table 2.
14.4.2 GC resolution.
14.4.2.1 Inject the isomer specificity
standards (section 6.16) on their respective
columns. i
14.4.2.2 The valley height between 2,3,7,8TCDD and the other tetra-dioxin isomers at
m/z 319.8965, and between 2,3,7,8-TCDF and
the other tetra-furan isomers at m/z 303.9016
shall not exceed 25 percent of their respective
columns (Figure 3).
14.4.3 If the absolute retention time of any
compound is not within the limits specified or
the 2,3,7,8-isomer8 are not resolved, the GC is
not performing properly. In this event, adjust
the GC and repeat the verification test
(section 14.3.1) or recalibrate (section 7).
14.5 Ongoing precision and accuracy
14.5.1 Analyze the extract of the diluted
precision and recovery standard (PAR)
(section 10.3.4 or 10.4.4) prior to analysis of
samples from the same set
14.5.2 Compute the concentration of each
PCDD and PCDF by isotope dilution for those
compounds that have labeled analogs
(section 7.5). Compute the concentration of
each labeled compound by the internal
standard method.
14.5.3 For each unlabeled and labeled
compound, compare the concentration with
the limits for ongoing accuracy in Table 7. If
all compounds meet the acceptance criteria,
system performance is acceptable and
anlysis of blanks and samples may proceed.
If, however, any individual concentration
falls outside of the range given, the
extraction/concentration processes are not
being performed properly for that compound.
In this event, correct the problem, re-extract
the sample set (section 10) and repeat the
ongoing precision and recovery test (section
14.5). The concentration limits in Table 7 for
labeled compounds are based on the
requirement that the recovery of each labeled
compound be in the range of 25-150%.
14.5.4 Add results which pass the
specification in section 14.5.3 to initial and
previous ongoing data for each compound in
each matrix. Update QC charts to form a
graphic representation of continued
laboratory performance. Develop a statement
of laboratory accuracy for each PCDD and
PCDF in each matrix type by calculating the
average percent recovery (R) and the
standard deviation of percent recovery (SR).
Express the accuracy as a recovery interval
from R—2SR to R+2SR. for example, if
R=95% and SR=5%, the accuracy is 85-105%.

5115

15. Qualitative Determination
For a gas chromatographic peak to be
identified as a PCDD or PCDF (either a
unlabeled or a labeled compound), it must
meet all of the criteria in sections 15.1-15.4.
15.1 The signals for two exact m/z's being
monitored (Table 3) must be present, and
must maximize within ±2 seconds of one
another.
15.2 The signal-to-noise ratio (S/N) of each
of the two exact m/z’s must be greater than
or equal to 2.5 for a sample extract, and
greater than or equal to 10 for a calibration
standard (see sections 7.2.3 and 14.3.3).
15.3 The ratio of the integrated ion currents
of both the exact m/z's monitored must be
within the limits in Table 3A.
15.4 The relative retention time of the
peaks representing a unlabeled 2,3,7,8substituted PCDD or PCDF must be within
the limits given in Table 2. The retention time
of peaks representing non-2,3,7,8-substituted
PCDDS or PCDFs must be within the
retention time windows established in
section 7.3.
15.5 Confirmatory analysis-isomer
specificity for all of the 2,3,7,8-substituted
analytes cannot be attained by analysis on
the DB-5 (or equivalent) GC column alone.
The lack of specificity is of greatest concern
for the unlabled 2,3,7,8-TCDF. Therefore, any
sample in which 2,3,7,8-TCDF is identified by
analysis on a DB-5 (or equivalent) GC
column must have a confirmatory analysis
performed on a DB-225, SP-2330, or
equivalent GC column. The operating
conditions in section 7.1.1 may be adjusted
for analyses on the second GC column, but
the GCMS must meet the mass resolution and
calibration specifications in section 7.
15.6 If any gas chromatographic peak
meets the identification criteria in sections
15.1,15.2, and 15.4, but does not meet the ion
abundance ratio criterion (section 15.3), and
is not a labeled analog, that sample must be
analyzed on a second GC column, as in
section 15.5 above. Interferences co-eluting in
either of the two m/z's may cause the ion
abundance ratio to fall outside of the limits in
Table 3A. If the ion abundance ratio of the
peak fails to meet the criteria on the second
GC column, then the peak does not represent
a PCDD or PCDF. If the peak does meet all of
the criteria in sections 15.1-15.4 on the
second GC column, then calculate the
concentration of that peak from the analysis
on the second GC column, according to the
procedures in section 16.
15.7 If any gas chromatographic peak that
represents a labeled analog does not meet all
of the identification criteria in sections 15.115.4 on the second GC column, then the
results may not be reported for regulatory
compliance purposes and a new aliquot of
the sample must be extracted and analyzed.
16. Quantitative Determination
16.1
Isotope dilution—By adding a known
amount of a labeled compound to every
sample prior to extraction, correction for
recovery of the unlabeled compound can be
made because the unlabeled compound and
its labeled analog exhibit similar effects upon
extraction, concentration, and gas
chromatography. Relative response (RR)

511S

Federal Register / Voi. 56, No. ,28 /, Tliursday, F ebruary (7, 1991 / Proposed Rules

values are used in conjunction with
calibration data described in section 7.5 to
determine concentrations directly, so long as
labeled compound spiking levels are
constant, using the following equation:

is quantitated against the labeled OCDD. As
a result, the concentiation of unl&beied
OCDF is corrected for tbe recovery of the
labeled OCDD. In instances where OCDD
and OCDF behave differently diming sample
extraction, concentration, and cleanup
procedures, this may decrease the accuracy
C*
of the OCDF results. However, given the low
C,Jng/m L) = ---------------------toxicity of this compound relative to the other
(V + A tf KR
dioxins and furans, the potential decrease in
accuracy is aot considered significant.
Where:
16.1.2
Because the labeled analog of
C„ hi the concentration at the unlabeled
1,2,3,73,9-HxCDD is used as an internal
compound in the extract and other terms
standard (l.e., not added before extraction of
are es defined in section 7.5.2.
the sample), it cannot-be used to quantitate
16.1.1
Because of a potential interference, the unlabeled compound by strict isotope
dilution procedures. Therefore, the unlabeled
the labeled analog of OCDF is not added to
the sample. Therefore, this unlabeled analyte
1,2,3,7,0,9-HxCDD is quantitated using the

average *rf the responses of the labeled
analogs of foe other two 2,37,8-substituted
HxCDD’s, 1,20,4,70-HxCBD and 100,6,70HxCOD. As a result, the concentration of the
unlabeled 10000,9~HxCBD is corrected for
the average recovery of the other two
HxCDD’s.
16.1.3
Any peaks representing «00-2,3,7,8subs tituted dioxins or furans are quantitated
using an average of tbe response factors from
all of the labeled 2,3,7,8-isomers in the same
level of chlorination.
16.2
Internal standard—oompute the
concentrations of the '^-labeled analogs and
the i7C-labeled cleanup standard in the
extract using the response factors determined
from calibration data (section 7.6) and foe
following equation:

C«*(ng/mL) = -------------------------(Afc’+ A ^ RF

Where:
C*x1s the concentration of the compound in
the extract and tiie other terms are as
defined in section 7.6.1. Note: There is
only one m/z for the S3Ci-iabe!ed
standard.)
16.3
The concentration of the unlabeled
compound in the solid phase of the sample is
computed using the concentration of the
compound in the extract and the weight of
the solids (section 10), as follows:

16.5.2 For samples containing greater than
one percent solids, extract ah amount of
sample equal to 1/10,1/100, etc., of tiie
amount determined in Section 10.1.3. Extract
per section 10.4.
16.5.3 If a smaller sample size will not be
representative of the entire sample, dilute the
sample extract by e factor of 10, adjust the
concentration of the instrument internal
standard to 100 pg/pL ha the extract, and
analyze an aliquot of tins diluted extract by
the internal standard method.
16.6
Results are reported to three
Concentra(C*,xVeJ
tion in solid = -------------significant figures for the unlabeled and
(ng/Kg)
{W,
labeled isomers found in all standards,
blanks, and samples. For aqueous samples,
the «nits are pg/L; for samples containing
greater
than one percent solids (soils,
Where:
sediments, filter cake, compost), the units are
Cea is the concentration of the compound in
ng/Kg based on the dry weight of the sample.
the extract.
160.1 Results for samples which have
V„ is the extract volume in mL
been diluted are reported at the least dilute
W, is the sample weight in Kg.
level at which the areas at the quantitation/
16.9 The concentration of the unlabled
m/z’s are within the calibration range
compound in the aqueous phase of the
(section 16.5).
sample is computed using the concentration
160.2 For unlabeled compounds having a
of the compound in the extract and the
labeled analog, results are reported at the
volume of water extracted (section 10.3), as
least dilute level at which the area at the
follows:
quantitation m/z is within the calibration
range (section 16.5) mid the labeled
Concentra(C„XV„)
compound recovery Is within the normal
tion in
_ -------------range for the method (section 17.4).
aqueous
y
1600 Additionally, the total
phase (pg/L)
Vj*
concentrations of all isomers in an individual
level of chlorination (i.e., total TCDD, total
PeCDD, etc.) are reported to three significant
Where:
figures in units of pg/L, for bofo dioxins and
Cw Is the concentration of the compound in furans. Tbe total or ng/Kg ooncentration in
the extract
each level of chlorination is the sum of the
V„ is the extract volume in mL.
concentrations of all isomers identified in
Vt is the sample volume in liters.
that level, including any non-20,70substituted isomers.
100 If the SICP areas at the quantitation
m/z’s for any compound exceed the
17. Analysis of Complex Samples
calibration range of the system, a smaller
17.1
Some samples may contain high
sample aliquot is extracted.
16.5.1
For aqueous samples containing one levels (>10Ong/L; >1660 ng/Kg) of the
compounds of interest, interfering
percent solids or less, dilute 100 ml* 10 mL,
compounds, and/or polymeric materials.
etc., of sample to 1 liter with reagent water
and extract per section 11.
Some extracts will not concentrate to 10 pL

(section 11); ethers may overload the GC
column and/or mass spectrometer.
170 Analyze a smaller aliquot of foe
sample (Section 16.4) when foe extract will
not concentrate to 20 pL after all cleanup
procedures have been exhausted.
170 Recovery of labeled compound
spiking standards—In most samples,
recoveries of foe labeled compound spiking
standards wifi be similar to those from
reagent water or from foe alternate matrix
(section 6.6). if recovery is outside of foe 25160% range, a diluted sample (section Tti.4)
shall be analyzed, if foe recoveries Of foe
labeled compound spiking standards in foe
diluted sample are outside of foe limits (per
the criteria above), then foe verification
standard (section 140) shall be analyzed and
calibration verified (section 140.4). If the
calibration cannot be verified, a new
calibration must be performed and foe
original sample extract reanalyzed. If foe
calibra tion is verified and foe diluted sample
does not meet foe limits far labeled
compound recovery, then foe method does
not apply to foe sample being analyzed and
the result nicy not be reported for regulatory
compliance purposes.
18. Method Performance
The performance specifications in this
method are based on foe analyses of more
than 400 samples, representing matrices from
at least five industrial categories. These
specifications wifi be updated periodically as
more data are received, and each time the
procedures in foe method are revised.
References
1 Tondeur, Yves, “Method 8290:
Analytical Procedures and Quality Assurance
for Multimedia Analysis of Polychlorinated
Dibenzo-p-dioxins and Dibenzofurans by
High Resolution Gas Chromatography/High
Resolution Mass Spectrometry", USEPA
EMSL, Las Vegas, Nevada, June 1687.
2 ‘‘Measurement of 2,3,7,8Tetraehlorinated Dibenzo-p-dioxin (TCDD)
and 2,3,70-Tetradhlorimated Dibenzofuran
(TCDF) in Puipt, Sludges, Process Samples

Federal Register / j,Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Riiles
and Waste-waters from Pulp and Paper
Mills", Wright State University, Dayton, OH
45435, June 1988.
3 "NCASI Procedures for the Preparation
and Isomer Specific Analysis of Pulp and
Paper Industry Samples for 2,3,7,8-TCDD and
2,3,7,8-TCDF', National Council of the Paper
Industry for Air and Stream Improvement,
260 Madison Avenue, New York, NY 10016,
Technical Bulletin No. 551, Prerelease Copy,
July 1988.
4 “Analytical Procedures and Quality
Assurance Plan for the Determination of
PCDD/PCDF in Fish”, USEPA Environmental
Research Laboratory, 6201 Congdon
Boulevard, Duluth, MN 55804, April 1988.
5 Tondeur, Yves, “Proposed GC/MS
Methodology for the Analysis of PCDDs and
PCDFs in Special Analytical Services
Samples", Triangle Laboratories, Inc., 801-10
Capitola Dr., Research Triangle Park, NC
27713, January 1988; updated by personal
communication September 1988.
6 Lamparski, L.L, and Nestrick, T.J.,
“Determination of Tetra-, Hexa-, Hepta-, and
Octachlorodibenzo-p-dioxin Isomers in
Particulate Samples at Parts per Trillion
Levels”, Analytical Chemistry, 52:2045-2054,
1980.
Table 1.

Health Association, 101515th St. NW.,
Washington, DC 20005,46: section 108
(Safety), 1985.
14 “Method 613-2,3,7,8Tetrachlorodibenzo-p-dioxin", 40 CFR 136 (49
FR 43234), October 26,1984, section 4.1.
15 Provost, L.P., and Elder, R.S.,
“Interpretation of Percent Recovery Data",
American Laboratory, 15:56-83,1983.
16 “Handbook of Analytical Quality
Control in Water and Wastewater
Laboratories”, USEPA EMSL, Cincinnati, OH
45268, EPA-600/4-79-019, March 1979.
17 “Standard Practice for Sampling
Water”, ASTM Annual Book of Standards,
ASTM, 1916 Race Street, Philadelphia, PA
19103-1187,1980.
18 “Methods 330.4 and 330.5 for Total
Residual Chlorine", USEPA EMSL,
Cincinnati, OH 45268, EPA 600/4-70-020,
March 1979.
19 Barnes, Donald G., Kutz, Frederick W.,
and Bottimore, David P., “Update of Toxicity
Equivalency Factors (TEFs) for Estimating
Risks Associated with Exposures to Mixtures
of Chlorinated Dibenzo-p-Dioxins and
Dibenzofurans (CDDs/CDFs)", Risk
Assessment Forum, USEPA, Washington, DC
20460, February 1989.

