issue-1996-03-28•Federal Register final rules — 1996-03-28
Federal Register final rules — 1996-03-28
issue-1996-03-28Federal Register final rules — 1996-03-28Regulation
Published Federal Register documents, not public-inspection drafts. The GPO XML/text rendition is a research aid; the linked complete official PDF retains the printed layout and all graphics. Graphics are retained in that PDF and are not independently reproduced in this text rendition. Publication does not establish that every provision remains legally in force.
FR Doc. 96-7612 North Pacific Fisheries Research Plan; Fee Refund
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13782-13784]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7612]
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
50 CFR Part 677
[Docket No. 960311066-6066-01; I.D. 030596C]
RIN 0648-AI67
North Pacific Fisheries Research Plan; Fee Refund
AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and
Atmospheric Administration (NOAA), Commerce.
ACTION: Interim final rule; request for comments.
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SUMMARY: NMFS issues an interim final rule that will discontinue the
1995 North Pacific Fisheries Research Plan (Research Plan) fee
collection process, authorize the issuance of annual Federal processor
permits without regard to payment of Research Plan fees, and refund all
fees collected (approximately $5.6 million) by NMFS under the Research
Plan, along with accrued interest. A refund procedure is outlined that
describes how Research Plan refund recipients will be identified, how
the refunds will be calculated, and how and when refund checks will be
disbursed. This action is necessary to respond to the North Pacific
Fishery Management Council's (Council) vote at its December 1995
meeting to repeal the Research Plan. It is intended to terminate the
collection of fees authorized by the Research Plan.
DATES: Effective March 25, 1996. Comments must be received on or before
April 29, 1996, (See ADDRESSES).
ADDRESSES: Comments on the interim final rule may be sent to Ronald J.
Berg, Chief, Fisheries Management Division, Alaska Region, NMFS, Room
453, 709 W. 9th Street, Juneau, AK 99801, or P.O. Box 21668, Juneau, AK
99802, Attention: Lori J. Gravel.
FOR FURTHER INFORMATION CONTACT: Kim S. Rivera, 907-586-7228.
SUPPLEMENTARY INFORMATION:
Background
A final rule implementing the Research Plan was published in the
Federal Register on September 6, 1994 (59 FR 46126), under the
authority of section 313 of the Magnuson Fishery Conservation and
Management Act (Magnuson Act), as amended by section 404 of the High
Seas Driftnet Fisheries Enforcement Act, Public Law 102-582. The
Research Plan includes a fee collection program to pay for the costs of
observer coverage for all fisheries under the Council's jurisdiction,
except salmon fisheries. Full implementation of the Research Plan was
delayed until 1997 (60 FR 66755, December 26, 1995) after the Council
requested additional time to reconsider certain elements of the
Research Plan that it had previously adopted. At its December 1995
meeting, the Council voted to repeal the Research Plan and its
associated fee-based funding mechanism and requested NMFS to develop
rulemaking for an alternative to the Research Plan and to refund the
Research Plan fees collected in 1995.
As a result of the Council's action, NMFS intends to halt the
administrative process necessary for full implementation of the
Research Plan. This includes the billing of Research Plan fee
assessments, collection of fee payments, and the requirement for
Research Plan fees to be fully paid prior to issuance of Federal
processor permits. Furthermore, NMFS will refund all monies, including
accrued interest, deposited in the North Pacific Fishery Observer Fund
(Observer Fund) to the processors that were billed and made direct
payments to NMFS. Refund checks will be issued as soon as
administratively possible.
Without the fee collection process in place, a justification for a
semiannual Federal processor permit no longer exists. Therefore, the
requirement is revised and the Federal processor permit will be issued
annually.
In 1995, fee assessments were billed for the first four bimonthly
billing periods and over $5.6 million was collected from Research Plan
processors. Two more bimonthly fee assessments were scheduled to
complete the 1995 billings. They will not be issued. Regulations at
Sec. 677.6(b) are revised to indicate that 1995 fee assessments were
required only through August 31, 1995. To be consistent with the
revised 1995 billing period, regulations at Sec. 677.6(d) also are
changed to indicate a January 1 through August 31, 1995, period.
Beginning in 1996, Federal processor permits will be issued for the
entire calendar year rather than for a semiannual period. As a result,
Federal processor permits issued in 1996 will be effective for the
period January 1, 1996, through December 31, 1996. Regulations at
Sec. 677.4(b)(1) and (c)(1) will be revised to indicate that the
Federal processor permits are issued annually and regulations at
Sec. 677.4(e) will be revised to indicate that the duration of an
issued Federal processor permit is for the period January 1 through
December 31. Issuance of Federal processor permits will not depend upon
payment of past due Research Plan fees. Regulations at Sec. 677.4(c)(2)
are revised to remove language requiring payment of Research Plan fees
as a condition of Federal processor permit issuance.
NMFS intends to refund in its entirety the $5.6 million collected
under the Research Plan and the interest earned on fee payments
deposited in the Observer Fund. Refunds will be issued to Research Plan
processors using a procedure set forth in a new paragraph at
Sec. 677.6(g). Reference to refunds at Sec. 677.6(d)(3)(ii) is no
longer applicable and is removed.
NMFS collected fees only from processors. NMFS did not collect fees
directly from fishermen and does not have the necessary information to
provide refunds to fishermen. NMFS expects processors to refund to
fishermen any Research Plan fees collected from fishermen. NMFS
encourages fishermen who paid Research Plan fees to one or more
processors to coordinate directly with those processors to obtain their
portion of the Research Plan refund.
Classification
The Assistant Administrator for Fisheries, NOAA (AA) finds that
relieving certain conditions specified at Sec. 677.4(b)(1), (c), and
(e) for processor permit issuance and at Sec. 677.6 (b) and (d) for
1995 fee assessments removes a regulatory burden. Given that the
Research Plan has not been fully
[[Page 13783]]
implemented and that the industry did not receive any observer services
for their paid fees, NMFS should return all fees paid, including any
interest accrued, and amounts for late payment as soon as possible. The
AA finds good cause to waive the requirement to provide prior notice
and the opportunity for public comment, pursuant to authority set forth
at 5 U.S.C. 553(b)(B). To the extent that NMFS is returning Research
Plan fees to those who are entitled to those fees, opportunity for
comment is unnecessary. NMFS finds that it would be contrary to the
public interest to delay these refunds further in order to provide
prior notice and opportunity to comment on the procedural aspects of
this rule. Such a delay may cause economic injury to persons entitled
to a refund. Similarly, because this interim final rule relieves
restrictions listed above, the AA finds that this rule, as authorized
by 5 U.S.C. 553(d)(1), may be made effective upon filing for public
inspection at the Office of the Federal Register. Comments must be
received on or before April 29, 1996, (See ADDRESSES).
This rule contains collection-of-information requirements subject
to the Paperwork Reduction Act. The collections of this information
have been approved by the Office of Management and Budget, OMB control
numbers 0648-0206 (Processor Permit Application) and 0648-0280 (dispute
resolution process). The time estimate for documentation of disputed
bills is 1 hr per response. This final rule relieves a reporting burden
by changing the Federal processor permit application authorized under
Sec. 677.4 from a semiannual to an annual requirement. The annual
application process will reduce by 50 percent the total burden hours
associated with the issuance of Federal processor permits and result in
an estimated total annual reporting burden equal to about 200 hours for
an estimated 400 Research Plan processors who applied for a Federal
processor permit to date in 1996.
No environmental consequences are anticipated beyond those already
analyzed in the environmental assessment (EA) prepared for the Research
Plan and therefore this interim final rule is categorically excluded
from the requirement to prepare an EA in accordance with NAO 216-6.
This interim final rule has been determined to be not significant
for purposes of E.O. 12866.
List of Subjects in 50 CFR Part 677
Fisheries, Reporting and recordkeeping requirements.
Dated: March 22, 1996.
Gary Matlock,
Program Management Officer, National Marine Fisheries Service
For the reasons set out in the preamble, 50 CFR part 677 is amended
as follows:
PART 677--NORTH PACIFIC FISHERIES RESEARCH PLAN
1. The authority citation for 50 CFR part 677 continues to read as
follows:
Authority: 16 U.S.C. 1801 et seq.
2. In Sec. 677.4, paragraphs (b)(1), (c)(1), (c)(2), and (e) are
revised to read as follows:
Sec. 677.4 Permits.
* * * * *
(b) * * *
(1) The year for which the permit is requested.
* * * * *
(c) Issuance. (1) Permits required under this section will be
issued annually by the Regional Director.
(2) The Regional Director will issue a permit required under
paragraph (a) of this section upon receipt of a complete application.
Upon receipt of an incomplete or improperly completed application, the
Regional Director will notify the applicant of the deficiency. No
permit will be issued to an applicant until a complete application is
submitted.
* * * * *
(e) Duration. The processor permit issued by the Regional Director
will continue in full force and effect through December 31, of the year
for which it is issued, or until it is revoked, suspended, or modified
under part 621 (Civil Procedures) of this chapter.
* * * * *
3. In Sec. 677.6, the heading to paragraph (b)(1) is revised,
paragraph (b)(2) is revised, the heading for paragraph (d) is revised,
paragraph (d)(3)(ii) is removed and reserved, and a new paragraph (g)
is added to read as follows:
Sec. 677.6 Research Plan fee.
* * * * *
(b) * * *
(1) Fee assessments applicable from January 1, 1995, through August
31, 1995.
* * * * *
(2) Fee assessments from September 1, 1995, through December 31,
1996. Processors of Research Plan fisheries will not be assessed fees
based on catch from Research Plan fisheries that is retained during the
period September 1, 1995, through December 31, 1996.
* * * * *
(d) Credit for observer coverage costs incurred from January 1,
1995, through August 31, 1995.
* * * * *
(g) Refund of the North Pacific Fishery Observer Fund (Observer
Fund)--(1) General. All monies in the Observer Fund will be refunded
according to the refund procedure set out in paragraph (g)(2) of this
section. The sum of all amounts refunded cannot exceed the amount
available in the Observer Fund. The monies in the Observer Fund
include: Fee assessment payments as specified in paragraph (c) of this
section, assessed late charges in the form of interest and
administrative charges for late payment of fee assessments as specified
in paragraph (f) of this section, and accrued interest. Until the time
of refund, monies will remain deposited in the Observer Fund earning
interest. Without exception, full disbursement of the Observer Fund
will occur to refund Research Plan processors. NMFS will not retain any
funds either to reimburse programs for costs incurred to implement the
Research Plan or to issue refunds.
(2) Refund procedure--(i) Identification of the Research Plan
refund recipient. Research Plan fees will be refunded to the person who
was billed and made payment to NMFS. The recipient of the refund and
the refund amount will be based on Federal processor permit records and
Research Plan billing with the following exceptions:
(A) If a refund recipient has died, the refund will be issued to
the recipient's estate;
(B) If a refund recipient is a corporation and has gone bankrupt,
successor-in-interest guidelines, as set forth in applicable state law,
will be followed.
(ii) Calculation of the refund amount--(A) Principal portion. All
payment amounts as assessed under paragraphs (c) and (f) of this
section, and paid by processors, will be verified by NMFS in the
Research Plan billing records and will constitute the principal portion
of the refund.
(B) Interest portion--(1) Basis of calculation and calculation
formula. The interest earned by the principal portion invested in the
Observer Fund will be distributed among paying processors based on
their proportional contribution to the Observer Fund. Contributions are
based on two factors: The processor's total payment amount and the
number of days the processor's total payment amount was on deposit. The
interest portion of the refund will be calculated as follows:
[[Page 13784]]
(i) A processor's total payment amount multiplied by the number of
days the processor's total payment amount was on deposit equals the
processor's contribution (the number of days is based on the payment
receipt date at the First National Bank of Chicago) (for example, if a
processor's total payment amount was $20,000 and this amount was on
deposit for 150 days, then the processor's contribution is $20,000 x
150 = $3,000,000);
(ii) A processor's contribution divided by the total amount of all
processor contributions multiplied by 100 equals the processor's
percent contribution to the Observer Fund [for example, if the total
amount of all processor contributions is $750,000,000 ($5,000,000 x 150
days), then the processor's percent contribution is $3,000,000/
$750,000,000 x 100 = 0.4%];
(iii) A processor's percent contribution multiplied by the total
amount of interest earned by the Observer Fund equals the processor's
interest portion of the Research Plan refund (for example, if the total
amount of interest earned by the Observer Fund is $200,000, then the
processor's interest portion of the Research Plan refund is 0.4% x
$200,000 = $800).
(2) Interest calculation method. This method is necessary to ensure
that the interest that is refunded does not exceed the interest amount
that was earned and is available in the Observer Fund. Due to the
administrative process used to invest the funds, certain delays existed
between the date a processor made payment and the actual investment
date. The date of payment is not the date the deposits were invested.
Therefore, using the date of payment to calculate interest earned on an
individual processor's payments will not accurately reflect the
interest that was actually earned. NMFS has determined that the
calculation specified in paragraph (g)(2)(ii)(B)(1) of this section is
a fair and equitable way to distribute the interest earned on Observer
Fund investments among the processors that made Research Plan payments.
(3) Disinvestment of the Observer Fund. The interest portion of the
refund cannot be calculated until Observer Fund investments are
withdrawn. Withdrawal of investments will occur just prior to the
earliest possible issuance of refund checks in order to avoid
unwarranted loss of interest. The actual amount of a processor's
interest portion of the refund will be evident upon receipt of the
refund check.
(iii) Notification to processors of refund amounts. NMFS will
notify each processor by certified mail of a preliminary determination
of the principal portion of the refund amount. The sum of the payment
amounts received for each processor equals the principal portion of the
Research Plan refund. Final determination of a processor's principal
portion is subject to resolution of all disputes received under
paragraph (g)(2)(iv) of this section. The notification letter to each
processor will include the following itemized reference information:
(A) Payment amount received;
(B) Payment receipt date at the First National Bank of Chicago;
(C) Check number;
(D) Research Plan bill number to which the payment was applied,
and;
(E) The fishery category to which the payment was applied.
(iv) Dispute process. A processor that disagrees with any
determination of the principal portion of the refund amount as
described in paragraph (g)(2)(ii)(A) of this section must sign the
certified notification letter and return it to NMFS within 30 days of
receipt of the certified letter, accompanied by documentation
supporting the disputed principal portion of the refund amount.
(A) NMFS review. NMFS will review letters and documentation
received under paragraph (g)(2)(iv); and
(B) NMFS determination--(1) If NMFS determines an error exists in
the calculation of the principal portion of refund amounts, NMFS will
correct such calculations and notify the affected processors of its
determination; or
(2) If NMFS determines no error exists in the calculation of the
principal portion of refund amounts, NMFS will notify the affected
processors of its determination.
(v) Disbursement of refund checks. Once all disputes received under
paragraph (g)(2)(iv) of this section have been resolved, NMFS will
authorize and provide necessary documentation for refund checks to be
disbursed by the United States Treasury.
[FR Doc. 96-7612 Filed 3-25-96; 4:31 pm]
BILLING CODE 3510-22-F
Complete official Federal Register PDF
FR Doc. 96-7604 Louisiana: Final Authorization of State Hazardous Waste Management Program Revisions
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13777-13782]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7604]
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ENVIRONMENTAL PROTECTION AGENCY
40 CFR Part 271
[FRL-5447-6]
Louisiana: Final Authorization of State Hazardous Waste
Management Program Revisions
AGENCY: Environmental Protection Agency.
ACTION: Immediate final rule.
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SUMMARY: The State of Louisiana has applied for final authorization of
revisions to its hazardous waste program under the Resource
Conservation and Recovery Act (RCRA). The Environmental Protection
Agency (EPA) has reviewed Louisiana's application and determined that
its hazardous waste program revision satisfies all of the requirements
necessary to qualify for final authorization. Unless adverse written
comments are received during the review and comment period provided for
public participation in this process, EPA intends to approve
Louisiana's hazardous waste program revision subject to the authority
retained by EPA in accordance with Hazardous and Solid Waste Amendments
of 1984. Louisiana's application for the program revision is available
for public review and comment.
DATES: This authorization for Louisiana shall be effective June 11,
1996 unless EPA publishes a prior Federal Register (FR) action
withdrawing this immediate final rule. All comments on Louisiana's
program revision application must be received by the close of business
May 12, 1996.
ADDRESSES: Copies of the Louisiana program revision application and the
materials which EPA used in evaluating the revision are available for
inspection and copying from 8:30 a.m. to 4 p.m., Monday through Friday
at the following addresses: Louisiana Department of Environmental
Quality, H.B. Garlock Building, 7290 Bluebonnet, Baton Rouge, Louisiana
70810, phone (504) 765-0617 and U.S. EPA, Region 6 Library, 12th Floor,
First Interstate Bank Tower at Fountain Place, 1445 Ross Avenue,
Dallas, Texas 75202-2733, phone (214) 665-6444. Written comments,
referring to Docket Number LA-95-5, should be sent to Alima Patterson,
Region 6 Authorization Coordinator, Grants and Authorization Section
(6PD-G), U.S. EPA Region 6, First Interstate Bank Tower at Fountain
Place, 1445 Ross Avenue, Dallas, Texas 75202-2733, (214) 665-8533.