P olychlorinated Dibenzodioxins and F ur a n s D etermined by Iso to pe D ilution and Internal S tandard High
R esolution G a s C hromatography (HRGC)/H igh R esolution Ma s s S pectrometry (HRMS)

PCDDs/PCDFs 1 isomer/congener
2,3,7,8 -TCDD....................________
Total-TCDD..................... ...........
2,3,7,8-TCDF..............................
Total-TCDF....___________________
1,2,3,7,8-PeCDD______
Total-PeCDD............. ................
1,2,3,7,8-PeCDF____________
2,3,4,7,8-PeCDF.............................
Total-PeCDF.........____________
1,2,3,4,7,8-HxCDD______________ ....
1,2,3.6,7,8-HxCDD__________
1,2,3,7,8,9-HxCCD....._________
Total-HxCDD.........................
1.2.3.4.7.8-HxCDF...........
1.2,3,6,7,8 -HxCDF_____________
1,2,3,7,8,9-HxCDF__________
2,3,4,6,7,8-HxCDF.........................
Totai-HxCDF........
1,2,3,4,6,7,8-HpCDD.......................
Total-HpCDD_____________
1,2,3,4,6,7.8-HpCDF____________
1.2.3.4.7.8.9-HpCDF...........
Total-HpCDF.......... ......
OCDD__ ___ _______
OCDF________ .,
Hpcnn

7 Lamparski, LL, and Nestrick, T.J.,
“Novel Extraction Device for the
Determination of Chlorinated Dibenzo-pdioxins (PCDDs) and Dibenzofurans (PCDFs)
in Matrices Containing Water",
Chemosphere, 19:27-31,1989.
8 Patterson, D.G., et al., "Control of
Interferences in the Analysis of Human
Adipose Tissue for 2,3,7,8Tetrachlorodibenzo-p-dioxin", Environmental
Toxicological Chemistry, 5:355-360,1986.
9 Stanley, John S., and Sack, Thomas M.,
“Protocol for the Analysis of 2,3,7,8Tetrachlorodibenzo-p-dioxin by HighResolution Gas Chromatography/HighResolution Mass Spectrometry", USEPA
EMSL, Las Vegas, Nevada 89114, EPA 600/486-004, January 1988.
10 “Working with Carcinogens", DHEW,
PHS, CDC, NIOSH, Publication 77-206,
August 1977.
11 “OSHA Safety and Health Standards,
General Industry", OSHA 2206, 29 CFR1910,
January 1976.
12 “Safety in Academic Chemistry
Laboratories", ACS Committee on Chemical
Safety, 1979.
13 “Standard Methods for the
Examination of Water and Wastewater”, 16th
edition and later revisions, American Public

5117

CAS registry
1746-01-6

Labeled analog

CAS registry

‘YÎjt- 2 3 7 8 -Tcnn
*104-2,3,7,8 -TCDD....................................... .........,.....................

41903-57-5
51207-31-9 un,j-p 3 7 6 -TCDF
55722-27-5
40321-76-4 ur„..i 2 9 7 ft-Pocnn
36088-22-9
57117-41-6 ‘ ^ „ . 1 9 3 7 R-PoT-DF
57117-31-4 ‘Tnj-? 3 4 7 8 -PeCDF
30402-15-4
39227-28-6
2 3 a 7 ft-HyCPD
57653-85-7
2 3 6 7 8 -HxCDD
19408-74-3 ^ 0 lt- 1 2 3 7 8 9-HxCDD *
34465-4608
70648-26-9 • r « . 1 2 3 4 7 R-HvTne
57117-44-9 •Yïjt-I 2 3 6 7 R-HyCDF
72918-21-9
2 3 7 ft Q-Hx^DF
60851-34-5 ,^C1 1 - 2 3 4 6 7 ft-HxCDF
55684-94-1
35822-46-9 1SC|?- 1 2 3 4 6 7 6 -HpCDD
37871-00-4
67562-39-4 *^,-1 2 3 4 ft 7 R-HpODF
55673-89-7
2 3 4 7ft O-HpCOF
38998-75-3
3268-87-9 ‘Tîit-OCDD
39001-02-0 None............ ...................................... .

i
„ gg. . n" BnK ‘^
= ieiracniorodiabenzo-p-dioxin; PeCDD=Pentachlorodibenzo-p-diox
,, OCDD= Octachlorodibenzo-p-dioxin;
TCDF= Tetrachlorodibenzofuran;
—Hexacniorooibenzofuran; HpCDF=Heptachlorodibenzofuran; OCDF= Octachlorodibenzofuran.
Labeled analog is used as an internal standard and therefore is not used for quantitation of the native compound.

85508-50-5
89059-46-1
109719-79-1
116843-02-8

109719-82-6

116843-05-1
109719-83-7
109719-94-0
114423-97-1
HxCDD= Hexachlorodibenzo-p-dioxin;
PeCDF= Pentachiorodibenzofuran;

5118

F ederal R egister / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Roles
Table 2 . — Retention Times and M inimum L evels for PCDDs

Retention time reference

Compound

Compounds using *««-1,2A4rTCCD a s internal
standard—
Native Compounds:
2,3,7,8-TCDF
2,3,7,6-TODD
1,2A7,8-PeCDF
2,3,4.7v8-PeCDF
1,2,3,7,8-PeCDD
Labeled Compounds:
‘«„-2,3,7,8-TODF
>«ia-1,2,3,4-TCDD
‘«„-2,3,7,8-TCDD
*«L-2,3,7,8-TCDD
>««-1,2,3.7,8PeODF
‘««-2,3,4,7,8-PeCDF
>«a-1.2,3,7,8PeCDD
Compounds using **Cu-1,2f3,7l8,9-HxCDD as internal
standard—
Native Compounds:
12,3,4,7,8-HiCDF
1,2,3A7,8-HxCOF
1,2,3,7,8,9-HxCDF
2A4,6,7,8-HxCDF
1,2,3,4,7,8-HxCDD
1,2,3,6,7,8-HxCDD
1,2,3,7,8,9-HxCDD
1,2,3.4,6,7,8-HpCOF
1,2,3,4,6,7,8-HpCDO
1,2,3,4,7,8,9-HpCDF
OCDD
OCDF
Labeled Compounds:
>«11-1.2,3,4,7,8-HxCDF
»«„-1.2,3,6,7,8-HxCDF
>«,*-1,2,3,7,8,9-HxCDF
>««-2A4,6,7,8-HxCDF
>«,,-1,2,3,4,7,8-HxCDD
«Ci.-1J2,3,6,7,8-HxCDD
>««-1,2,3,7,8,9-HxCDD
*«ir1^,3,4,6,7,8-HpCDF
>««-1,2,3,4,6,7,8-HpCDD
«C«-1,2,3,4,7,8,9-HpCDF
«Cu-OCDO

and PCDFs

Minimum level ‘
Relative-retention ! Water : Solid
Extract
time
pg/uL
ng/kg
pg/L
ppto
ppt
ppq

0.5
0.5
2.5
2.5
2.5

1:
1
5
5 ;
5 ;

10
to
50
50
50 .

»««-2,3,7,8-TCDF
>«,a-2,3,7,«-TCDD
>«m-1,2,3,7,8-PeCDF
»««-2,3,4,7,8-PeCDF
»««-1,2,3,7,8-PeCDD

0.993-1.009
0.993-1-009 i
0.918-1.076
0-999-1.001 ;
0.987-1.016 ,

‘«U.-1.2A4-TCDD
>««-1,2,3,4-TCDD
>««-1 ,2,3,4-TCDD
>««-1,2^/4-TCDD
>««-1,2,3,4-TCDD
>«u-1 ^.3.4-TCDD
»««-1,2,3,4-TCDD

0.931-0.994
1.000-1.000
—
—
0-893-1.038 !—
1.002-1.013 ----------------- ---------------- 1—
1.091-1.371 —
--------------- -i —
--------------- - —
1.123-1.408 —
1.134-1.428 ---------------- 1---------------- 1 —

>«,.-1A3,4.7,6-HxCDF
>««-1,2,3,6,7,8-HxCDF
>««-1,2,3,7,8,9-HxCDF
HC,2-2A4A7.8-HxCDF
‘« m-1,2,3,4,7,8-HxCDD
>««-1,2,3,6,7,8-HxCDD
>««-1,2,3,6,7,8-HxCDD
‘«u-1,2,3,4,8,7,8-HpCDF
>«u-1,2.3,4,6,7.6-HpCDD
>«,i-1,2,3,4,7,8,9-HpCDF
‘««-OCDD
«Cii-OCDD

0.966-1-915
0973-1.025
0-937-1.-068
0.999-1.001
0.999-1.001
0.992-1.009
0.986-1.016
0.930-1022
0966-1.016
0.896-1.079
0.996-1.005
0.995-1.013

>«,i-1 2.3,78,9-HkCDD
>««-12,3.7.8,0-HxCDD
>««-1,2,3,7,8,9-HxCDD
»««-1,2,3,7,8,94-ixCDD
*««-1,2,3,7,8,9-HxCDD
>««-1,2,3,7,8,941x000
>«,i-1,2,3,7,8,9-HxCDD
>««-1,2,3,7,8,9-HxCDD
•««-1,2,3,7,8,9-HxCDD
•««-1,2,3,7,8,9-HxCDD
*«,i-1,2,3,7,8,9-HxCOD

0.947-0.992
0.940-1.006
0.993-1.017
0.971-1.000
0.974-1.002
0.975-1.006
1.000-1.000
0.953-1.172
1.023-1.125
1.024-1.148
1.090-1.275

5
5
S i
5
5
6
5
5
5
5
10
10

so
50
50
50
50
50
50
50
50
50
100
100

2.5
25
2.5
2.5
2Ü
2.5
2.5
2.5
2.5
2.5
5.0
5.0
— ------

........ ...... . ..—
....... ........ —

----------—
—
—
—

1 Levs! at which the analytical system will give acceptable SICP and calibration.

Table 3.—Descriptors , Masses , M/Z Types , and E lemental Compositions of the CDDs
Descriptor No.
1 ............... .........................

2 ..........................................

3 ............ ........ ;...................

Accurate
m/z *
292.9825
303.9016
305.6987
315.9419
317.9389
316.8965
321/8936
327.6847
330.9792
331.9368
333.9339
375.8364
339.8597
341.8567
351.9000
353.8970
354.9792
355.8546
357.8516
367.8949
369.8919
409.7974
373.8208
375.8178

m/z Type
Lock
M
M +2
M
M+2
M
M +2
M
QC
M
M+2
M+2
M+2
M+4
M+2
M+4
Lock
M+2
M+4
M+2
M+4
M+2
M+2
M+4

Elemental composition
Ct f „
C ,,H «»«L O
C« H« *«l3»«l O
M C»H ,*«LO
>«n H« »«L *«l O
C« H. saCL O,
e « h » *« l
o.
C « H , s« L O ,
Ct F«
hc « H «CLO*
>«,! H« * d s « 1 Ol
C« H« **CL « O
C« Hi «CL »«1 O
C « H, «CI* HCl» O
>«,, H, “ CL *«l O
>«,, H, *«L *«la O
C ,F „
C,, H, "CL "Cl O,
C« H, "CL ’«L Oi
>«,, H, »«CL »«1 Oi
>«,, H, »«CL »«la Oi
C,i H, »«CL *«l O
C« Hi *«L *«l O
C« Hl «CL ‘Kai o

and CDFs 1
Primary m/z?

Compound *
PFK
TCOF
TODF
TODF 4
TCO F*
TODO
TCOD
TCDD*
PFK
TCOD4
TCDD4
HxCDPE
PeCDF
PeCDF
PeCDF4
PeCDF4
PFK
PeCDD
PeCDD
PeCDD4
PeCDD4
HpCDPE
HxCDF
HxCDF

—

—

Yes.
Yes.
Yes.

Yes.
Yes.
Yes.
Yes.
Yes.
Yes.

Federal Register / Vol. 56, No. 26 / Thursday, February 7,1991 / Proposed Rules
Table 3.—Descriptors , Masses , M/Z Types , and Elemental Compositions of the CDDs
Accurate
m/z 2

Descriptor No.

Elemental composition

m/z Type

and

CDFs

5119

‘— C o n tin u e d

Compound *

Primary m/z?

I
;

4 ............................................

5 ............................................