FOR FURTHER INFORMATION CONTACT: Alima Patterson, Region 6
Authorization Coordinator, Grants and Authorization Section (6PD-G),
U.S. EPA Region 6, First Interstate Bank Tower at Fountain Place, 1445
Ross Avenue, Dallas, Texas 75202-2733, (214) 665-8533.
SUPPLEMENTARY INFORMATION:
A. Background
States authorized under section 3006(b) of the Resource
Conservation and Recovery Act (``RCRA or the Act''), 42 U.S.C. 6926(b),
have a continuing obligation to maintain a hazardous waste program that
is equivalent to, consistent with, and no less stringent than the
Federal hazardous waste program. Revisions to State hazardous waste
programs are necessary when Federal or State statutory or regulatory
authority is modified or when certain other changes occur. Most
commonly, State program revisions are necessitated by changes to EPA's
regulations in 40 CFR parts 124, 260-268, and 270.
B. Louisiana
Louisiana initially received final authorization on February 7,
1985 (see 50 FR 3348), to implement its base hazardous waste management
program. Louisiana received authorization for revisions to its program
on January 29, 1990 (see 54 FR 48889), October 25, 1991 (see 56 FR
41958), and Corrections at (56 FR 51762), effective January 23, 1995
(see 59 FR 55368-55371), and Corrections at (see 60 FR 18360), March 8,
1995 (see 59 FR 66200) and January 2, 1996 (see 60 FR 53707). On
December 11, 1995, Louisiana submitted a final complete program
revision application for additional program approvals. Today, Louisiana
is seeking approval of its program revision in accordance with 40 CFR
271.21(b)(3).
In 1983, the Louisiana legislature adopted Act 97, which amended
and reenacted Louisiana Revised Statutes 30:1051 et seq., the
Environmental Affairs Act. This Act created the Louisiana Department of
Environmental Quality (LDEQ), which has lead agency jurisdictional
authority for administering the RCRA Subtitle C program in the State.
EPA reviewed Louisiana's application and made an immediate final
decision that Louisiana's hazardous waste program revision satisfies
all of the requirements necessary to qualify for final authorization.
Consequently, EPA intends to grant authorization for the additional
program modifications to Louisiana. The public may submit written
comments on EPA's proposed final decision until May 12, 1996. Copies of
LDEQ's application for program revision are available for inspection
and copying at the locations indicated in the ADDRESSES section of this
document.
Approval of LDEQ's program revision shall become effective 75 days
from the date this notice is published, unless an adverse written
comment pertaining to the State's revision discussed in this notice is
received by the end of the comment period. If an adverse written
comment is received, EPA will publish either (1) a withdrawal of the
immediate final decision or (2) a notice containing a response to the
comment which either affirms that the immediate final decision takes
effect or reverses the decision.
Louisiana's program revision application includes State regulatory
[[Page 13778]]
changes that are equivalent to the rules promulgated in the Federal
RCRA implementing regulations in 40 CFR parts 124, 260-262, 264, 265,
266, and 270 that were published in the FR from July 1, 1987, through
June 30, 1993. This proposed approval includes the provisions that are
listed in the chart below. This chart also lists the State analogs that
are being recognized as equivalent to the appropriate Federal
requirements.
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Federal citation State analog
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1. Identification and Listing Louisiana Revised Statutes (LRS) 30: Sec.
of Hazardous Waste; and 2180 et seq, as amended June 14, 1991,
Designation, Reportable effective June 14, 1991; Louisiana
Quantities, and Notification Hazardous Waste Regulations (LHWR) Sec.
(Amendment to the Bevill 4901.C, as amended March 20, 1995;
Exclusion), [53 FR 35412] effective March 20, 1995, Sec. 4901.G
September 13, 1988 Table 6, as amended September 20, 1995;
(Checklist 53). effective September 20, 1995, Sec.
105.D17.A-F, as amended September 20,
1994; effective September 20, 1994.
2. Permit Modifications for LRS 30: 2180 et seq, as amended June 14,
Hazardous Waste Management 1991, effective June 14, 1991; LHWR Sec.
Facilities, [53 FR 37912] 323.B as amended September 20, 1995;
September 28, 1988. effective September 20, 1995, Sec.
(Checklist 54). 1513.D, as amended November 20, 1992;
effective November 20, 1992, Sec.
3511.C, as amended March 20, 1995;
effective March 20, 1995, Sec. 3523.D,
as amended November 20, 1992; effective
November 20, 1992, Sec. 4381.C, as
amended March 20, 1995; effective March
20, 1995, Sec. 4391.D, as amended July
20, 1995, effective July 20, 1992, Sec.
109, as amended October 20, 1994;
effective October 20, 1994 Sec. 307.A,
as amended March 20, 1995; effective
March 20, 1995, Sec. 309.L.2, as
amended September 20, 1994; effective
September 20, 1994, Sec. 321.B.C, as
amended March 20, 1995; effective March
20, 1995, Sec. 322, as amended
September 20, 1995; effective September
20, 1995, Sec. 3115.A, B, as amended
November 20, 1992; effective November
20, 1992, and Sec. 2707.D, as amended
July 20, 1990; effective July 20, 1990.
3. Identification and Listing LRS 30: 2180 et seq, as amended June 14,
of Hazardous Waste; Removal 1991, effective June 14, 1991; LHWR Sec.
of Iron Dextran from the 4901.F.Table 4, as amended September
List of Hazardous Wastes, 20, 1994; effective September 20, 1994,
[53 FR 43878] October 31, Sec. 3105.Table 1, as amended September
1988. (Checklist 56). 20, 1995; effective September 20, 1995,
Sec. 4901.E.Table 3, as amended
September 20, 1994; effective September
20, 1994, Secs. 3105 Table 1, and
4901.E, as amended September 20, 1995,
effective September 20, 1995, and LHWR
Chapter 31.Table 1, as amended September
20, 1994; effective September 20, 1994.
4. Identification and Listing LRS 30: 2180 et seq, as amended June 14,
of Hazardous Waste; Removal 1991, effective June 14, 1991; LHWR Sec.
of Strontium Sulfide From 4901.F.Table 4, as amended September
the List of Hazardous Waste, 20, 1994; effective September 20, 1994,
[53 FR 43881] October 31, Sec. 3105.Table 1, as amended September
1988. (Checklist 57]. 20, 1995; effective September 20, 1995,
Sec. 4901.E.Table 3, as amended
September 20, 1994; effective September
20, 1994, Secs. 3105 Table 1, and
4901.E, as amended September 20, 1995,
effective September 20, 1995, and LHWR
Chapter 31.Table 1, as amended September
20, 1994; effective September 20, 1994.
5. Changes to Interim Status LRS 30: 2180 et seq, as amended June 14,
Facilities for Hazardous 1991, effective June 14, 1991; LHWR Sec.
Waste Management Permits; 105, as amended September 20, 1995;
Procedures for Post-Closure effective September 20, 1995, Sec.
Permitting, [54 FR 9596] 301.B, as amended November 20, 1992;
March 7, 1989. (Checklist effective November 20, 1992, Sec.
61). 323.A, as amended October 20, 1994;
effective October 20, 1994, Sec. 701,
as amended November 20, 1992; effective
November 20, 1992, Sec. 705.A, B, as
amended July 20, 1990; effective July
20, 1990, Sec. 322, as amended
September 20, 1995, effective September
20, 1995, Secs. 109, 305.A, and 503, as
amended October 20, 1994; effective
October 20, 1994, and Sec. 706, as
amended July 20, 1990; effective July
20, 1990, Sec. 4303.A, B, as amended
March 20, 1995; effective March 20,
1995, and Sec. 4305.C-E, as amended
October 20, 1994; effective October 20,
1994.
6. Delay of Closure Period LRS 30: 2180 et seq, as amended June 14,
for Hazardous Waste 1991 effective June 14, 1991; LHWR Secs.
Management Facilities, [54 1519.A-B, and 3511.D, as amended March
FR 33376] August 14, 1989. 20, 1995; effective March 20, 1995, Sec.
(Checklist 64). 3513.A-E, as amended September 20,
1994; effective September 20, 1994,
Secs. 3705.A, 4313, 4381.D.2,
4381.D.2.a-b and 4383.A-E, as amended
March 20, 1995; effective March 20, 1995
Sec. 4401.A.3-4, as amended August 20,
1987; effective August 20, 1987, and
Sec. 322, as amended September 20,
1995; effective September 20, 1995.
7. Reportable Quantity LRS 30: 2180 et seq, as amended June 14,
Adjustment Methyl Bromide 1991, effective June 14, 1991; LHWR Sec.
Production Wastes, [54 FR 4901.C, as amended March 20, 1995;
41402] October 6, 1989. effective March 20, 1995, Chapter 49.App
(Checklist 68). A.Tbl 8-10, as amended September 20,
1995, effective September 20, 1995, Sec.
4901.B.Tbl 1, as amended September 20,
1994; effective September 20, 1994,
Secs. 4901.G.Tbl 6, and 3105, Tbl 1, as
amended September 20, 1995; effective
September 20, 1995.
8. Reportable Quantity LRS 30: 2180 et seq, as amended June 14,
Adjustment (F024 & F025), 1991, effective June 14, 1991; LHWR Sec.
[54 FR 50986] December 11, 4901.C, as amended March 20, 1995;
1989. (Checklist 69). effective March 20, 1995, Chapter 49.App
A.Tbl 8-10, as amended September 20,
1995, effective September 20, 1995, Sec.
4901.B.Tbl 1, as amended September 20,
1995; effective September 20, 1995.
9. Toxicity Characteristics LRS 30: 2180 et seq, as amended June 14,
Revisions, [55 FR 11798] 1991; effective June 14, 1991; LHWR Sec.
March 29, 1990, and Toxicity 105.D.15, as amended September 20,
Characteristics Revisions 1994; effective September 20, 1994, Sec.
(Correction 1), [55 FR 105.D.19, as amended March 20, 1995;
26986] June 29, 1990. effective March 20, 1995, Secs.
(Checklists 74 and 74.1). 105.D.39, and 105.D.40, as amended
September 20, 1994; effective September
20, 1994, Sec. 4903.E.1, and 4903.E.2,
as amended November 20, 1992; effective
November 20, 1992, Sec. 4901.B.Tbl.1,
as amended September 20, 1994, effective
September 20, 1994 Sec. Chapter
49.App.B, as amended September 20, 1995;
effective September 20, 1995, Sec.
2503.N.1, as amended March 20, 1995;
effective March 20, 1995, Sec.
4462.D.1., as amended September 20,
1994; effective September 20, 1994; Sec.
4481.A, as amended April 20, 1991;
effective April 20, 1991, and Chapter
49.App.B, as amended September 20, 1995;
effective September 20, 1995.
10. Listing of 1,1- LRS 30: 2180 et seq, as amended June 14,
Dimethylhydrazine Production 1991, effective June 14, 1991; LHWR Sec.
Waste, [55 FR 18496] May 2, 4901.C, as amended March 20, 1995;
1990. (Checklist 75). effective March 20, 1995, Chapters
49.App.A.Tbl.8, and 4901.G.Tbl.6, as
amended September 20, 1995; effective
September 20, 1995.
[[Page 13779]]
11. Toxicity characteristics; LRS 30: 2180 et seq, as amended June 14,
Hydrocarbon Recovery 1991, effective June 14, 1991; LHWR Sec.
Operations, [55 FR 40834], 105.D.42.a-b, as amended September 20,
October 5, 1990, Correction 1994; effective September 20, 1994.
1, Included on Checklist 80
[56 FR 3978] February 1,
1991, and Correction 2
Includes on Checklist 80,
[56 FR 13406]. (Checklists
80, 80.1, and 80.2).
12. Petroleum Refinery LRS 30: 2180 et seq, as amended June 14,
Primary and Secondary Oil/ 1991, effective June 14, 1991; LHWR Sec.
Water/Solids Separation 4901.B.2-B.2.c.ii, as amended March 20,
Sludge Listings (F037 and 1995; effective March 20, 1995.
F038), [55 FR 46354]
November 2, 1990, and
Correction 1, at [55 FR
51707] December 17, 1980.
(Checklists 81 and 81.1).
13. Wood Preserving Listings, LRS 30: 2180 et seq, as amended June 14,
[55 FR 50450] December 6, 1991, effective June 14, 1991, LHWR
1990. (Checklist 82). Secs. 4901.B Table 1, 4901.G.Table 6,
and 3105. Table 1, as amended September
20, 1994; effective September 20, 1994,
Sec. 105.D.45, as amended March 20,
1995; effective March 20, 1995, Sec.
4901.B.3.a-c.xii, as amended March 20,
1995; effective March 20, 1995, Sec.
535.A-C, as amended March 20, 1995;
effective March 20, 1995, Sec. 109.drip
Pad, as amended October 20, 1994;
effective October 20, 1994, Sec.
1109.E.1.e. & E.1.c.ii, as amended March
20, 1995; effective March 20, 1995, Sec.
1901, as amended December 20, 1992;
effective December 20, 1992, Secs.
2801.A-B, 2803.A-D, 2805.A-P, 2807.A-B,
2809.A-D, and 2804, as amended September
20, 1995; effective September 20, 1995,
Sec. 4431.A & A.3, as amended December
20, 1992; effective December 20, 1992,
and Chapter 49 App. A Table 8, as
amended September 20, 1994; effective
September 20, 1994.
14. Toxicity Characteristic; LRS 30: 2180 et seq, as amended June 14,
Chloroflourocarbon 1991, effective June 14, 1991; LHWR Sec.
Refrigerants, [56 FR 5910] 105.D.,41, as amended September 20,
February 13, 1991. 1994; effective September 20, 1994.
(Checklist 84).
15. Removal of Strontium LRS 30: 2180 et seq, as amended June 14,
Sulifide from the List of 1991, effective June 14, 1991, LHWR Sec.
Hazardous Waste; Technical 4901.F.Table 4, as amended September
Amendment, [56 FR 7567] 20, 1994; effective September 20, 1994,
February 25, 1991, Sec. 3105.Table 1, as amended September
(Checklists 86). 20, 1995, effective September 20, 1995,
Sec. 4901.E.Table 3, as amended
September 20, 1994; effective September
20, 1994, Secs. 3105 Table 1, and
4901.E, as amended September 20, 1995,
effective September 20, 1995, and LHWR
Chapter 31. Table 1, as amended
September 20, 1994; effective September
20, 1994.
16. Organic Air Emission LRS 30: 2180 et seq, as amended June 14,
Standards for Process Vents 1991, effective June 14, 1991; LHWR Sec.
and Equipment Leaks; 1701, as amended July 20, 1991;
Technical Amendment, [56 FR effective July 20, 1991 Secs. 1705.A,
19290] April 26, 1991. and 1709.F.3, as amended September 20,
(Checklist 87). 1994; effective September 20, 1994,
Secs. 1713.B.4.b, and 1719.B.1, as
amended July 20, 1991; effective July
20, 1991, Sec. 1519.B.7, as amended
October 20, 1994; effective October 30,
1994, Secs. 4357.B.3, 4549.B, 4557, and
4559, as amended September 20, 1994;
effective September 20, 1994, Sec.
4565, as amended July 20, 1991;
effective July 20, 1991, Sec. 4589, as
amended July 20, 1992, effective July
20, 1992, Secs. 536.E and 530.D.2, as
amended November 20, 1992; effective
November 20, 1992.
17. Administrative Stay for LRS 30: et seq, as amended June 14, 1991,
K069 Listing, [56 FR 1995] effective June 14, 1991; LHWR Secs.
May 1, 1991. (Checklist 88). 4901.B Table 1 and 4901.C, as amended
September 20, 1994; effective September
20, 1994.
18. Revision to F037 and F038 LRS 30: 2180 et seq, as amended June 14,
Listings, [56 FR 21955] May 1991, effective June 14, 1991; LHWR
1, 1991. (Checklist 89). Secs. 4901.B Table 1 and 4901.C, as
amended September 20, 1994; effective
September 20, 1994.
19. Mining Exclusion III, [56 LRS 30: 2180 et seq, as amended June 14,
FR 27300] June 13, 1991. 1991, effective June 14, 1991; LHWR Sec.
(Checklist 90). 105.D.17, as amended September 20,
1994; effective September 30, 1994.
20. Administrative Stay for LRS 30: 2180 et seq, as amended June 14,
F032, F034, and F035 1991, effective June 14, 1991; LHWR Sec.
Listings, [56 FR 27332] June 4901.B.Table 1, as amended September
13, 1991. (Checklist 91). 20, 1995; effective September 20, 1995,
Sec. 2805.A, as amended December 20,
1992; effective December 20, 1992.
21. Wood Preserving Listing: LRS 30: 2180 et seq, as amended June 14,
Techical Correction, [56 FR 1991, effective June 14, 1991; LHWR Sec.
30192] July 1, 1991. 4901.B.3.b-B.3.b.iv, as amended March
(Checklist 92). 20, 1995; effective March 20, 1995, Sec.
1109.E.1.a-E.1.e, as amended March 20,
1995; effective March 20, 1995, Secs.
2801.A-B, 2803.A-D, 2804, 2805.A-B, E,
M, 2807.A, and 2809.A-C, as amended
September 20, 1995; effective September
20, 1995, Sec. 532.A.3, A.3.n-p, as
amended March 20, 1995; effective March
20, 1995.
22. Exports of Hazardous LRS 30: 2180 et seq, as amended June 14,
Waste; Technical Correction, 1991, effective June 14, 1991; LHWR Sec.