383.8639
385.8610
389.8157
391.8127
392.9760
401.8559
403.8529
430.9729
445.7555
407.7818
409.7789
417.8253
419.8220
423.7766
425.7737
430.9729
435.8169
437.8140
479.7165
441.7428
442.9728
443.7399
457.7377
459.7348
469.7779
471.7750
513.6775

M
M +2
M +2
M +4

Cu H2 3SCL 8CI Os

Lock

Cg Fi*

M +2
M +4

,!C,a Ha “ CU “ Cl Oa
‘Cia Ha “ CL37CI* O*

QC

C» Fu
C,, Hî “ Cl, “CU O

M-f4
M +2
M +4
M
M +2
M +2
M +4

Lock
M +2
M +4
M +4
M +2

Lock
M +4
M +2
M +4
M +2
M +4
M +4

HxCDF4
HxCDF 4
HxCDD
HxCDD
PFK
HxCDD4
HxCDD 4
PFK
OCDPE
HpCDF
HpCDF
HpCDF 4
HpCDF4
HpCDD
HpCDD
PFK
HpCDD4
HpCDD4
NCDPE
OCDF

‘*C,a H» «Cl* O
“C,* Ha “CU “Cl O
C,2 Hü “ CU “ Cl Oï

Cia H 35CI* 8CI O
Cia H “ CI, 8CU O
t3Cia h “a , o
‘C,* H “ CI, 8CI O
C,, H “ CU “ Cl O*
Cia H “ CI, *CU Oa
C» F it
‘Cia H “ CU 8CI Oa
laCia H “ CU “ CU Oa
Cia H “ CU “ CU 0
Cia “ a , “ Cl 0
Cio Fl7
Cia “ CU 3CU 0
C,a “ CU “ Cl Oa
Cia “ Cl, *CU Oa
l3Ciï “ CU “ Cl Oa
‘Cia “ CU “ CU Oa
Cia “ CU “ CU 0

Yes.
Yes.
Yes.

Yes.
Yes.
Yes.
Yes.
Yes.

PFK
OCDF
OCDD
OCDD
OCDD4
OCDD4
DCDPE

Yes.
Yes.

1From Reference 5.
*Nudidic masses used; H= 1.007825; 0=15.994915; C = 12.00000; “Cl=34.968853; “C = 13.003355; “ Cl=36.965903; F=18.9984.
u
...
Chlorinated
dtbenzo-p-dtoxins—TCDD= Tetrachtorodibenzo-p-dioxin;
PeCDD= Pentachlorodibenzo-p-dioxin;
Hexachlorodibenzo-p-dtoxin;
HpCDD= Heptachlorodibenzo-p-dioxin;
OCDD= Octachtoron
Internal Standards:
>srnl.i 9 n A-Trnn
MÌn,r i p a ? ft 9.H vm n

.
.................... .............................................................................

CS2 (ng/
ml)

VER 1
CS3 (ng/
mL)

CS4 (ng/
mL)

CS5 (ng/
mL)

2

10

40

200

100
100

100
100

100
100

100
100

0.5

.........................................................................................
.................... ...............................................................................

100
100

1 Section 14.3—calibration verification (VER) solution.

Table 5.—GC Retention Time Window
Defining S tandard Mixtures and
Isomer S pecificity Test Standard
Mixtures
Congener

First eluted

Table 5.—GC Retention Time Window
Defining Standard Mixtures and
Isomer S pecificity Test Standard
Mixtures— Continued
Congener

Last eluted

DB-5 Column GC Rentention Time Window Defining
Standard (Section 6.15)
1,2,8,9TCDF........... . 1,3,6,8T.2,8,9TCDD.......... ■ 1,3,6,81.2,3,8,9PeCDF......... . 1,3,4,6,8PeCDD........ .. 1,2,4,7.91¿.3,8,91,2,3,4,8.9HxCDF___ .... 1¿¿,4,6,8-

First eluted

Table 5.—GC R etention Time Window
Defining Standard Mixtures and
Isomer S pecificity Test Standard
Mixtures—Continued
Congener

Last eluted

2,3,7,8-TCDD............................................ 1!Ct*-2,3r7,8-TCDD
2 ’3 ’7 ’8 -TCDF............................................ ‘«Ci,-2,3,7,8-TCDF
i.p.-V .ft-ppnnn...................................... ‘^»-1,2,3,7,8-PeCDD
1lPl3,7lft-P«f'.nF
1SC,»-1,2,3,7,8-PeCDF
?’a’a ’7’ft-p«nnF
1!Ci,-2,3,4,7,8-PeCDF
i.p .a ^ T .f t- H v c n n ............... „....................... ‘«Ci»-1 ¿,3,4,7,8-HxCDD
1,2,3,6,7,8-HxCDD................................... “C„-1,2,3,6,7,8-HxCDD
1 ^ 3 ’7’8’9-H»nnn
(1 )
1 ,2 ,3 ’4 ,7 ,8 -HxCDF................................... 13C„-1 ¿,3,4,7,8-HxCDF
i.p .a .R j.ft-H v n n F
MCi^1,2,3,6,7,8-HxCDF
1¿Ì3Ì7&9-HxCDF................................... ‘«Ci,-1,2,3,7,8,9-HxCDF
p .s.a.fij.R -H x n n F
‘«Cir-2,3,4,6,7,8-HxCDF
T p’3 ^ ’fi’7,ft-H pT.nn
‘«Ci,-1,2,3,4,6,7,8-HpCDD
i.p .a X fi/^ R -H p n n F ..................................... ‘«Cir-1,2,3,4,6,7,8-HpCDF
1,2,3,4,7,8,9-HpCDF................................ ‘«C„-1,2,3,4,7,8,9-HpCDF
o e n h .....’.......................................... ‘«Ci,-OCDD
OCDF
‘«C„-OCDD

PCDDS and PCDFS
Reference compound

Labeled PCDDs and PCDFs

Reference compound

Last eluted

2,3,7,8-TCDD
1,4,7,8-TCDD
DB-225 Column TCDF Isomer Specificity Test
Standard (Section 6.16.2)
2.3.4.7TCDF
2.3.7.8- TCDF
1Ä3.9-TCDF

1,2.3,4,6,7HxCDD.......... 1,2,4,6,7.9HpCDF.......... 1,2,3,4,6,7,81,2,3,4,7,8,9HpCDD.......... 1,2,3,4,6,7,91,2,3,4,6,7.8DB-5 TCDD Isomer Specificity Test Standard
(Section 6.16.1)
1,2,3,4-TCDD
1,2,3,7-TCDD
1,2,7,8-TCDD
1,2,3,8-TCDD

Table 6.— Reference C o m po u nds for Q uantitation of N ative and Labeled
Native PCDDs and PCDFs

First eluted

“Ci,-, 1,2,3,4-TCDD
‘«C,,-1,2,3,4-TCOD
‘«Cia-1,2,3,4-TCDD
*«Ci^1,2,3,4-TCDD
*«Ci,-1,2,3,4-TCDD
‘«C,,-1,2,3,7,8,9-HxCDD
‘«Ci,-1,2,3,7,8,9-HxCDD
*«C,,-1,2,3,7,8,9-HxCDD
‘«Ci,-1,2^,7,8,9-HxCDD
‘«Cir-1,2,3,7,8,9-HxCDD
“C„-1 ¿ ,3,7,8,9-HxCDD
*«Ct,-1,2,3,7,8,9-HxCDD
‘«Ci,-1,2,3,7,8,9-HxCDD
‘«Cir-1,2,3,7,8,9-HxCDD
>«Ci,-1,2,3,7,8,9-HxCDD
‘«Cur-1,2,3,7,8,9-HxCDD
‘«C,,-1,2,3,4-TCDD

‘«Cur-2,3,7,8-TCDD
‘«Ci^2,3,7,8-TCDF
‘«Ci,-1,2,3,7,8-PeCDD
‘«Ci,-1,2,3,7,8-PeCDD
‘«Ci,-2,3,4,7,8-PeCDF
*«Ci,-1,2,3,4,7,8-HxCDD
*«Ci»-1,2,3,6,7,8-HxCDD
‘«Ci,-1,2,3,7,8,9-HxCDD
‘«Ci,-1,2,3,4,7,8-HxCDF
‘«Cir-1 ¿,3,8,7,8-HxCDF
‘«Ci,-1,2,3,7,8,9-HxCDF
‘«Ci,-2,3,4,6,7,8-HxCDF
‘«C,,-1,2,3,4,6,7,8-HpCDD
‘«Ci,-„1,2,3,4,6,7,8-HpCDF
‘«C„-1,2,3,4,7,8,9-HpCDF
'«Cu-OCDD
*«C,«-2,3,7,8-TCDD

1 1,2,3,7,8,9-HxCDD is quantified using the average responses for the “Cu-1,2,3,4,7,8-HxCDD and ‘«Ci,-1,2,3,6,7,8-HxCDD.

Table 7.—Acceptance C riteria
Compound

2.3.7.8-TCDD.........
2.3.7.8-TCDF...........
1.2.3.7.8- PeCDD.
1.2.3.7.8- PeCDF_
2.3.4.7.8- PeCDF..
1.2.3.4.7.8- HxCDD...
1.2.3.6.7.8- HxCDD...
1.2.3.7.8.9- HxCDD...
1.2.3.4.7.8-HxCDF....
1.2.3.6.7.8-HxCDF....
1.2.3.7.8.9- HxCDF....
2.3.4.6.7.8-HxCDF....
1.2.3.4.6.7.8HpCDD
1.2.3.4.6.7.8-HpCDF
1.2.3.4.7.8.9-HpCDF
OCDD___________
OCDF___________

for

Performance Tests
Test
cone. (*)
(ng/mL)
10
10

50
50
50
50
50
50
50
50
50
50
50
50
50
100
100

IPR*
s (ng/
mL)
1.5
2.0
4.2
4.6
4.2
5.5
5.5
9.5
6.3
4.0
4.0
5.0
6.4
3.6
4.2
13.0
45.0

X (ng/mL)

OPR (2)
(ng/mL)

3.9-20.6
3.2-26.8
47.5-50.5
44.2-54.0
45.3-50.3
30.9-70.2
33.2-65.9
22.7-90.9
25.2-92.0
39.1-54.4
37.9-62.9
27.4-85.5
27.4-76.5
39.5-62.1
36.6-64.9
69.4-154.6
46.1-139.8

5.9-14.2
6.6-12.7
35.636.737.835.1- 60.4
33.3- 64.4
31.8- 61.2
36.934.837.1- 55.7
35.7-60.0
37.5-56.8
37.4- 60.6
36.9- 60.6
75.6-118.7
69.5-127.0

VER (ng/
mL)
8 .6- 11.6

8.8-11.3
56.6
58.144.257.346.7-53.5
56.947.2- 53.0
37.6- 66.5
39.7- 63.0
42.658.7
58.841.5- 60.2
58.840.5- 61.7
45.754.5
44.1- 56.7
41.6- 60.2
43.1- 58.0
43.6- 57.3
87.5-114.4
83.9-119.2

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules

5122

Table 7.— Acceptance C riteria for P erformance T e s t s — Continued
Test
cone. (*)
(ng/mL)

Compound

»nM-5» a 7 8-TCDD...................................................................................................... .........................
*<^2-2 3 7 8-TCDF......................................................................................................................... .......
‘^ „ - 1 ? 3 7 fl-PaCDD
............................................................................................
*^.,,-1 5>3 7 8-PeCDP
............................................................
‘«ft,.,-? 3 4 7 8-PeCPF
............................................................
......
>*C,t-1 2 3 4 7 fl-HxOnn
t5rni-1 2 3 R 7 A_Hvr.nD
..................................................................................................
>50,2-1 2 3 ¿Vfl-WvCDF .................................................... ............................................................
>50,2-1 2 a rY r-MvODF
..................................................................................................•.........
>50,2-1 2 3 7 ft Q-HxODF
.................................................................................................
>50,2-2 a 4 ft 7 ft-HvOnF
............ .......................................................................................
>50,i-1 2 3 4 ft 7 ft-HpODD
.............................................................................................................
‘50,2-1 2 3 4 ft 7 8-HpCDF .....................................................................................................................
......................... ................................................................
>50^-1 2 3 4 7 ft fi-HpOnP
>5o,J_riohn
r
.................................................................... .................................
*50M,,_3 a 7 R-TOnD .
.............................................................................................

IPR*
s (ng/
mL)

100
100
100
100
100
100
100
100
100
100
100
100
100
100
200
10

X (ng/mL)

OPR (*)
(ng/mL)

25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
50.0-300.0
2.5-15.0

25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
25.0-150.0
50.0-300.0
2.5-15.0

VER (ng/
mL)
90.0-111.2
87.7-114.0
80.6-124.0
81.8-122.3
83.0-120.5
76.1-131.3
84.0-119.1
85.2-117.4
85.0-117.7
89.5-111.7
85.7-116.7
82.2-121.6
88.5-113.1
89.0-112.4
164.2-243.6
6.1-11.6

1 Ail specifications are given as concentrations in the final extract or standard solution.
_
* s = standard deviation of the concentration; X = average concentration. Concentration Limits for labeled compounds in IPR and OPR aliquots are based on
requirements for labeled compound recovery of 25-150% (sections 8.2.3. and 14.5.3).

T able 8.— S ample P h ase and Q uantity Extracted for Various Matrices
Sample matrix 1
Single phase:
Aqueous........................
Solid.................... ...............
Organic.................... ...........
Multiphase:
Liquid/Solid:
Aqueous/solid.............
Organic/solid...............
Liquid/Liquid:
Aqueous/organic.........
Aqueous/orgartic/solid.

Example

Percent
solids

Phase

Quantity
extracted

Drinking water; Groundwater; Treated wastewater.
Dry soil; Compost; Ash_____________________
Waste solvent; Waste oil; Organic polymer...........

<1
>20
<1

(*)............. ................. 1000 mL
Solid............... ............ 10 g
Organic....................... 10 g

West soil; Untreated effluent; Digested municipal sludge;
Filter cake; Paper pulp; Tissue.
Industrial sludge; Oily waste..............................................

1-30

Solid........................... 10 g

1-100

Both............................ 10 g

In-process effluent; Untreated effluent; Drum waste.........
Untreated effluent; Drum waste.........................................

<1
>1

O r g a n i c -------..... 10 g
Organic and solid....... 10 g

1 The exact matrix may be vague for some samples. In general, when the CDDs and CDFs are in contract with a multiphase system in which one of the phases is
water, they will be preferentially dispersed in or adsorbed on the alternate phase, because of their low solubility in water.
1 Aqueous samples are filtered after spiking with labeled analogs. The filtrate and the material trapped on the filter are extracted separately, and then the extracts
are combined for cleanup and analysis.