[56 FR 43704] September 4, 1113.D, G, as amended September 20,
1991. (Checklist 97). 1995; effective September 20, 1995.
23. Coke Ovens Administrative LRS 30: 2180 et seq, as amended June 14,
Stay, [56 FR 43754] 1991, effective June 14, 1991; LHWR Sec.
September 5, 1991. 3001.A, as amended September 20, 1995;
(Checklist 98). effective September 20, 1995.
24. Amendments to Interim LRS 30: 2180 et seq, as amended June 14,
Status Standards for 1991, effective June 14, 1991; LHWR Sec.
Downgradient Ground-Water 109, as amended September 20, 1995;
Monitoring Well Locations at effective September 20, 1995, and Sec.
Hazardous Waste Facilities, 4369.A-A.3.d, as amended March 20, 1995;
[56 FR 66365] December 23, effective March 20, 1995.
1991. (Checklist 99).
[[Page 13780]]
25. Liners and Leak Detection LRS 30: 2180 et seq, as amended June 14,
Systems for Hazardous Waste 1991, effective June 14, 1991; LHWR
Land Disposal Units, [57 FR Secs. 307.A-A.3. and 525.B-C, as
3462] January 29, 1992. amended March 20, 1995; effective March
(Checklist 100). 20, 1995, Secs. 322, and 533.B,D, as
amended September 20, 1995; effective
September 20, 1995, and Sec. 527.C-
C.1.d, E, as amended March 20, 1995;
effective March 20, 1995, Sec. 109, as
amended September 20, 1995; effective
September 20, 1995, Secs. 1504.A-D,
1509.B.4, 1529.B.9, 2903.C-F, J-K,
2904.A-B, and 2906.A-C.4, as amended
March 20, 1995; effective March 20,
1995, Secs. 2907.E.2, and 2911.B.2-B.4,
as amended October 20, 1994; effective
October 20, 1994, Sec. 2303.C-C.5,J, L,
as amended September 20, 1994; effective
September 20, 1994, Secs. 2304.A-B,
2306.A-C.4, 2309.C, 2503.C-H, L-L.4, M-
M.2, 2405.A-B, 2507.D-D.2, and 2508.A-C-
C.4, as amended March 20, 1995;
effective March 20, 1995, Sec.
2521.B.2, as amended September 20, 1995;
effective September 20, 1995, Secs.
4317.B.3, 4320.A-D, and 4357.B.6, as
amended September 20, 1995; effective
September 20, 1995, Secs. 4462.A, C-
C.2, F-G, 4449.A-C, 4451.A-C.4, 4455.B-
B.2, 4457.B-B.3, 4476, 4474.A-C, 4472.A-
C.4, 4470, 4512.A, C-C.2, F-I, 4497.A-C,
4498.A-C.4, and 4502.A-C, as amended
March 20, 1995; effective March 20,
1995, and Sec. 2521,B.2, as amended
September 20, 1995; effective September
20, 1995.
26. Used Oil Filter LRS 30: 2180 et seq, as amended June 14,
Exclusion, [57 FR 21524] May 1991, effective June 14, 1991; LHWR Sec.
20, 1992. (Checklist 104). 105.D, as amended September 20, 1995;
effective September 20, 1995.
27. Coke By-Product LRS 30: 2180 et seq, as amended June 14,
Exclusion, [57 FR 27880] 1991, effective June 14, 1991 LHWR Secs.
June 22, 1992. (Checklist 105.D, and 3001.A, as amended September
105). 20, 1995; effective September 20, 1995.
28. Used Oil Filter LRS 30: 2180 et seq, as amended June 14,
Exclusion; Technical 1991, effective June 14, 1991 LHWR Sec.
Correction, [57 FR 29220] 105.D.46, as amended March 20, 1995;
July 1, 1992. (Checklist effective March 20, 1995.
107).
29. Toxicity Characteristics LRS 30: 2180 et seq, as amended June 14,
Revision; Technical 1991, effective June 14, 1991 LHWR Secs.
Correction, [57 FR 30657] 105.D.16, 105.D.19, and 4512.D.1, as
July 10, 1992. (Checklist amended March 20, 1995; effective March
108). 20, 1995, and Sec. 109 Haz.Waste.2.a,
as amended October 20, 1994; effective
October 20, 1994.
30. Coke By-Product Listings, LRS 30: 2180 et seq, as amended June 14,
[57 FR 37284] August 18, 1991, effective June 14, 1991 LHWR Sec.
1992. (Checklist 110). 4901.B.Table 1, as amended September 20,
1994; effective September 20, 1994, and
Secs. 105.D.44, 4901.C, and
4901.G.Table 6, as amended March 20,
1995; effective March 20, 1995.
31. Recycled Used Oil LRS 30: 2180 et seq, as amended June 14,
Management Standards, [57 FR 1991, effective June 14, 1991; LHWR
41566] September 10, 1992. Secs. 109 used oil, 109 haz.waste.2.e-
(Checklist 112). e.ii, and 4105.C.3-C.4, as amended March
20, 1995; effective March 20, 1995, Sec.
4105.B.4, as amended September 20,
1994; effective September 20, 1994,
Secs. 4105.E, 3001.B.1, 4001, 4003-
4003.B.2.c, 4003.C, 4003.D-D.2, 4003.E-
E.4, 4003.F, 4003.G, 4003.H, 4003.I,
4005, 4005.Table 1, 4007.A, 4007.B,
4007.C-C.2.c, 4009.A-A.4, 4009.B-B.5,
4011.A, 4011.B, 4013-4013.D.4, 4015.A,
4015.B, 4015, 4017-C.3, 4019.A, 4019.B,
4021.B-B.2, 4023.A, 4023.B, 4025.A-A.4,
4025.B, 4025.C, 4025.D-D.5, 4027.A,
4027.B, 4029.A, 4029.B, 4083.B, 4031.A-
A.4, 4031.B, 4031.C-C.5, 4033.A, 4033.B-
B.2, 4033.C-C2, 4033.D, 4035, 4035.A,
4035.B, 4035.C-C2. 4035.D-D.2, 4035.E-
F.2, 4035.G-G.2, 4035.H-H.4, 4037.A-B.5,
4037.C, 4037.D, 4039, 4041.A-A.2, 4041.B-
B.5, 4043.A, 4043.B, 4045.A-A.5,
4045.A.6.a-A.6.B, 4045.b-b.6.i.VII,
4047.a, 4047.B-B.2, 4047.C-C.2, 4049-
4049.H.2.b, 4051-4051.B.3, 4053.A-C,
4055-4055.B.3, 4057, 4059, 4061.A-A.2,
4061.B-B.5, 4061.C, 4063.A-B, 4065.A,
4065.A, 4067.A, 4067.B-B.3, 4067.C-D,
4071.A-B, 4073.A-B, 4075, 4079-4079.B,
4085.A-C, 4087.A-B, 4089, 4091.A,
4091.B, 4093, 105.D.46, 105.D.47,
1501.C.2, 105.D.4, 4001 ``used oil'',
4003.B.2, 4003.B.2.b, 4003.B.2.c,
4003.C, 4003.C.1, 4003.C.1.a,
4003.C.1.b, 4003.C.2, 4003.C.3,
4003.D.1, 4003.E.3.b, 4003.E.4, 4003.I,
4005.Table 1, note, 4007.C.3, 4011.A,
4013, 4015, 4015.A, 4015.B, 4015.C,
4025.A.4, 4025.D.4, 4029.A, 4029.B,
4031.B, 4031.B, 4035, 4035.D.1.b,
4035.D.1.c, 4043.A, 4045.B.6.h.iii,
4049, 4049.A, 4049.C.1.a, 4049.C.2,
4061.B.1, 4069-4069.G.4, 4077.A-C.4,
4081.A-B, 4083.A-B, and 4085.A, as
amended March 20, 1995, effective March
20, 1995.
32. Financial Responsibility LRS 30: 2180 et seq., as amended June 14,
for Third-Party Liability, 1991, effective June 14, 1991; LHWR
Closure and Post-Closure, Secs. 3703.A.8, 3707.F.10, 4403.E.10,
[57 FR 42832] September 16, 4407.E.11, as amended July 20, 1992;
1992, [53 FR 33938], effective July 20, 1992, Secs. 4411.a-
September 1, 1988, and [56 b.7.c, 4411.F.6, 4411.G-G.3, 4411.H-H.5,
FR 30200] July 1, 1991. 4411.I-I.4, 4411.J-J.4, 4411.K, as
(Checklists 113, 113.1, and amended May 20, 1993; effective May 20,
113.2). 1993, Secs. 3719.B, 3719.F-G, 3719.H.1-
H.2, 3719.L, 3719.M.1-2, 3719.N.1-2, and
4399.A.8, as amended July 20, 1992;
effective July 20, 1992, Secs. 3719.I,
1.b.iv, and 3719J.2.d, as amended March
20, 1995; effective March 20, 1995, and
Sec. 3719.K, as amended July 20, 1992;
effective July 20, 1992.