*

*

#

*

*

[FR Doc. 91-1402 Filed 2-6-91; 8:45 am]
BILLING CODE 6560-50-«

Thursday
February 7, 1991

Part IV

Department of Labor
Office of the Assistant Secretary for
Veterans’ Employment and Training
20 CFR Parts 626, 658, and Chapter IX
Veterans’ Employment and Training
Services; Proposed Rule

5124

F ederal Register / .Vol. 56. No, 26 ./ T hursday * February 7, 1991 / Proposed Rules

DEPARTMENT OF LABOR
Office of the Assistant Secretary for
Veterans’ Employment and Training
20 CFR Parts 626,658 and Chapter IX
Veterans’ Employment and Training
Services

Office of the Assistant.
Secretary for Veterans’ Employment and
Training, Labor.
ACTION: Proposed Rule.
AG ENCY:

The Department of Labor is
proposing to consolidate in one Chapter
the principal regulatory and other
program guidelines that have been
issued by the Office of the A ssistant
Secretary for Veterans’ Employment and
Training.
The regulations also substantially
amend existing regulations and are
intended to implement amendments to
the Veterans’ Employment and Training
Statute at 38 U.S.C. chapters 41 and 42,
as well as other statutory
responsibilities of the A ssistant
Secretary which do not currently have
regulatory guidelines. In addition, they
clarify and stengthen the administration
of ongoing legislative m andates
regarding employment and training
services provided to veterans.
DATES: W ritten comments must be
received no later than April 8,1991.
a d d r e s s e s : Comments should be
addressed to Thomas E. Collins,
Assistant Secretary for Veterans’
Employment and Training, U.S.
Department of Labor, 200 Constitution
Avenue NW„ Washington, DC 20210;
Attention: Mr. Hary P. Puente-Duany,
Office of Veterans’ Employment,
Reemployment and Training.
SUMM ARY:

FOR FURTHER INFORMATION CO N TA CT:

Hary P. Puente-Duany at (202) 523-8611.
SUPPLEM ENTARY INFORMATION: The
Department of Labor is proposing to
revise chapter IX of title 20, Code of
Federal Regulations by removing parts
1001,1005, and 1040 and proposing new
parts 100-1090. The new parts reflect the
proposed implementation of substantive
changes in regulations necessitated by
the passage of Public Law 100-323,
Public Law 100-687, and Public Law
100-689 relating to the employment and
training services provided to veterans.
The Veterans’ Employment, Training
and Counseling Amendments of 1988,
Public Law 100-323,102 Stat. 556, signed
into law by the President on May 20,
1988 and the Veterans’ Benefits and
Program Improvement Act of 1988,
Public Law 100-689,102 Stat. 4161,
signed into law by the President on
November 18, 988, are the result of

Congressional recognition that there
have been significant changes in the
Nation’s economy and certain shifts hi
the composition and needs of the
veterans’ community.
Provisions are made based on
legislative authority to assist service
members who are within 180 days from
their separation from military service in
§§ 1000.101,1010.111(i), 1020.100(d),
1020.101(c), 1030.101(a), 1030.110(g),
1030.116 (b) and (c) and 1040.120 the
proposed rule. These provisions also
apply to services to pilot sites
authorized by Public Law 101-237.
These provisions, originally set forth
under the temporary authority provided
in Public Law 101-237, are now
consistent with permanent authority
provided under Public Law 101-501.
The Provisions of Public Law 100-323
are complex and extensive and are
listed here as evidence of their diversity:

a. Added definition of "local
employment service office” (LESO).
b. Defined and expanded the authority
and responsibilities of the Assistant
Secretary for Veterans’ Employment and
Training (ASVET).
c. Established position of Regional
Administrator for Veterans’
Employment and Training (RAVET),
effectively adding three more RAVETs
to existing seven in Department of Labor
regional offices.
d. Revised assignment criteria and
duties for Directors and A ssistant
Directors for Veterans’ Employment and
Training (DVET/AD VET) to provide a
waiver for required State residency and
to provide functional supervision of the
State employment system programs and
staff.
e. Added requirements for monitoring
by DVET8/ ADVETs of implementation
of veterans' preference laws and listing
of job vacancies with the State
employment service by Federal
agencies, including subsequent
monitoring of State agency priority
referrals of veterans to those vacancies.
f. Expanded duties of Disabled

Veterans' Outreach Program (DVOP)
staff by adding case management and
vocational guidance responsibilities.
g. Greatly expanded the legislative
base for the Local Veterans’
Employment Representative (LVER)
position by establishing the formula by
which funds will be allocated for
support of 1,600 LVERs; the numerical
formula for assigning LVERs to local
employment service offices; the
affirmative preference order for
assigning or appointing Local Veterans’
Employment Representatives (LVERs); a
comprehensive list of duties; and
requirements for the LVER to be
administratively responsible to the local

employment service office manager and
to provide quarterly reports to the
manager and the DVET. Also required is
consultation with the DVET by the Stat*»
administrative head of the employment
service prior to assigning LVERs.
h. Established requirements for the
process of developing and implementing
performance standards for DVOP
Specialists and LVER staff, including
development of prototype standards by
the ASVET for State use, and regular
monitoring of DVOP/LVER performance
under the standards by the DVETs and
AD VETs with resulting
recommendations and comments to be
provided to the head of the State
employment service.
i. Established a National Veterans'
Employment and Training Institute
primarily intended to train DVOP/LVER
staff in carrying out their functions.
j. Amended the Veterans’ Job Training
Act (VJTA) including the requirements
for case management by DVOP staff.
Section 402 of Public Law 100-689,102
Stat. 4178, provides that the Assistant
Secretary for Veterans’ Employment and
Training will coordinate the activities of
the Department of Labor to assist
unemployed veterans in securing
employment and training services,
particularly dislocated workers who can
be provided assistance under Title III of
the Job Training Partnership Act (JTPA).
In addition, through a Memorandum of
Understanding with the Department of
Veterans’ Affairs (VA), a comprehensive
effort is made to coordinate a wide
range of services and assistance in order
to provide the full range of opportunities
to veterans for integrated employment
and training services.
These proposed regulations
incorporate the changes mandated by
Public Law 106-323 which require the
attention of the ASVET in the operation
of the public employment service as it
relates to the services provided to
veterans and other eligible persons for
which the ASVET has statutory
responsibility. The regulations also
provide for changes to the method of
administration of grants to the States for
the DVOP/LVER and JTPA IV(C)
Programs, the creation and
administration of performance
standards for DVOP/LVER staff in the
State employment service; and the
determination of compliance of the State
employment services with the
applicable legislation, regulations,
Veterans’ Program Letters and
directives administered by the ASVET
pertaining to provision of labor
exchange services to veterans.

Fédéral Register / V o l . 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules

Executive Order 12291
The proposed regulations are not
classified as a major rule under
Executive Order 12291 on Federal
regulations because they are not likely
to result in (1) an annual effect on the
economy of $100 million or more; (2) a
major increase in cost or prices for
consumers, individual industries,
Federal, State, or local government
agencies, or geographic regions; or, (3)
significant adverse effect on
competition, employment, investment,
productivity, innovation, or the ability of
United States-based enterprises to
compete with foreign-based enterprises
in domestic or export markets.
Accordingly, no regulatory impact
analysis is required. In addition, these
regulations do not affect any tradesensitive activity because they do not
apply in any w ay to governments,
industries, or firms engaged in
international trade.
Regulatory Flexibility Act
The Department believes that these
regulations will not have significant
economic impact upon a substantial
number of small entities within the
meaning of section 3(a) of the
Regulatory Flexibility Act, Public Law
96-354, 94 Stat. 1165, 5 U.S.C. 601 e tseq .
The Secretary has certified to the Chief
Counsel for Advocacy of the Small
Business Administration to this effect.
The proposed rules primarily implement
amendments to 38 U.S.C. chapter 41 and
largely concern changes at the national
and State levels in the administration of
ongoing veterans’ employment and
training programs with no significant
economic impact expected with respect
to small entities. Accordingly, no
regulatory impact analysis is required.
See 5 U.S.C. 605(b).
Paperwork Reduction Act
This proposal contains information
collection requirements in
§ 1030.125(b)(3). These paperwork
requirements have been submitted to the
Office of Management and Budget
(OMB) for review under section 3504(h)
of the Paperwork Reduction Act of 1980.
Comments on the proposed paperwork
provisions should be sent directly to the
Office of Information and Regulatory
Affairs, Office of Management and
Budget, Attention: Desk Officer for
OASVET (See address at the end of this
discussion). The respondents should be
representatives of State Employment
Security Agencies (SESAs) or their
employees. The burden hour estimate
includes the time for reviewing
instructions, gathering and maintaining
the data needed, and completing and

reviewing the collection of information.
In each instance, the resultant
information collection would be used by
VETS to comply with legislative
requirements, assess compliance with
services to veterans, and monitoring
priority services to veterans.
Section 1030.125(b)(3) requires SESAs
to furnish VETS a copy of the quarterly
report prepared by Local Veterans’
Employment Representatives (LVER)
pursuant to 38 U.S.C. 2004(c) noting
compliance with Veterans’ Standards of
Performance and indicating the quality
and quantity of services provided to
veterans by Local Employment Service
Offices and other service delivery
points. VETS estimates that 6,400
reports will be prepared in an average
time of forty-five minutes. The resulting
estim ated total burden is 4,800 hours.
Existing requirements provide for the
LVER to compile data on Veterans’
Standards of Performance pertinent to
services to veterans and review of local
office records to ascertain the quantity
and quality of services provided to
veterans. This proposal does not change
existing requirements. Records are
already m aintained that provide the
source information for the narrative
report and therefore, no burden hours
are assigned for collection of the basic
data.

Send comments regarding these
burden estimates or any other aspect of
this collection of information, including
suggestions for reducing the burden, to:
Hary Puente-Duany, Director, Office of
Veterans’ Employment, Reemployment
and Training, OASVET, room S-1316,
200 Constitution Avenue, NW.,
Washington, DC 20210; and to the Office
of Information and Regulatory Affairs of
OMB, Attention: Steve Semenuk, room
3001, New Executive Office Building,
Washington, DC 20503.
List of Subjects
20 CFR Part 626
Employment, Manpower training.
20 CFR Part 658
Administrative practice and
procedure, Employment
20 CFR Part 1000
Administrative practice and
procedure, Employment, Manpower
training programs, Veterans.
20 CFR Part 1010

Employment, Manpower training
programs, Veterans.
20 CFR Part 1020
Manpower training programs.

, $125

20 CFR Part 1030
, Grant programs-Labor.
20 CFR Part 1040
Employment.
Proposed Rule
For the reasons set forth in the
preamble, it is proposed that title 20
Code of Federal Regulations be
amended as follows:
1. Chapter IX is revised to read as
follows:
CH APTER IX— OFFICE O F TH E ASSISTANT
SECR ETARY FOR VETERAN S’
EM PLOYM ENT AND TRAINING,
DEPARTM ENT O F LABOR

Part 1000—Purpose and Scope of Chapter IX;
Definitions
Part 1010—OASVET Authority and
Responsibility
Part 1020—State Agency Services to Veterans
Part 1030—Disabled Veterans’ Outreach
Program and Local Veterans’
Employment Representative Program
Part 1040—Job Training Partnership Act
(JTPA), Title IV, Part C—Veterans’
Employment Programs
Part 1045—Transition Assistance Programs
(Reserved)
Part 1050—Programs for Homeless Veterans
(Reserved)
Part 1060—National Veterans’ Training
Institute (Reserved)
Part 1070—Secretary’s Committee on
Veterans’ Employment (Reserved)
Part 1080—Federal Contractor Reporting
Program (Reserved)
Part 1090—Veterans' Reemployment Rights
Program (Reserved) ,
PART 1000— PURPOSE AND SCOPE
OF CHAPTER IX; DEFINITIONS
Sec.

1000.100 Purpose and scope of chapter IX.
1001.101 Definitions of terms used in
chapter IX.
Authority: 29 U.S.C. 49k; 38 U.S.C. chapters
41-43; 29 U.S.C. 1579(a)
§ 1000.100
IX.

Purpose and scope of chapter

This chapter contains the Department
of Labor's regulations for implementing
38 U.S.C. chapters 41, 42 and 43, and the
provisions of The Job Training
Partnership Act, title IV, part C (29
U.S.C. 1721 e t seq.) which require the
Secretary of Labor to provide eligible
veterans and eligible persons the
maximum of employment and training
opportunities, with priority given to the
needs of disabled veterans and veterans
of the Vietnam era, through the public
employment service system established
pursuant to the Wagner-Peyser Act, as
amended, and entities receiving funds
through grants or contracts with the
Department of Labor, including the Job
Training Partnership Act.

5126

Federal Register / V o l. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules

§1000.101 Definitions o f
chapter IX.

terms used in

Except as otherwise provided, the
following definitions apply to 20 CFR
chapter IX.
A dm inistrative e n tity means the
entity designated to administer a job
training plan under section 103(b)(1)(B)
of the Job Training Partnership Act.
A gen cy lim itations means the amount
of funds that are appropriated or
allocated for use in program activities
during a fiscal or program year and
which cannot be exceeded by the
agency or a grantee.
A ppointm ent means the process of
selection and eventual appointment of
an individual in a job based on the
principles and practices of the
appropriate State Civil Service/Merit
System and this chapter.
A ssignm ent means the assigning of an
individual to a position, or assigning
duties to an individual based on the
principles and practices of the
appropriate State Civil Service/Merit
System and this chapter.
A ssista n t D irector fo r V eterans’
Employm ent an d Training (ADVET)

means a Federal employee who is
designated as an assistant to a Director
for V eterans’ Employment and Training
(DVET) pursuant to 38 U.S.C. 2003.
A ssistan t Secretary fo r V eterans’
Em ploym ent an d Training (AS VET)

means the chief official of the
Department of Labor administering
Veterans’ Employment and Training
programs as established pursuant to 38

U.S.C. 2002A.
Case managem ent means activities
performed by a member of LESO or SDP
staff such as a Disabled V eterans’
Outreach Program (DVOP) specialist or
a Local Veterans’ Employment
Representative (LVER) who has been
assigned veteran’s case manager
responsibilities. Such activities include,
but are not limited to, tracking a*veteran
applicant’s progress towards
employability and providing the veteran
with necessary advice, counsel, and
support such as periodic contact,
arranging for appropriate counseling,
and following up with the veteran to
help ensure successful completion of
training or attainm ent of suitable
employment.
Corrective action means an action
taken either by the Department or a
contractor/grantee to bring into
compliance any program or activity
operated under this Chapter (Chapter
IX) with the legislative, regulatory,
Veterans’ Program Letters, or grant
assurance requirements.
D ate o f com pletion means the date
when all work under a grant is
completed or the date in the grant award

document, or any supplement or
modification thereto, on which Federal
assistance ends.
D epartm ent or DOL means the
Department of Labor.
D irector fo r Veterans’Em ploym ent
an d Training (DVET) means the

representative of the ASVET on the staff
of the Veterans’ Employment and
Training Service (VETS) at the State
level.
D isab led veteran means a veteran
who is entitled to compensation (or who
but for the receipt of military retired pay
would be entitled to compensation)
under laws administered by the
Department of Veterans Affairs and
who is not classified as a Special
Disabled Veteran.
D isallo w ed co sts means those charges
to a grant which the grant officer
determines to be impermissible in
accordance with the applicable Federal
Cost Principles or other conditions
contained in the grant.
DOD means the Department of
Defense.
Eligible person means:
(1) The spouse of any person killed in
action or who died on active duty of a
service-connected disability; or
(2) The spouse of any member of the
Armed Forces serving on active duty
who at the time of application for
assistance under this part, is listed,
pursuant to 37 U.S.C. 556 and the
regulations issued thereunder, by the
Secretary concerned, in one or more of
the following categories and has been so
listed for a total of more than 90 days:
(i) Missing in action,
(ii) Captured in line of duty by a
hostile force, or
(iii) Forcibly detained or interned in
line of duty by a foreign government or
power; or
(3) The spouse of any person who has
a total disability permanent in nature
resulting from a service-connected
disability or the spouse of a veteran who
died while a disability so evaluated was
in existence.
F ederal Contractor Program (FCP)

means the program by which certain
recipients of federal contracts in excess
of $10,000 are required to report to the
Secretary annually on the numbers of
Vietnam-era and special disabled
veterans hired under an affirmative
action program which also requires that
all job openings which occur on and
after the initiation of the contract be
listed with local employment service
offices.
Functional supervision means the
provision of technical assistance,
including suggestions for improvement
of services, helping to plan programs
and projects, coordinating services, and

checking for compliance with
Department of Labor regulations
affecting veterans, helping to correct
errors by working with local and State
staffs, analyzing work as it affects
veterans and eligible persons, training
new State agency personnel, and
bringing m atters which require
corrective action to the attention of
those State agency personnel who have
authority over policy, procedures and
staff. Functional supervision is distinct
from line supervision by LESO managers
and does not authorize hiring, firing,
disciplining, or issuing directives to
State agency employees, nor does it
authorize making regulations, changing
procedures, or establishing internal
policies for the State agency.
Intrinsic managem ent structure means
an office setting where a first line
supervisor manages the day-to-day
operations of employees who are
physically located in the same locale
(same office space or within the same
structure) and provide the full range of
services to the clientele from that locale.
Governor means the chief executive
officer of a State.
JTPA means the Job Training
Partnership Act (29 U.S.C. 1501.)
Labor exchange services means those
activities or efforts which are directed to
help applicants find jobs, training or
supportive services including, but not
limited to, registration, counseling, case
management, referral to supportive
services, job development, referrals to
and placement in jobs and training
opportunities, the provision of public
information and application forms
regarding other federal or federally
funded programs such as, but not limited
to, programs for dislocated workers,
veterans’ benefits available from the
Department of Veterans’ Affairs (VA),
training programs offered through the
Job Training Partnership Act (JTPA),
and the Bureau of Apprenticeship and
Training; and provision of information
regarding how to file complaints relative
to applicant’s efforts to find jobs,
training or supportive services.
Local Employm ent Service Office
(LESO) means an employment service

location which has an intrinsic
management structure and at which
employment services are offered in
accordance with the Wagner-Peyser
Act, and which may include multiple
service delivery points.
Local Veterans' Em ploym ent
R epresentative (LVER) means a

member of the State agency staff
designated and assigned by the State
agency administrator to serve veterans
and eligible persons pursuant to this

Federal Register / Vol. 50* No. 26 / Thursday, F ebruary 7, 1991 / Proposed Rules
part and in accordance w ith 38 U.S.C.
2004.

services far the employment and
training of veterans.

Notification o f Obligational Authority
(NOA) m eans a notice to a State agency

Secretary means the Secretary of
Labor.
Separating m ilitary personnel means

of the availability of funding amounts or
adjustments made to previously
announced amounts.
OFCCP means the Office of Federal
Contract Compliance Programs in the
Employment and Standards
Administration of the Department of
Labor.
OPM m eans the Office of Personnel
Management.
Public employment service m eans die
State Agency designated by the
Department of Labor to carry oat the
provision of services under die W agnerPeyser Act.
Qualified means an individual who
has been determined by a State civil
service/m erit system to possess the
requisite knowledge, skills, and abilities
to perform the duties of a particular joboccupation.
Recently separated veteran m eans a
veteran separated from active military
service within the last forty-eight
months prior to application or
registration for benefits or assistance.
Region m eans the Department of
Labor region where the Department of
Labor operates a regional office.
Regional Administrator fo r V eterans'

Employment and Training (RA VET)
means the representative of the ASVET
on the staff of the V eterans'
Employment and Training Service at the
Department of Labor regional level who
supervises all other VETS staff within
the region to which assigned; and is
responsible to, and is under the
administrative direction of the ASVET.

Registration for assistance with a
local employment service office m eans
the process which is considered to be in
effect for a program year for an
individual, if that individual:
(1)
Registered* or renewed the
individual’s registration, for assistance
with that office during the program year,
or
(21 So registered or renewed such
individual’s registration during a
previous program year, and, in
accordance with appropriate regulations
is counted as still being registered for
administrative purposes.
Remedial action means those actions
taken either by the Department or a
contractor/grantee to correct a
disallowable action; expenditure; and/
or program activity that does not meet
the requirements of the grant or
contract.
Request fo r Proposal (RFP) m eans a
request by the Department to the public
for proposals on the provision of

those members of the Armed Forces of
the United States, officer or enlisted,
who are within 180 days of separation
from the service and who have
communicated an initial determination
that they desire to separate from active
military service upon expiration of the
current term of service or have been
notified in impending release from
service.

Service^connected disabled veteran
means a person who has been rated by
the Department of Veterans Affairs as
having received a disabling injury or
disease as a direct result of military
service.
Service D elivery Point (SDP) means
any location from which services are
rendered.
Solicitation for Grant Apph’cation
(SGAJ means a notice by the
Department of the availability of grant
funds which may be awarded based
upon the submission of an application.
Special disabled veteran means:
(1) A veteran who is entitled to
compensation (or who but for the receipt
of military retired pay would be entitled
to compensation) under law s
administered by the Department of
Veterans Affairs for a disability related
at 30 percent or more, or rated a t 10 or
20 percent in the case of a veteran who
has been determined under section 1506
of title 38, U.S.C., to have a serious
employment handicap; or
(2) A person who w as discharged or
released from active duty because of
service-connected disability.

State means one of the fifty States, the
District of Columbia, Puerto Rico, and
the United States Virgin Islands.
State Agency or State Employment
Security Agency (SESA) m eans the
State governmental unit designated
pursuant to section 4 of the WagnerPeyser Act to cooperate with the United
States Employment Service in the
operation of the public employment
service system.
Suspension means an action by the
Grant Officer which temporarily
suspends Federal assistance under tbe
grant pending corrective action by the
grantee or pending a decision to
terminate the grant by the Grant Officer.

Termination means the cancellation
of Federal assistance, in whole or in
part, under a grant at any time prior to
the date of completion.
Unemployed individual m eans an
individual who is without a job and who
is available for, and seeking work (using

5127

criteria used by the Bureau of Labor
Statistics of the Department of Labor).
United States Employment Service
(USES) m eans the component of the
Employment and Training
Administration of the Department of
Labor, established under die WagnerPeyser Act to m aintain and coordinate a
national system of public employment
service agencies.

VA means the Department of
Veterans Affairs.
Veteran means a person who:

(1) Served on active duty for a period
of more than 180 days and was
discharged or released therefrom with
other than a dishonorable discharge, or
(2) Was discharged or released from
active duty because of a serviceconnected disability.
Veteran o f the Vietnam era means an
eligible veteran who:
(1) Served on active duty for a period
of more than 180 days, any part of which
occurred during the Vietnam era (August
5,1964, through May 7,1975) and w as
discharged or released therefrom with
other than a dishonorable discharge; or
(2) W as discharged or released from
active duty for a service-connected
disability if any part of such active duty
w as performed during the Vietnam era.

Veterans' Employment and Training
Service (VETS)m eans the
organizational component of the
Department of Labor administered by
the Assistant Secretary of Labor for
Veterans* Employment and Training
established to promulgate and
administer policies and regulations to
carry out the purposes of chapters 41,42,
and 43 of title 38 United States Code,
and to provide eligible veterans and
eligible persons the maximum of
employment and training opportunities,
and reemployment rights pursuant to 38
U.S.C. 2002A.

VJTA means the Veterans’ Job
Training Act.
VPL means a Veterans’ Program
Letter which is a directive issued by the
ASVET providing clarification,
guidance, direction or emphasis to
programs functioning under this part.
PART 10t(M>ASVET AUTHORITY AND
RESPONSIBILITY
Sec.

1010.100 Purpose and scope.
1010.110 Roles of the Assistant Secretary for
Veterans’ Employment and Training
(ASVET).
1010.111 Authority and responsibilities of
the ASVET.
1010.112 Authority and responsibilities of
Regional Administrators for Veterans’
Employment and Training (RAVET).

5128

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules

Sec.
1010.113 Assignment of Directors and

Assistant Directors for Veterans'
- Employment and Training and

assignment of Federal clerical support
1010.114 Responsibilities and duties of
DVETs and ADVETs.
Authority: 29 U.S.C. 49k; U.S.C. Chapters
41-43; 29 U.S.C. 1579(a).
§ 1010.100

Pu rp ose and sco p e.

This part describes the authority and
responsibilities of the A ssistant
Secretary for Veterans’ Employment and
Training (ASVET) and the staff of the
Veterans' Employment and Training
Service (VETS).
§ 1010.110 R o le o f the A ssistant Secretary
fo r V eterans' Em ploym ent and Training
(ASVET).

The ASVET shall be the principal
advisor to the Secretary with respect to
the formulation and implementation of
all departmental policies and
procedures to carry out the purposes of
chapters 41, 42, and 43 of 38 United
States Code and all other Department of
Labor employment, unemployment, and
training programs to the extent they
affect veterans. The ASVET will
coordinate, formulate, promulgate, and
administer policies, regulations, grant
procedures, grant agreements and
administrative guidelines through the
Veterans’ Employment and Training
Service (VETS) so as to provide eligible
veterans and eligible persons the
maximum of employment and training
opportunities, with priority given to the
needs of disabled veterans and veterans
of the Vietnam era, and reemployment
rights of veterans, National Guard and
Reserve members.
§ 1010.111 Authority and responsibilities
o f the A S V E T .

(a) The ASVET, except as expressly
provided otherwise, is delegated the
responsibility and authority by the
Secretary to carry out all provisions of
chapters 41,42, and 43 of title 38, U.S.C.;
29 U.S.C. 1721; and 42 U.S.C. 11448; and
coordinate all programs under the
jurisdiction of the Secretary for the
provision of employment and training
services designed to meet the needs of
disabled veterans, veterans of the
Vietnam era, and all other eligible
veterans and eligible persons.
(b) The ASVET will authorize and
monitor certifications of unavailability
of disabled veterans of the Vietnam era
and disabled veterans for DVOP
appointment pursuant to 38 U.S.C.
2003A(a)(l), and waivers for assignment
for LVER pursuant to 38 U.S.C. 2004
(a)(4).
(c) The ASVET shall promote and
monitor participation of qualified

veterans and eligible persons in
employment and training opportunities
under the Job Training Partnership Act
and other federally funded employment
and training programs.
(d) The ASVET shall ensure that
veterans who are dislocated workers
eligible for assistance under the
provisions of the Job Training
Partnership Act, title III, or who are
otherwise unemployed, receive, to the
maximum extent feasible, assistance
(vocational guidance services or
vocational counseling, or both),
including any information needed by
veterans to apply for benefits and
services to which they are eligible; to
obtain resolution of questions or
problems relative to those benefits or
services, and; to initiate any appeals of
denial of such benefits or services.
(e) The ASVET, in consultation with
the A ssistant Secretary for ETA, as the
Secretary deems necessary, will
coordinate programs of the Department
which identify or target unemployed
an d /o r dislocated worker veterans or
other veterans eligible for participation
under the Job Training Partnership Act
or other laws administered by the
Department for employment and
training services for veterans.
(f) The ASVET shall, in coordination
with die Department of Veterans
Affairs, conduct a periodic evaluation of
the implementation of respective
responsibilities under the Departments’
Memorandum of Understanding
pursuant to section 402(b) of Public Law
100-689 (102 Stat. 4161).
(g) The ASVET shall, through the
VETS staff, administer the Veterans’
Reemployment Rights (VRR) program
provided for in 38 U.S.C. 2021-2022, and
2024 e t seq.
(h) The ASVET shall establish an
annual priority for services to veterans,
establish targets, establish pilot
programs to meet annual emphasis
decisions, and create or continue other
special programs designed to meet the
employment and training needs of
veterans.
(i) The ASVET will provide
employment and training services,
including vocational guidance
assistance to separating military
personnel, coordinating such services
with the VA, DOD, State agencies and
other DOL programs.
(j) The ASVET will encourage and
support all activities, services and
programs which provide or advance
employment and training opportunities
for veterans through Memorandum of
Understanding or Agreement with other
Federal Departments or agencies (e.g.
VA, OPM) or with other agencies within
the Department.