33. Chlorinated Toluene LRS 30: 2180 et seq., as amended June 14,
Production Waste Listing, 1991, effective June 14, 1991; LHWR
[57 FR 47376] October 15, Secs. 4901.C.Table 2, and 4901.G.Table
1992. (Checklist 115). 6, as amended March 20, 1995; effective
March 20, 1995.
34. ``Mixture'' and ``Derived- LRS 30: 2180 st seq., as amended June 14,
From'' Rules; Response to 1991, effective June 14, 1991; LHWR
Court Remand, [57 FR 7628] Secs. 109.haz. waste, 109.haz. waste.1,
March 3, 1992, [57 FR 23062] 109.haz. waste 2, and 109.haz.
June 1, 1992, and [57 FR waste.2.a, as amended October 20, 1994;
49287] October 20, 1992. effective October 20, 1994, Sec.
(Checklists 117A, 117.A.1, 109.haz. waste.2.c, as amended March 20,
and 117A.2. 1995; effective March 20, 1995, Sec.
109.haz. waste.2.d, as amended October
20, 1994; effective October 20, 1994,
Secs. 4905.A.1, 4905.A.2, 4905.A.3,
49805.A.4, and 4905.A.5, as amended July
20, 1992; effective July 20, 1992, Secs.
109.haz. waste.3, 109.haz. waste.3.a,
109.haz. waste.b, 109.haz.waste 3.c,
109.haz. waste.4, and 109.haz. waste.5,
as amended October 20, 1994; effective
October 20, 1994, Secs. 105.D.33,
105.D.33.a, and 105.D.33.b, as amended
September 20, 1994; effective September
20, 1994, Sec. 105.D.33.C, as amended
March 20, 1995; effective March 20,
1995, and Secs. 109.haz. waste.6,
109.haz. waste.6.a, and 109.haz.
waste.6.b, as amended October 20, 1994;
effective October 20, 1994.
[[Page 13781]]
35. Toxicity Characteristic LRS 30: 2180 et seq., as amended June 14,
Revision, [57 FR 23062] June 1991, effective June 14, 1991; LHWR
1, 1992. (Checklist 117B). Secs. 105.D.16, 105.D.19, and 4512.D.1,
as amended March 230, 1995; effective
March 20, 1995, and Sec. 109
haz.waste.2.a, as amended October 20,
1994; effective October 20, 1994.
36. Liquids in Landfills II, LRS 30: 2180 et seq., as amended June 14,
[57 FR 54452] November 18, 1991, effective June 14, 1991; LHWR
1992. (Checklist 118). Secs. 1519.C.3, 2515.A.2, 2515.B, 2515.
C.1.b, 2515.F, 2515.F.1, 2515.F.1.a,
2515.F.1.b-c, 2515.F.2, 2515.F.2.a-b,
2515.E, 2515.E.1-2, 2519.B-C, 4313.F.3,
4507.A.2, 4507.B, 4507.C.1.b, 4507.F,
4507.F.1, 4507.F.1.a-c, 4507.F.2,
4507.F.2.a-b, 4507.G, 4507.G.2, 4511.B,
and 4511.C, as amended March 20, 1995;
effective March 20, 1995.
37. Toxicity Characteristic LRS 30: 2180 et seq., as amended June 14,
Revision; TCLP, [57 FR 1991, effective June 14, 1991; LHWR
55114] November 24, 1992, Secs. Chapters 49, App.B,8.2, 49,
and [58 FR 6854] February 2, App.B,8.2.2, 49, App.B,8.2.2.5, 49
1993. (Checklists 119 and App.B,8.2.2.5.1, 49, App.B,8.2.2.5.2,
119.1). 49, App.B,8.2.2.5.3, 49,
App.B,8.2.2.5.4, and 49, App.B.8.4, as
amended September 20, 1995.
38. Wood Preserving; LRS 30: 2180 et seq., as amended June 14,
Amendments to Listings and 1991, effective June 14, 1991; LHWR Sec.
Technical Requirements, [57 4901.B. Table 1, as amended September
FR 61492] December 24, 1992. 20, 1994; effective September 20, 1994,
(Checklist 120). Sec. 105.D.44, as amended March 20,
1995; effective March 20, 1995,
4901.B.Table 1, as amended September 20,
1994; effective September 20, 1994, Sec.
2801.A, as amended December 20, 1992;
effective December 20, 1992, Secs.
2804, 2804.A-B, 2805.C.3, 2805.I,
2803.A, 2803.B, 2805.A.4, 4591, 2805 J,
2805.C, 2805.B, and 2805.C, as amended
September 20, 1995; effective September
20, 1995.
39. Corrective Action LRS 30:2180 et seq, as amended June 14,
Management Units and 1991, effective June 14, 1991; LHWR
Temporary Units; Corrective Secs. 109, 109 ``landfills'', 109
Action Provisions Under ``misc. unit'', 109 ``remediation
Subtitle C, [58 FR 8658] waste'', 4301.C, 3322.B, 2601.A,
February 16, 1993. 2601.A.1-2, 2601.B.1, 2601.B.1.a-b,
(Checklist 121). 2601.B.2, 2601.C, 2601.C.1-7, 2601.D,
2601.E, 2601.E.1-3, 2601.E.3.a-b,
2601.E.4, 2601.E.4a, 2601.e.4.a.i,
2601.E.4.a.ii, 2601.E.4.b, 2601.E.4.b.i-
iii, 2601.E.4.c, 2601.E.4.c.i, ii, iii,
iv, v, and vi, 2601.E.4.d, 2601.F,
2601.G, 2601.H, 2603.A-B, 2603.B.1-2,
2603.C, 2603.C.1-7, 2603 D, and 2603.E-
G, as amended March 20, 1995, effective
March 20, 1995, Sec. 109.Interim
Status, as amended October 20, 1994;
effective October 20, 1994, Secs. 105,
and 4301.A & C, as amended September 20,
1994; effective September 20, 1994, and
Sec. 4307, as amended March 20, 1984;
effective March 20, 1984.
40. Recycled Used Oil LRS 30: 2180 et seq, as amended June 14,
Management Standards; 1991, effective June 14, 1991; LHWR
Technical Amendments and Secs. 109 used oil, 109 haz. waste.2.e-
Corrections, [58 FR 26420] e.ii, and 4105.C.3-C.4, as amended March
May 3, 1993, and [58 FR 20, 1995; effective March 20, 1995, Sec.
33341] June 17, 1993. 4105.B.4, as amended September 20,
(Checklists 122 and 122.1). 1994; effective September 20, 1994,
Secs. 4105.E, 3001.B.1, 4001, 4003-
4003.B.2.c, 4003.C, 4003.D-D.2, 4003.E-
E.4, 4003.F, 4003.G, 4003.H, 4003.I,
4005, 4005.Table 1, 4007.A, 4007.B,
4007.C-C.2.c, 4009.A-A.4, 4009.B-B.5,
40011.A, 4011.B., 4013-4013.D.4, 4015.A,
4015.B, 4015, 4017-C.3, 4019.A, 4019.B,
4021.A, 4021.B-B.2, 4023.A, 4023.B,
4025.A-A.4, 4025.B, 4025.C, 4025.D-D.5,
4027.A, 4027.B, 4029.A, 4029.B, 4083.B,
4031.A-A.4, 4031.B, 4031.C-C.5, 4033.A,
4033.B-B.2, 4033.C-C.2, 4033.D, 4035,
4035.A, 4035.B, 4035.C-C.2, 4035.D-D.2,
4035.E-F.2, 4035.G-G.2, 4035.H-H.4,
4037.A-B.5, 4037.C, 4037.D, 4039, 4041.A-
A.2, 4041.B-B.5, 4043.A, 4043.B, 4045.A-
A.5, 4045.A.6.a-A.6.B, 4045.b-b.6.i.VII,
4047.a, 4047.B-B.2, 4047.C-C.2, 4049-
4049.H.2.b, 4051-4051.B.3, 4053.A-C,
4055-4055.B.3, 4057, 4059, 4061, 4061.A-
A.2, 4061.B-B.5, 4061.C, 4063.A-B,
4065.A, 4065.A, 4067.A, 4067.B-B.3,
4067.C-D, 4071.A-B, 4073.A-B, 4075, 4079-
4079.B, 4085.A-C, 4087.A-B, 4089,
4091.A, 4091.B, 4093, 105.D.46,
105.D.47, 1501.C.2, 105.D.4, 4001 ``used
oil'', 4003.B.2, 4003.B.2.b, 4003.B.2.c,
4003.C, 4003.C.1, 4003.C.1.a,
4003.C.1.b, 4003.C.2., 4003.C.3,
4003.D.1, 4003.E.3.b, 4003.E.4., 4003.I,
4005.Table 1, note, 4007,C.3, 4011.A,
4013, 4015, 4015.A, 4015.B, 4015.C,
4025.A.4, 4025.D.4, 4029.A, 4029.B,
4031.B, 4031.B, 4035, 4035.D.1.b,
4035.D.1.c, 4043.A, 4045.B.6.h.iii,
4049, 4049.A, 4049.C.1.a, 4049.C.2,
4061.B.1, 4069-4069.G.4, 4077.A-C.4,
4081.A-B, 4083.A-B, and 4085.A, as
amended March 20, 1995, effective March
20, 1995.
------------------------------------------------------------------------
Louisiana is not authorized to operate the Federal program on
Indian lands, This authority remains with EPA.
C. Decision
I conclude that Louisiana's application for program revision meets
all of the statutory and regulatory requirements established by RCRA.
Accordingly, Louisiana is granted final authorization to operate its
hazardous waste program as revised. Louisiana now has responsibility
for permitting treatment, storage, and disposal facilities within its
borders and for carrying out the aspects of the RCRA program described
in its revised program application, subject to the limitations of the
Hazardous and Solid Waste Amendments. Louisiana also has primary
enforcement responsibilities, although EPA retains the right to conduct
inspections under section 3007 of RCRA and to take enforcement actions
under sections 3008, 3013, and 7003 of RCRA.
D. Codification in Part 272
EPA uses 40 CFR part 272 for codification of the decision to
authorize Louisiana's program and for incorporation by reference of
those provisions of Louisiana's Statutes and regulations that EPA will
enforce under sections 3008, 3013, and 7003 of RCRA. Therefore, EPA is
reserving amendment of 40 CFR part 272, subpart T until a later date.
Compliance with Executive Order 12866
The Office of Management and Budget has exempted this rule from the
requirements of section 3 of Executive Order 12866.
Certification Under the Regulatory Flexibility Act
Pursuant to the provisions of 4 U.S.C. 605(b), I hereby certify
that this authorization will not have a significant economic impact on
a substantial number of small entities. This authorization effectively
suspends the applicability of certain Federal regulations in favor of
Louisiana's program, thereby eliminating duplicative requirements for
handlers of
[[Page 13782]]
hazardous waste in the State. This authorization does not impose any
new burdens on small entities. This rule, therefore, does not require a
regulatory flexibility analysis.
List of Subjects in 40 CFR Part 271
Environmental protection, Administrative practice and procedure,
Confidential business information, Hazardous waste transportation,
Hazardous waste, Indian lands, Intergovernmental relations, Penalties,
Reporting and recordkeeping requirements, Water pollution control,
Water supply.
Authority: This notice is issued under the authority of sections
2002(a), 3006, and 7004(b) of the Solid Waste Disposal Act as
amended 42 U.S.C. 6912(a), 6926, 6974(b).
Dated: March 20, 1996.
Jane N. Saginaw,
Regional Administrator.
[FR Doc. 96-7604 Filed 3-27-96; 8:45 am]
BILLING CODE 6560-50-P
Complete official Federal Register PDF
FR Doc. 96-7603 Withdrawal for State Implementation Plan; State of Missouri
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13776-13777]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7603]
=======================================================================
-----------------------------------------------------------------------
ENVIRONMENTAL PROTECTION AGENCY
40 CFR Part 52
[MO 004-1004; FRL-5447-5]
Withdrawal for State Implementation Plan; State of Missouri
AGENCY: Environmental Protection Agency (EPA).
ACTION: Withdrawal of direct final rule.
-----------------------------------------------------------------------
[[Page 13777]]
SUMMARY: Due to adverse comments, the EPA is withdrawing its direct
final rule approving Missouri's ``Compliance Monitoring Usage'' rule
(10 CSR 10-6.280) as a revision to Missouri's State Implementation
Plan.
EFFECTIVE DATE: This withdrawal is effective March 28, 1996.
FOR FURTHER INFORMATION CONTACT: Joshua A. Tapp at (913) 551-7606.
SUPPLEMENTARY INFORMATION: The EPA's direct final rule approving
Missouri rule 10 CSR 10-6.280 (Compliance Monitoring Usage) was
published in the Federal Register on February 6, 1996 (61 FR 4352).
This document stated that if adverse or critical comments were received
by March 7, 1996, the effective date of the approval would be delayed
and timely notice would be published in the Federal Register. Due to
receiving adverse comments within the comment period, the EPA is
withdrawing the final rule and will address all public comments
received during the comment period in a subsequent action based on the
proposed rule action also published on February 6, 1996 (61 FR 4391).
EPA will not institute a second comment period on this document.
For additional information see the direct final rule and proposed
rule located in the Federal Register citations mentioned above.
List of Subjects in 40 CFR Part 52
Environmental protection, Air pollution control, Carbon monoxide,
Hydrocarbons, Incorporation by reference, Intergovernmental relations,
Lead, Nitrogen dioxide, Ozone, Particulate matter, Reporting and
recordkeeping requirements, Sulfur oxides, Volatile organic compounds.
Dated: March 18, 1996.
Dennis Grams,
Regional Administrator.
[FR Doc. 96-7603 Filed 3-27-96; 8:45 am]
BILLING CODE 6560-50-P
Complete official Federal Register PDF
FR Doc. 96-7592 Exchange Visitor Program
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13760-13762]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7592]
=======================================================================
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UNITED STATES INFORMATION AGENCY
22 CFR Part 514
Exchange Visitor Program
AGENCY: United States Information Agency.
ACTION: Statement of policy.
-----------------------------------------------------------------------
SUMMARY: Since August of 1990, the Agency has continued its oversight
of Summer Travel/Work programs, notwithstanding suggestions that the
Agency is in fact without statutory authority to conduct such programs
as currently configured. The Agency hereby announces its acceptance, as
statutorily sound, of four Summer Travel/Work programs. A two year
period of additional review of a fifth program is also hereby announced
and adopted.
EFFECTIVE DATE: This policy statement is effective March 28, 1996.
FOR FURTHER INFORMATION CONTACT:
Stanley S. Colvin, Assistant General Counsel, United States Information
Agency, 301 4th Street, S.W., Washington, D.C. 20547; Telephone, (202)
619-6829.
SUPPLEMENTARY INFORMATION: In February of 1990, the General Accounting
Office (``GAO'') issued its report entitled ``Inappropriate Uses of
Educational and Cultural Exchange Visas.'' This report specifically
identified Summer Travel/Work programs designated by the Agency for the
past twenty-five years as an example of programs operating outside of
the statutory parameters set forth under the Mutual Educational and
Cultural Exchange Act of 1961 (Fulbright-Hays Act.) As currently
configured, Summer Travel/Work programs permit foreign university
students to enter the United States during their summer months for the
purpose of travel and the pursuit of employment opportunities wherever
they may be found. Approximately 16,000 foreign university students to
charges of inappropriate use of the Exchange Visitor Program and
brought about, in March of 1993, the promulgation of new and
comprehensive regulations governing exchange activities. These
regulations, in turn, resulted in changes to the operations of flagship
exchange programs and other programs of long-standing and venerable
reputation. Underlying this policy and regulatory review was the
Agency's identification of the core components of an exchange activity.
These components--selection, screening, orientation, placement,
monitoring, and the promotion of mutual understanding--define what an
exchange is and whether one is actually occurring.
The use of these components in a review of the Summer Travel/Work
programs demonstrates clearly why the Agency has determined that it
lacks sufficient authority to continue the programs as currently
configured. Today, five organizations conduct Summer Travel/Work
programs pursuant to two substantially different program designs. Four
of the five programs arrange all details of the program including
prearranged employment and accommodations. The remaining program,
accounting for approximately 12,000 of all participants, does not make
advance arrangements for employment or accommodations. Participants in
this program are left to their own devices in securing both employment
and accommodation.
Given the design and operation of these four programs and their
selection, screening, orientation, placement, and monitoring of program
participants, the Agency is satisfied that statutory conformity is
possible. Accordingly, the Agency has determined that these four Summer
Travel/Work programs should be allowed to expand both their number of
program participants and the countries from which they are selected.
Program guidelines have been developed and the four programs currently
selecting, screening, orienting, placing, and monitoring their program
enter each year for this purpose.
The 1990 GAO report was the catalyst for what has become a five
year debate regarding the public diplomacy value of Summer Travel/Work
programs and the Agency's legal authority to continue them under the
aegis of the Fulbright-Hays Act. The debate surrounding these programs
occurs entirely along the fault lines that necessarily underlie the
intersection of law and policy. The legal considerations of this debate
are straightforward, while the policy considerations are less so.