(k)
The ASVET may issue Veterans’
Program Letters (VPLs) to supplement
and further clarify these regulations and
provide program guidance and direction
to State agencies and VETS staff.
§ 1010.112 Authority and responsibilities
o f Regional Adm inistrators fo r V eterans’
Em ploym ent and Training (RAVET),

(a) The ASVET shall assign to each
region for which the Secretary operates
a regional office a representative of
VETS to serve as RAVET for such
region in accordance with 38 U.S.C.
2002A.
(b) Each RAVET is delegated the
authority to serve as the ASVET’s
representative and carry out the
functions listed in § 1010.111 of this part
in the region of assignment in
accordance with agency policies and
procedural directives from the ASVET
or a designated representative.
§ 1010.113 Assignm ent o f D irectors and
A ssistant D irectors fo r V eterans’
Em ploym ent and Training and assignm ent
o f Federal clerical su p p o rt

The ASVET shall assign to each State
a representative of VETS to serve as
Director for Veterans’ Employment and
Training (DVET) for that State and such
other staff as provided in 38 U.S.C. 2003.
Appointments of DVETs, Assistant
Directors for Veterans’ Employment and
Training (ADVETs), and full-time
clerical support shall also be in
accordance with provisions of title 5,
U.S.C., governing appointments in the
Federal competitive service.
§ 1010.114 R esponsibilities and duties o f
D V E T s and A D V E T s.

The DVET shall be responsible for
assuring the execution of the veterans’
employment, reemployment and training
policies and programs of the ASVET in
the State to which assigned in
accordance with 38 U.S.C. 2003.
ADVETs are delegated responsibility
and authority by die DVET relative to
their day to day functions and
monitoring the policies and programs of
the ASVET in the State to which they
are assigned.
PART 1020— STATE AGENCY
SERVICES TO VETERANS
Sec.

1020.100 Purpose and scope.
1020.101 Requirements for State Agency
provision of services.
1020.102 Requirements for State Agency
provision of facilities and support for
Veterans' Employment and Training
Service (VETS) staff.
1020.103 Requirements for State Agency
reporting.
1020.104 State Agency planning.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules

n
Sec.

1020.105 R equirem ents for S ta te A gen cy
cooperation and coord in ation w ith other
a g en cies a n d organizations.
1020.106 N on discrim ination requirem ents
an d com plaint proced ures.
1020.107 D eterm ination o f S tate A gen cy
com pliance.

Authority: 29 U.S.C. 49k; 38 U.S.C. chapters
41-43.
§ 1020.100

Purpose and sco p e .

This part describes the requirements
for determining compliance of State
Agencies in carrying out the provisions
of 38 U.S.C. chapters 41 and 42 with
respect to:
(a) Providing services to eligible
veterans and eligible persons to enhance
their employment prospects;
(b) Priority referral or special disabled
veterans and veterans of the Vietnamera to job openings listed by Federal
contractors pursuant to 38 U.S.C.
2012(a);
(c) Reporting of services provided to
eligible veterans and eligible persons
pursuant to 38 U.S.C. 2007(c) and
2012(c); and
(d) Providing employment and training
outreach assistance to those military
personnel separating from active duty.
§ 1020.101 Requirem ents f o r State A g en cy
provision o f s ervices.

(a) Each State Agency will assure that
all of its LESQs and SDPs provide
effective labor exchange services to
eligible veterans and eligible persons
with priority given to disabled veterans
and veterans of the Vietnam-era in
accordance with 38 U.S.C. 2002. Each
shall observe the following priority
order of referral for the provision of
services:

(1) Special disabled veterans,
(2) Veterans of the Vietnam era,
(3) Disabled veterans other than
special disabled veterans,
(4) All other veterans and eligible
persons, and
(5) Nonveterans.
(b) The State Agency is responsible
for providing priority labor exchange
services to veterans, in the order of
priority cited above, irrespective of DOL
funding source, and will assure that all
LESO and SDP staff provide priority
services to veterans.

(c) Each State Agency shall ensure
that the necessary administrative
controls are in effect to ensure drat
veterans and other eligible persons and
separating military personnel who
request assistance under this chapter
are promptly served,
(d) Each State Agency will ensure that
the head of each LESO/SDP is
responsible for ensuring compliance
with the provisions of this chapter

(chapter DC) regarding priority referral of
veterans to Federal contractors at no
cost to the DVOP/LVER grant, and is
responsible for maintaining and having
available for review a quarterly report
regarding the character of services
provided in that LESO/SDP.
§ 1020.102 Requirements for State Agency
provision of facilities and support fo r
Veterans’ Employment and Training Service
(VETS) staff

(a) Each SESA will provide adequate
and appropriate facilities and
administrative support such as office
space, furniture, telephone, equipment,
and office supplies to DVETs, ADVETs,
and clerical staff located in the state.
Such facilities and support will be
commensurate with those provided to
their State Agency counterparts, but not
less than the Federal requirements
prescribed by the General Services
Administration.
(b) Space provided to the VETS staff
must be accessible to disabled or
handicapped veterans, particularly by
wheelchair, and be in an area with
access to the general public.
(c) Administrative costs associated
with the DVET and VETS staff must be
distributed in the sam e maimer as with
all other central office staff, in
accordance with the applicable Federal
cost principles as defined by the Office
of Management and Budget (OMB
Circular A-87) and regulations (29 CFR
part 97). (Copies of OMB Circular A-87
and its revisions, published at 48 FR
9551 (January 28,1981), and 53 FR 40353
(October 14,1988), can be obtained by
calling the Office of Management and
Budget at (202) 395-7332.)
(d) VETS’* staff will be provided
necessary equipment, including but not
linn ted to: File cabinets with locks
necessary to maintain records covered
by the Privacy Act (5 U.S.C. 552a) (See
29 CFR part 70a); desks, chairs, tables,
lamps and other furnishings necessary
for the m aintenance of an office setting;
and access to computerized equipment
with appropriate links to the State
Agency’s Reporting System,
computerized Job matching systems and
other systems needed for evaluating and
monitoring of State agency activities on
the same basis as that provided to SESA
management staff.
§ 1020.103
reporting,

Requirement» for State Agency

(a)
Each State agency will provide
authorized VETS staff with access to all
State Agency administrative, budgetary
and programmatic records, and copies of
any reports related in whole or in part to
services to veterans and/or eligible
persons.

5129

(b) Each State Agency will collect
such information, prepare such reports,
and provide such information in such
format and at such times as the AS VET
prescribes.
(c) Each State Agency will establish
an appropriate reporting system and/or
mechanism in each LESO to measure the
performance of LVER staff and DVOP
specialists against performance
standards as required in § 1030.130 of
this chapter.
(dj The State Agency will establish
appropriate program management,
measurement and appraisal systems,
an d/or mechanisms to collect data
pertinent to the State agency
performance standards established by
the ASVET pursuant to 38 U.S.C.
2007(b).
§ 1020.1G4

State Agency Planning.

(а) General, The ASVET will issue
instructions through VPLs on the
creation of the Veterans’ Services
portion of the Annual H an required by
section 8 of the Wagner-Peyser Act. In
developing the Annual Plan, the State
Agency will be required to describe the
methods it will employ to ensure priority
services to veterans and other eligible
persons.
(bj Specific Requirements. The plan to
be developed must include, at minimum
the following:
(1) A description of how the State
Agency and all its staff elements with
access to employer job orders will
provide priority services to veterans and
other eligible persons;
(2) The method by which any existing
or anticipated compliance problems,
including problems with State agency
performance standards pursuant to 38
U.S.C. 2004A, will be resolved;
(3) The method by which the State
Agency will measure DVOP specialists
and LVER staff, performance;
(4) A procedure to ensure that
appropriate training is provided to
DVOP specialists and LVER staff,
management, and other State Agency
staff through State Agency resources
and the National Veterans’ Training
Institute;
(5) State Agency plans for
implementing the coordination required
by the Dislocated Worker provisions of
title HI of JTPA;
(б) Plans for development of special
projects for special emphasis pursuant
to VPLS issued by the ASVET.
§ 1020.105 Requirements for State Agency
cooperation and coordination with other
agencies and organizations.

(a)
Each State Agency shall establish
written agreements with the Department

5130

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules

of Veterans Affairs (VA) offices serving
the State to maximize the use of VA
employment and training programs for
veterans and eligible persons.

corrective or remedial action from the
State agency or recipient of funds under
this chapter, the ASVET will make a
final determination of non-compliance
(b)
All programs and activities
and forward it to the Secretary for
governed by this part will be
action. The ASVET will apply the
coordinated to the maximum extent
requirements and procedures as
feasible with other programs and
outlined in 20 CFR part 658, subpart H to
activities under title 38 U.S.C., the
programs under this part (see 20 CFR
Wagner-Peyser Act, the Job Training
658.700).
(b) The DVET will record any
Partnership Act, other federal or
deficiences or problems encountered
federally funded programs, veterans’
during LESO evaluations or reviews; or
service organizations, private agencies
in the discharge of the DVET'8
which have active veterans'
functional supervision; or failure to meet
employment and training or vocational
veterans’ performance standards; or any
rehabilitation programs, or other
m atter that is brought to the DVET’s
employment and training programs at
attention in the form of a complaint.
the State and local level.
DVETs will initiate corrective action
§ 1020.106 Nondiscrim ination
through notice to the SESA which
requirem ents and com plaint procedures.
identifies any problem, action or lack of
(a) Nondiscrimination and equal
action which result in less than
opportunity requirements and
adequate compliance with statutory
procedures, including complaint
provisions, these regulations, grant
processing, will be governed by the
provisions or assurances, or Veterans’
provisions of 29 CFR parts 31 and 32.
Program Letters. The DVETs notice will
(b) Each SDP shall prominently
request informal negotiations within 10
display information on the various
working days of receipt of the notice, or
complaint systems to advise veterans
a corrective or remedial plan to be
and eligible persons about procedures
submitted within 20 working days from
for filing complaints regarding
receipt by the SESA of the notice. In the
employment service, Federal contractor,
event the corrective action plan or
equal opportunity, failure by employers
informal negotiations do not resolve the
to list jobs or provide reemployment
non-compliance issues within 30
rights, and other complaints.
working days from the notice, the DVET
(c) In the event that a veteran,
will document the efforts to resolve and
reservist or member of the National
provide such documentation, including
Guard presents a reemployment rights
the original notice and SESA response,
complaint to a DVOP, LVER or other
if any, to the RAVET.
staff member of the State Agency, the
(c) The RAVET may initiate
information provided by the
compliance enforcement action pursuant
complainant, to include the name,
to 20 CFR 658.702 (a), (b), (d) or (h); and
address and phone number, employer
20 CFR 703 based on any identification
and any other information provided, will of problems, action or lack of action that
be transmitted expeditiously to the
places a SESA out of compliance with
DVET for investigation under the
appropriate statutory provisions, these
provisions of 38 U.S.C. chapter 43. The
regulations, grant provisions or
DVOP, LVER or other State Agency staff assurances, veterans’ performance
member should not get involved in any
standards or Veterans’ Program Letters.
compliance activities, nor should the
Compliance action will be initiated upon
receipt from a DVET of documentation
complaint be unnessarily delayed by
administrative requirements.
that informal efforts to seek a corrective
or remedial action plan have failed. If
§ 1020.107 Determ ination o f State A g en cy
corrective action cannot be achieved
com pliance.
within procedural timeframes as noted
(a)
The ASVET will ensure that State in 20 CFR part 658, subpart H and these
Agencies subject to the provisions of 38
regulations and/or the interpreting VPL,
U.S.C. chapters 41 and 42 and other
the m atter will be referred to the ASVET
recipients of funds under this chapter
for final action. A copy of the referral
(chapter IX) comply with the
and its documentation will be provided
appropriate statutory provisions and
to the State Agency.
objectives; these regulations; their grant
(d) If it is determined by the ASVET
or contractual provisions or assurances,
that certain State Agencies are not
certifications and plans provided as
complying with applicable statutory
conditions to receiving funding; and
mandates, these regulations, grant
Veterans’ Program Letters interpreting
provisions or assurances, Veterans'
regulations and establishing program
Program Letters or veterans’
requirements. Upon a finding of nonperformance standards, the ASVET will
compliance and inability to obtain
require State Agencies to provide

documentary evidence to the ASVET
that their failure is based on good cause
pursuant to 20 CFR part 705. If good
cause is not shown, the ASVET shall
apply the requirements and procedures
of 20 CFR 658.706 and paragraph (a) of
this section.
(e) Every effort should be made by the
DVET to resolve all noncompliance
issues with the State Agency before
remedial actions are required.
(f) A report of those State Agencies in
noncompliance with the standards of
performance and their corrective action
plans shall be incorporated into the
Secretary’s Annual Report to the
Congress.
PART 1030— DISABLED VETERANS’
OUTREACH PROGRAM AND LOCAL
VETERANS' EMPLOYMENT
REPRESENTATIVE PROGRAM
Sec.
1030.100 Purpose of scope.
1030.101 Common considerations.
1030.110 Appointment and role of DVOP
staff.
1030.111 Duties of DVOP specialists.
1030.115 Requirements for the assignment
and role of LVER staff.
1030.116 Duties of LVER staff.
1030.120 Funding for the DVOP/LVER

Program.
1030.122 Grants administration.
1030.125 Reporting requirements.
1030.130 Performance standards for DVOP/
LVER staff.
Authority: 29 U.S.C. 49k; 38 U.S.C. chapters
41-43.
§ 1030.100

Pu rp ose and sco p e.

Requirements are contained in this
part on the administration and oversight
of the Disabled Veterans’ Outreach
Program (DVOP) authorized by 38 U.S.C.
2003A and the Local Veterans’
Employment Representative (LVER)
program authorized by 38 U.S.C. 2004.
§ 1030.101

C om m on considerations.

(a) Persons assigned full-time to LVER
duties and DVOP Specialists shall be
utilized exclusively for employment and
training services to veterans and
separating military personnel.
(b) State Agencies may not charge

against the DVOP/LVER grant any
funds expended on services to nonverterans.
(c) State Agencies shall consult with
the DVET when:
(1) Determining the distribution of
LVERs;
(2) Making the appointment or
assignment of qualified individuals to
DVOP/LVER positions; and
(3) Determining the stationing of
DVOP specialists.

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / Proposed Rules
(d) Determination of which applicants
for DVOP and LVER positions are
“qualified” rests with each State’s civil
service merit system.
(e) In identifying/ranking applicants
and in appointing/assigning individuals
for DVOP/LVER positions from the list
of “qualified” candidates, each State
civil service/m erit system shall provide
a systematic method providing
preference, in the order specified in 38
U.S.C. 2003A and 2004 and as reflectd in
§ § 1030.110 and 1030.115 of this part.

(f) Each State Agency will maintain
records to fully document DVOP and
LVER appointment/assignments to
include a record of how the system or
preference in paragraph (e) of this
section was applied to each qualified
veteran applicant.
(g) The formulas established for the
assignment of DVOP/LVER staff shall
be adhered to, unless a waiver is
granted by the RAVET, or unless
approved appropriations preclude the
full application of the criteria as noted
in writing by the grant officer upon grant
aw ard or modification.
§ 1030.110
staff.

Appointment and role of DVOP

(a) Appointment and funding of DVOP
Specialists shall be in accordance with
38 U.S.C. 2003A. If no qualified disabled
veterans of the Vietnam era are found to
fill a DVOP position pursuant to 38
U.S.C. 2003A(a)(l), the State Agency
shall submit sufficient evidence of the
attempts to locate a qualified disabled
veteran of the Vietnam era; and of
subsequent efforts to locate a qualified
disabled veteran to permit the RAVET
to certify that no qualified disabled
veterans were available before granting
a waiver to enable appointment of a
qualified non-disabled veteran. The
waiver request will describe, in writing,
the recruitment efforts made and
provide reasons for considering such
waiver. The request must include the
documentation required at section
1030.101(f) of this part. The waiver
request will be forwarded to the DVET
for review and recommendation who
will forward it to the RAVET for final
written certification of the unavailability
of disabled veterans of the Vietnam era
or disabled veterans and action on the
appointment waiver. W ritten approval
from the RAVET of the waiver request is
required before filling a DVOP position
with a non-disabled veteran.

(b) Under no circumstances may
DVOP positions be filled by
nonveterans or duties assigned to
someone other than State employees.
Where the State agency has displaced
DVOP specialists with lesser preference
veterans or nonveterans, the

Department shall require remedial
personnel actions to restore the proper
higher preference individual to the
position consistent with the intent of
Congress.
(c) Compensation for DVOP
Specialists should be commensurate
with the duties of their position. In no
instance will a DVOP specialist be
compensated at a rate less than the-rate
prescribed for an entry level
professional in that State government
agency of the State concerned. State
agencies should develop a career
progression for DVOP, commensurate
with other professional positions within
that State Agency.
(d) DVOP specialists shall be assigned
only those duties directly related to
meeting the employment and training
needs of eligible veterans, as defined by
the ASVET in the grant provisions or
assurances, with priority for the
provision of services in the order
prescribed by 38 U.S.C. 2003A(b)(l).
(e) R etention an d Recall. The
statutory appointment preferences for
DVOP specialists impact on the
retention and recall rights of indiviudal
DVOP employees under the State merit
systems. Since Congress intended that
the required DVOP positions be filled by
the highest preference category
available, a duly appointed DVOP
specialist shall be retained and/or
recalled in the event of a reduction in
force or other personnel action affecting
employees of the State agency unless
displaced by:
(1) A veteran of higher statutory
preference status; or
(2) A veteran of equal statutory
preference status with greater State
Civil Service/Merit system rights, e.g.,
seniority.
(f) Location o f D V O P Specialists: (1)
Not more than three-fourths of the
DVOP specialists shall be stationed at
local employment service offices (LESO)
in each State, unless a written waiver is
granted by the RAVET. W aiver requests
must contain assurances that no less
than one-fifth of the DVOP specialists in
the State will be assigned to effective
and productive stationed
responsibilities.
(2)
DVOP Specialists not stationed in
LEÎSOs shall be stationed as established
by agreement with the Department of
Veterans' Affairs to include centers
which provide readjustment counseling,
veterans’ assistance offices, VA Vet
Centers, non-profits operating JTPA
IV(C) training programs and other sites
as may be determined to be appropriate,
based on demonstrated need, following
consultation with the DVET and
appropriate representatives from the
VA.

5131

(3)
The amount of DVOP specialist
time spent stationed at other than
offices of SESA shall be calculated
either by the number of hours per week
each individual DVOP specialist is so
stationed compared to the number of
regular work week hours; or, the
statewide total number of weekly hours
DVOP specialists devote to working
from a stationed site compared to the
total number of hours all DVOP
specialists work for the SESA.
(g)
DVOP specialists may be located
at military installations or hospitals as
determined appropriate for the purpose
of assisting separating military
personnel if the number of separating
military personnel w arrant that action,
and such an outstationed assignment
receives the prior approval of the DVET,
the State Agency, and the military
installation. Priority will be given to
serving those service members receiving
disability separations.
§ 1030.111

Duties of DVOP specialists.

(a) Each DVOP specialist shall
perform the duties prescribed in 38
U.S.C. 2003A(c) for the purpose of
providing services to eligible veterans in
accordance with the priorities set forth
in 38 U.S.C. 2003A(b)(l).
(b) The SESA shall develop and apply
performance standards for each DVOP,
consistent with the duties and
responsibilities described for the DVOP
and the requirements of § 1030.130 of
this part.
§ 1030.115 Requirements for the
assignm ent and role of LVER staff.

(a)
Appointment and funding of LVER
staff shall be in accordance with 38
U.S.C. 2004. If no qualified serviceconnected disabled veterans are found
to fill a LVER position pursuant to 38
U.S.C. 2004(a)(4), the State Agency shall
submit sufficient evidence of the
attempts to locate such a qualified
service-connected disabled veteran to
permit the RAVET to certify that no
qualified service-connected disabled
veterans were available before granting
a waiver to enable appointment of a
qualified non-disabled veteran. The
same process shall be followed in the
event no veterans are found available to
enable appointment of an eligible
person. The waiver request will
describe, in writing, the recruitment
efforts made and provide reasons for
considering such waiver. The request
must include the documentation
required at § 1030.101(f) of this part. The
waiver request will be forwarded to the
DVET for review and recommendation
who will forward it to the RAVET for
final written certification of the

5132

Federdl Register / Vdl. "56, No. 26 / Thursday, February ,7, 1991 / Proposed R ules

unavailability of service-connected
disabled veterans first, then of veterans,
and action am die appointm ent waiver.
W ritten approval from die RAVET of
the w aiver request is required before
filling LVER positions with non-disabled
veterans *or eligible parsons.
-(b) Funding and assignment of LVER
staff shall be in accordance with 38
U.S.C. 2004. The allocated number of
LVER staff shall be assigned by the
State agenqy administrator in
accordance with.38U.S.C. 2004(a)(2)(A).
Xq) The State agency must notify and
seek the concurrence of the DVET when
proposing assignment of -LVERs to a
LESO in deviation from the statutory
formula a t .38 U.S.C. 2004(a)(2)(A) an d
explain frnw this assignm ent .will result
in improved services to eligible
veterans.
(d) In the case of a local eiqployment
service office / SDP with le ss than 350
éligible veterans and eligible persons
registered at any time during the prior
program year a t which employment
services are offered under,the WagnerPeyser Act, and at which n o LVER is
assigned, the head of such LESO/5DP
will be responsible for ensuriqg
compliance with the provisions o f this
chapter (chapter 123 regarding priority
services for veterans andpriority
referral of veterans to .Federal
contractors at n o coat to th e DVOP/
LVER grant, an d be responsible for
maintaining and having available for
review a quarterly report regarding th e
character of services provided in th a t
SDP.
(e) Each LVER shall »be
administratively responsible to the
manager Of the local employment
service office and shall provide reports,
not less frequently than.quarterly, to the
manager of sudh office with copies
provided to the DVET for the "State
regarding the services provided to
veterans,-and compliance with Federal
law a n d regulations with respect to
priorities of service for eligible veterans
and -eligible persons.
(f) S tate Agencies will not delegate
LVER positions or dvities to other State
Agencies, county, local or other
govem m eritalbodies or any private
entity.

expected to participate h i pre-separation
briefings, if needed, and may b erve a t
that facility if the number of separating
military personnel warrant that action
and a Memorandum of Understanding
between the State agency, military
installation and DVET is effected
outlining the duties to be performed.

with the State Agency on a final plan
before forwarding the plan with
recommendations to the RAVET for
action.

modifications which are announced by
the AS VET.
(b) Staff positions to be funded
through -the grant process are .as defined
by the formulas-contained in 38 U.S.C.

§1030.122

(f)
DVOP/LVER funds are
appropriated only to fund the salaries,
benefits, ¡expenses and admmistrafive
overhead of those directly assigned to
(d)
The ¡SESA shall develop an d apply full-time DVOP specialists, balffim e
performance »standards fo r each LVER
LVER and full-time LVER Staff positions.
consistent with the duties and
In no case will ¡any S tate agency
responsibilities described fo r th e LVER
manager -in a local employment service
and the requirements Of § 1030.130 of
office even when or where n o LVER is
this part.
assigned, any area or S tate
administrator or any administrative
§ .1030.120 Fun d in g f o r th e D V O P /LV ER
support staff w ith general
program .
responsibilities for “die Employment
(a) Funding for the DVOP and LVER
Service be perm itted to charge DVOP or
Program is .provided .annually to the
LVER staff time.
States through grants and/orgrant
G rants administration.

fa) Grants provided to the States
under this part, to ‘include modifications,
are subject to die administrative
standards governing grants and
2003A(a)(l) a n d 2004(a)(1).
agreements a s set forth in.‘29 CFR part
(c) jSta ies will develop their -funding
97. Funds provided pursuant to this
requests based upon the number of
section are provided in accordance w ith
DVOP specialists and LVERs allocated,
38 U.SiC. chapter 41 and-compliance will
as required by th e formulas in 38 -U.S.C.
be maintained with all applicable
2003A and 2004, Jaspeotrvely, using a
provis
io n so f this -chap ter.
projection of co stp er'staffy ear d ata and
fb) Grants may ¡be unilaterally
the most recent y e ar-to^datetcost
modified in writing by the Grant Officer
accounting d a ta . Specific information-on
whenever ¡there has been a change in
the form artd format for submission will
any Federal statute, appropriation,
be provided b y Solicitation for Grant
regulation,
executive order, or ¡other
Application (SGA) or VPL issued by the
federal law, which, a s determined ¡by the
ASVET.
Department, is relevant to the financial
(d) In the event that appropriations
assistance provided under ¡the ¡grant.
are inadequate to fully ifund -either rxr
f c) Budgetary adjustm ents. 1(1) The
both programs, Agency Limitations will
ASVET, 'through the RAVET, w ill m ake
be developed, and State. Agencies well
quarterly reviews of funding obligations
be provided with ;a ¡reduced 'Notice ?of
and expenditures and recapture
Grant, Award in an amount proportional
uncommitted funds for redistribution to
to the number of authorized positions in
other States hb necessary.
the State. The ASVET .will provide
(Z) Ninety-five percent (95%) of manguidance for percentage reductions
excepted uncommitted ¡funds may b e
made to funds provided for
recaptured for redistribution among
administrative overhead, and, if
States as necessary in accordance w ith
sufficient funds are still not available, a
instructions issued by "the ASVET for
proportional number of¡authorized staff
this purpose. The ASVET m ay modify
positions may 'be reduced to ¡reach the
this percentage as appropriate from year
level of funds available. In the ¡event
to year.
that additional funds subsequently
(8)
The State will submit quarterly
become available, the grants to the
financial reports within thirty (30) days
States may be modified to adjustihe
of the end of afiscalq u arter through the
funding by increasing the Obligational
Authority without exceeding die Agency DVET, to the RAVET for the purpose of
determining w hat funds, ¿if any, can b e
§ 1030.116 Duties of LV E R staff.
Limitations for States.
recaptured. If a State can

documented.
36.

1 000

documented.
’

18 292

.........................................

5

36!
documented.

Calico scallops..............................................

documented.
550 None
documented.
400 None
documented.

Bluefish, croaker, flounder......... ......... ..........................
Crab....................................................
Purse seine:
GME Atlantic herring___ ¿:2:__„....„.....¿...i...;.___
GME, SNE, MDA m en h ad en ...........
GME, SNE, MDA Atlantic bluefish tuna_____ ...____ ___________ _
SOA. GMX menhaden............................................
FL west coast sardines........______ ________ ______
Bottom longtine/hook & line:
GME tub trawl groundfish.....__________ ... ,
SOA, GMX snapper-grouper and other reef fish................. ........................ ..

30

6,15,35.

10

20

5 3l!
20.
16 2 0 ,

97

Pelagic hook A line/harpoon/gillnet
GME, SNE, MDA tuna, shark, swordfish............... ........................

46
1,300

6,35.
None
documented.

26 223

None
documented.

SOA, GMX..................................... .......... ......
Gillnet:
■’ -J
vvji '
J
GME, SNE, MDA, SOA coastal shad, sturgeon.................. .........................
SOA. GMX coastal............
FL east coast GMX pelagics king & Spanish mackerel.................................................. .........
Fixed gear fisheries trap/pot—fish:
GME, SNE, MDA mixed species.-.:..........................:____ _
MDA black sea bass.........~ ■’ • :

"

........2:^'£ $;■.

documented.

4 v .:.

4,515
4,000
271
10 0

30

15,20,32.
20.
20.

n 1 «; s i 3 9 ns
None
documented.

5148

Federal Register / Vol. 56, No. 26 / Thursday, February 7* 1991 / Notices

Table 6.—C ateogry lit Commercial Fisheries in the Atlantic Ocean , Caribbean , and G ulf of Mexico—Continued
Estimated
number of
vessels/
persons

Fishery

Marine mammal
species involved

500 , None
documented
Fixed gear fisheries trap/pot—lobster, crab:
GME, SNE inshore lobster_____________________ __________ __________ _________ _______________ ......
GME, SNE offshore lobster ....^______________ __________ ________ .....___............_________________ ___

10,613 , 6,31,32,38,39.
2,902 None
documented:
20,500 20,40.
2500 20,40.
2 ,2 0 0
None
documented.
500 20,40.

Atlantic Ocean, GMX blue crab.......:______ _______________ _______ _____ ______________________ ..___ _
SOA, GMX, CB spiny lobster_______ __________________ __________ ___.................. „t..r.r„.„r„,r.... .......SOA, GMX, CB reef fish________________ ______________________________________ _______________
FL east & west coast, GMX stone crab............... - ___________________________________ _______________
Stop seine, weirs (staked fish' traps):
GME herring and Atlantic mackerel____ ______________________ ___..........._______________.___________
SNE, MDA mixed species_________________________________I________________________________ ____

50 6,15,31,32,35,38.
500 None
documented
2600 None
1
documented:

MDA crab...._______ !__________ ____________ _________ J._________________ _____________________
Dredge fisheries:
GME, SNE sea scallops___________________ ....___ _____________ ________ _______ ________________
SNE, MDA offshore clam........____________ _____........_________________________________________ ___

233 31.
153 !None
documented:
>50 None
documented:
7000 None
documented.

Haul seine:
153 Nonedocumented.
Beach seine:
15 40.
Aquaculture, pens:
GME Atlantic salmon..._____________ ......_________ ___...____ ________ ___________ _________ ___ ______
Dive, hand/mechanical collection fisheries:
GME urchins;....______ .................... .......................________ _____ __________ ....___ ___ _______| __ ____

30
<50

Atlantic Ocean, GMX, CB shellfish________________ ....____ ____......_......._________________ __________

2 0 ,0 0 0

6,35.
i

None:
documented.
None
documented

List of State Abbreviations Used in Tables:
AK—Alaska.
CA—California.
FL—Florida:
GA—Georgia.

HI—Hawaii

OR—Oregon.
SC—South Carolina.
TX—Texas.
WA—WashingtonAcronyms and the Areas They Represent:
BASI—Bering Sea and Aleutian Islands.
CB—Caribbean.
GME—Gulf of Mbin—Canadian) Border to Nantucket Island, Massachusetts (includes Georges Bank).
GMX—Gulf of Mexico—Ail Gulf States.
GOA—Gulf of Alaska.
MDA—Mid Atlantic—New Jersey to Cape Hatteras, North Carolina.
SNE—Southern Atlantic—South Carolina to Florida.
Explanation of Columns:
Fishery—Identified by gear, target species, and area.
Estimated # of Vessels/Persons—Contains the best and most recent available information on the number of vessels/persons licensed to participate hnr a fishery
or, in the case of Alaska, the number of permits.
Marine Mammal Species Involved—Contains a list of all documented or reported instances (in clu d in g rare and unique instances) of marine mammal interactions.
The inclusion of a species does not address the magnitude of take and makes no statement regarding the significance of any interaction.

Species Codes for Marine Mammal
Taken in C ommerical Fisheries

S pecies Codes for Marine Mammal
Taken in Commerical F isheries—

S pecies C odes for Marine Mammal
Taken in Commerical F isheries—

Continued
Species codes
1

_

Common name

Species codes
1 Northern

fur

seal.
................... .... Steller
(northern) sea
Bon.
3 ................... . California sea
Hon.
4 __ ________ ; Unidentified sea
lioa
2

Continued

Scientific name
Callorhinus
ursinus.
Eumetopias
jubatus.
Zalophus
califomianus.

Common name

Scientific name

5.................. .... Walrus................. Odobenus
rosmarus.
Harbor seal.......... Phoca vitukna.
7....
Phoca terge.
a .....................
1 Phoca hispida.
9.................. .... Ribbon seal......... Phoca fasciata.
13..................... Bearded seal
Erignathus
barbata«.

Species codes

Common name

Scientific name

____ ______ Northern
Mirounga
angustirostris
elephant seal
12 ...* ....—^ . . ^ . . Hawaiian monk
Monachus
1
schauinsiandi.
seal:
13__________ Alaska sea otter.. Enhydfa lutris
kitris.
14..................... 1 Dad's porpoise..... Phacoenoides
dam.
11

£^deral_Register / V°L 56, No. 26 / Thursday, February 7, 1991 / Notices
S p e c ie s C o d e s f o r M a r in e M a m m a l
T a k e n in C o m m e r ic a l F is h e r ie s —

Continued
Species codes
15..
16...

17.__ ..;__
18......___ ...

19.______
20......______

21______
22... .... ...
23________
24.__ ...___
25_____ ......

S p e c ie s C o d e s f o r M a r in e M a m m a l
T a k e n in C o m m e r ic a l F is h e r i e s —

Continued
Common name

Scientific name

Harbor porpoise. Phocoena
phocoena.
Common
Delphinus
(saddleback)
delphis.
dolphin.
Pacific
Lagenorhynchus
whitesided
obliquidens.
dolphin.
Northern right
Ussodelphis
whale dolphin.
borealis.
Striped dolphin... stenella
coeruleoalba.
Bottlenose
Tursiops
dolphin.
truncatus.
Rough toothed
Steno
dolphin.
bredanensis.
Risso’s dolphin.... Grampus
griseus.
Pilot whale_____ Giobicephala
meiaena
False kilter
Pseudorca
whale.
crassidens.
Killer whale.
Orcinus orca.

Species codes

Common name
Beluga whale.

27..

Unidentified
small
cetacean.
Sperm whale._

.

29..
30..

Beaked whales.
Gray whale....__

31..

Humpback
whale.
Minke whale..

32..
33..
34..
35.. .
36.. .

S p e c i e s C o d e s f o r M a r in e M a m m a l
T a k e n in C o m m e r ic a l F i s h e r ie s —

Continued

26..

28..

5149

Unidentified
large
cetacean.
Atlantic
whitesided
dolphin.
Gray seal___
Spotted dolphin.

Scientific name
Delphinapterus
leucas.

Species codes
37.............
38.............

Physeter
catodon.
Ziphiidae.
Eschrichtius
robustus.
Megaptera
novaeangliae.
baiaenoptera
acutorostrata.

Common name
Pygmy sperm
whale.
Northern right
whale.

39__________
40.....................
41...................

Southern
(California)
sea otter.

Scientific name
Kogia breviceps.
Eubalaena
glacialis.
baiaenoptera
physalus.
Trichechus
manatus.
Enhydra lutris
neries.

D ated: February 1,1991.

Michael F. Tillm an,
Lagenorhynchus
acutus.

Deputy Assistant Administrator 52for
Fisheries.

Haiichoerus
grypus.
stenella spp.

BILLING CODE 3510-22-M

[FR Doc. 91-2920 Filed 2-6-91; 8:45 am]

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Reader Aids

Federal Register
Vol. 56, No. 26
Thursday, February 7, 1991
CFR PARTS AFFECTED DURING FEBRUARY

INFORMATION AND ASSISTANCE
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3 CFR
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FEDERAL REGISTER PAGES AND DATES, FEBRUARY
3961-4172..... .......T.................1
4173-4522..............................4
4523-4706................
...5
4707-4926............................. 6
4927-5150............................. 7

6245)....................................4921
5955 (Revoked by
6245).......................
4921
6123 (See 6245).................4921
6152 (See 6245).................4921
6243 ........................
4701
6244 ................................ 4707
6245 ... i ......................... 4921
6246.. .............................. 4927
Executive Orders:
10982 f Amended
by 12748)........................ 4521
11721 (Revoked
by 12748).........................4521
12154 (Amended by
EO 12749)________
4921
4521
12748.. ................
12749.....................
4711
Administrative Orders:
Presidential Determinations:
No. 91-15 Of
January 15,1991............4713
No. 91-16 of
January 16,1991............4715
No. 91-17 of
January 16,1991............4717
No. 91-18 of Jan­
uary 22, 1991.................. 4169
No. 91-19 of Jan­
uary 23, 1991.................. 4171

5

CFR

831____________________4929
842......................
4929
2637..................
3961
264-1.........
3961
Proposed Rules:
531..
............................ 4562
536...................................... 4562
772.. ...................
4562
831.......... „..........................4562
842...................................... 4562
846—.................................... 4562
870.™................
4562
890................................
4562

7 CFR
17..........................................3 9 ®
301______________ .4931-4933
800...................
4675
932.................................... .. 4223
998............
4524
1430.................................... 4525
1941..................................... 3971
1943..........................
3971
1945.........................
3971
Proposed Rules:
58..
................................ 4951

4180
319..........................
425...................................4733
915___________________ 4953
966___________________ 3983
1001 ________________ 4955
1002 .............
4955
4567
1007_________
1093 ________
4567
1094 ________________4567
1096__________________ 4567
1108......
4567
1980................................. 4567
9

C FR

78...........................4936,4937
12CFR
Proposed Rules:
2 2 9 -........................ — .... 4743
701.....
5061
14 C F R
39................ 3972, 3874, 4532,
4540
93— ............................. 4676
Proposed Rules:
21....................
4581, 4758
23.......
4581, 4758
39....
3983, 4581
71....... 4583, 4584, 4760, 4956
4322
108.............
129.................................. 4328
158...........'.......................4678
17 C FR
211___________________ 4938
18 C F R
271...................................4173
365...................................4719
19 C FR
4....

4174

20 C FR
404— .............................
- 4542
Proposed Rules:
330...................................4585
626— .....................
5124
658......
5124
Ch. IX........................
5124
21 C FR
Proposed Rules:
101___________________ 4675
104. ________________ 4675
105. ________________ 4675
1301..............3987,4181, 4182
1304.__________________4181

u

Federal Register / Vol. 56, No. 26 / Thursday, February 7, 1991 / R eader Aids

22CFR
Proposed Rules:

521........................ ............. 4761
23 CFR

230...................................... 4720

144 .................................. 4772
145 ........ ..... ...................4772
146
................................. 4772
147
.................................. 4772
......
4772
148
180....... ................... 4772, 4959
228....................................... 4777

24 CFR

Subtitle A...4412, 4436, 4458,
4494
91........................... .............4480
203......................... .............4476
234......................... .............4476
26 CFR

1..................... 3976, 4542, 5062
301......................... .............4676
602......................... .............4676
Proposed Rules:

31....... 3988, 4023, 4183-4243,
4588,4770,4956
42........................... ............ 4589
43........................... ............ 4590
27 CFR

41

CFR

201-4..
201-9..
201-18

4947
4947
4947
4947
4947
4947
4947

201-20
201-23
201-24
201-39

42 C FR
410..

................

4675

Proposed Rules:

Ch. I......... ........................ 4961
43 C FR
4.......

Proposed Rules:

45 C FR

4............................. ............. 4770

1235...................

.....5061

4730

28 CFR

46 C FR

14........................... ..... .......4943
511......................... ............ 4158
540......................... ............ 4158
541......................... ............ 4158

380...................................3979

29 CFR

1926....................... ............ 5061

47 C FR
73...

4176-4178, 4733, 4949,
4950
80.. .....
4734
90 .
4178
Proposed Rules:

30 CFR

901......................... ............ 4542
917.........................
Proposed Rules:

701......................... ............ 4956
816......................... ............ 4956
817.........................
917......................... ............ 4590
943......................... ............ 4243
33 CFR

117......................... ............ 4175
165......................... .. 4559, 4943
Proposed Rules:

117......................... .. 4023, 4024
151.........................
1222....................... ............ 3978
34 CFR

74............................ ............4675
80............................ ............4675
36 CFR

217...................................... 4721
38 CFR
3............................ ............ 4729

64...........................
4782
73........................... 4783-4785
76...............
4027
48 C FR
570...............
4734
915...................................5064
950..........................
5064
970.................
5064
49 C FR
1............................ 4560, 4736
541................................ 4736
Proposed Rules:

571.. .....................
1033...................

..5061
4028

50 C FR
652........................

3980

Proposed Rules:

17..............................
4028
23......
4965
91 ..................
4591
216.................................. 4029
301...................................4029
611...................................4029
672...........................
4029
675.............
4029

Proposed Rules:

17............................ ............4025

LIST OF PUBLIC LAWS

40 CFR

Proposed Rules:

Note: No public bills which
have become law were
received by the Office of the
Federal Register for inclusion
in today’s List of Public

Ch. I........................ ............ 4957
136......................... ............ 5090

Last List February 5, 1991

52............................ ............4944
60............................
180.......................... ............4946
261.......................... ............3978

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