Statutory Considerations
The Immigration and Nationality Act, as amended, sets forth at 8
U.S.C.
[[Page 13761]]
1101(a)(15)(J) an alien's statutory eligibility for entry into the
United States on a J visa. The J visa was created, as a provision of
the Fulbright-Hays Act, to facilitate educational and cultural exchange
activities. Pursuant to the provisions of 1101(a)(15)(J), an exchange
visitor is defined as:
(J) an alien having a residence in a foreign country which he
has no intention of abandoning who is a bona fide student, scholar,
trainee, teacher, professor, research assistant, specialist, or
leader in a field of specialized knowledge or skill, or other person
of similar description, who is coming temporarily to the United
States as a participant in a program designated by the Director of
the United States Information Agency, for the purpose of teaching,
instructing or lecturing, studying, observing, conducting research,
consulting, demonstrating special skills, or receiving training and
who, if he is coming to the United States to participate in a
program under which he will receive graduate medical education or
training, also meets the requirements of section 212(j), and the
alien spouse and minor children of any such alien if accompanying
him or following to join him:
Given this statutory definition of an exchange participant, the GAO
concluded that persons entering the United States to participate in
Summer Travel/Work programs did not fall within the statutory
parameters of the Fulbright-Hays Act and the Immigration and
Nationality Act. Specifically, the GAO opined that the Summer Travel/
Work programs do not require participants to engage in those activities
set forth in both Acts.
In response to this GAO report, the Agency published a Statement of
Policy and Notice in the Federal Register on August 13, 1990 (55 FR
32906.) This notice advised the public and those organizations
facilitating Summer Travel/Work programs that, in light of the GAO
report, a legal and policy review of the programs would be undertaken.
This notice further advised that upon a favorable determination
regarding the foreign policy value of these programs, the Agency would
consider whether regulations could be drafted to conform the programs
with existing law. The notice also advised that, in the alternative,
the Agency might pursue legislation to specifically authorize the
continuation of the programs.
As the debate regarding statutory authority began, the Agency
received two well-reasoned and thorough legal memoranda suggesting the
Agency did in fact possess adequate legal authority to facilitate
Summer Travel/Work programs. These memoranda proved unpersuasive.
Accordingly, the Agency remained unconvinced that it possessed
sufficient statutory authority to facilitate Summer Travel/Work
programs and so advised the Congress by letter dated June 10, 1991.
Additional support for this Agency determination was subsequently
provided by a GAO Office of General Counsel letter opinion dated July
8, 1992. This letter opinion set forth a review of both the statutory
language and legislative history of the Fulbright-Hays Act. The GAO
affirmed its legal opinion set forth in the 1990 report but suggested
that the Agency may be able to bring Summer Travel/Work programs into
statutory compliance, stating:
Notwithstanding our conclusions, given the broad authority an
agency has in promulgating regulations and implementing an activity
conferred upon it by statute, Powell v. Schweiker, 688 F. 2d 1357,
1360-61 11th Cir. 1982), we think USIA could revise its regulations
to establish trainee, summer student travel/work and international
camp counselor programs that are consistent with the J-visa statute.
We emphasize that any determination about the propriety of these
programs must begin with the J-visa statute. If a program involves
individuals whose status is comprehended by the categories set forth
in the J-visa statute, and the statute authorizes the activity that
such individuals will pursue, then the program would be consistent
with the intent of the J-visa statute. These categories and
activities intend an educational or cultural purpose.
Thus, the Agency laid to rest the question of whether it possessed
sufficient statutory authority to continue Summer Travel/Work programs
as currently configured. Having determined that it did in fact lack
such authority, the Agency turned its attention to an examination of
the policy and public diplomacy aspects underlying these activities.
Policy Considerations
Summer Travel/Work programs have been designated by the Agency for
over twenty five years. When these programs began, a strict reciprocal
element mandated that the number of United States students outbound
from the United States approximate the number of foreign students
inbound. Annual consultations with the program's sponsoring
organizations were held and the number of participants for that year
established. An additional requirement limited participation to foreign
students lacking sufficient funds to enter the United States as
tourists. Periodic reminders of this underlying policy were also
transmitted to sponsoring organizations. The policy underlying these
two requirements attempted to (i) ensure no adverse domestic labor
market impact resulted from the activity; and (2) that only those
persons otherwise financially unable to visit the United States would
benefit from this opportunity.
These original policy objectives have been seriously eroded with
the passage of time. Exchange programs facilitated under the auspices
of the Fulbright-Hays Act must, as a matter of policy and law, have an
underlying educational or cultural programmatic component which
promotes the Act's raison d'etre of mutual understanding. Critics
generally suggest that Summer Travel/Work programs do not possess an
educational or cultural exchange component even when such terms are
given their broadest of interpretations. Conversely, advocates of these
programs suggest that ``experiential'' learning, whereby the
participant gains insight into the American lifestyle and culture
through travel and employment, does in fact fulfill the expected
programmatic educational or cultural component.
The Agency's interpretation of what is an acceptable educational or
cultural programmatic component is often quite broad. However, the
Agency has determined that it is unable to adopt the concept of
``experiential'' learning as sufficient legal justification, in and of
itself, for an exchange activity under the Fulbright-Hays Act. To do
so, would suggest that any time an alien enters the country as a
visitor for business or pleasure or as a temporary worker, an
educational or cultural exchange occurs.
In light of this determination, and pursuant to the discussion set
forth below, the Agency is willing, in general, to accept,
``experiential'' programs that otherwise incorporate those programmatic
components common to all other exchange activities designated by the
Agency.
The Components of Exchange
Since 1990, the Agency has engaged in an on-going review of the
policy and public diplomacy considerations underpinning exchange
activities. This review has proven useful in responding participants
have agreed to abide by these guidelines in the absence of program
specific regulations.
Because the remaining Summer Travel/Work sponsor does not operate
its program in the manner that the Agency has determined would meet all
threshold statutory requirements, the Agency is unable to allow this
program to expand in size or scope. Thus, this sponsor will continue to
be limited to the numerical program size at which it operated when
statutory deficiencies were identified in February of 1990. In similar
fashion, this sponsor will also be
[[Page 13762]]
limited to recruitment in only those countries in which it was
operating Summer Travel/Work programs in 1990.
The Agency has agreed to permit the continued operation of this
program under these terms notwithstanding its determination that such a
program design continues to suffer certain statutory deficiencies. As
agreed with the sponsor, the Agency will allow a two year period of
continued study of this matter for the purpose of addressing the policy
considerations arising from possible adverse domestic labor market
impact due to the lack of preplacement. The Agency will seek the advice
and counsel of the U.S. Department of Labor regarding labor market
considerations and will continue this additional period of review until
March 1, 1998.
List of Subjects in 22 CFR Part 514
Cultural exchange programs.
Dated: March 22, 1996.
Les Jin,
General Counsel.
Guidelines for Summer Work/travel Programs
In lieu of specific programmatic regulations governing the
administration of Agency-designated Summer Travel/Work programs, the
guidelines set forth below are hereby adopted by the Agency and
shall be binding upon all newly designated programs and the existing
Summer Travel/Work programs operated by the American Institute for
Foreign Study, YMCA InterExchange, and Camp Counselors USA. These
guidelines may be amended by the Agency at any time and shall remain
in full force and effect until rescinded or Superseded by duly
promulgated regulations.
(a) Introduction. These guidelines shall apply to the above
described program sponsors and their administration of exchange visitor
programs under which foreign university students are afforded the
opportunity to travel and pursue employment in the United States for a
four month period corresponding with their summer vacation.
(b) Participant Selection and Screening. In addition to satisfying
the requirements set forth at Sec. 514.10(a), sponsors shall adequately
screen all program participants and at a minimum:
(1) Conduct an in person interview; and
(2) Ensure that the participant is a bona fide post-secondary
school student is his or her home country; and
(3) Ensure that not more than ten percent of selected participants
have previously participated in a summer travel/work program.
(c) Participant Orientation. Sponsors shall provide participants
prior to their departure from the home country information regarding:
(1) The name and location of their employer; and
(2) Any contractual obligations related to their acceptance of paid
employment in the United States.
(d) Participant Placements. Sponsors shall not facilitate the entry
into the United States of any program participant for whom an
employment position has not been arranged.
(e) Participant Compensation. Sponsors shall ensure that program
participants receive pay and benefits commensurate with those offered
to their American counterparts.
(f) Monitoring. Sponsors shall provide:
(1) All participants with a telephone number which allows 24 hour
immediate contact with the sponsor; and
(2) Appropriate assistance to program participants on an as needed
emergency basis.
(g) Placement report. In lieu of listing the name and address of
the participant's pre-arranged employer on the form IAP-66 sponsors
shall submit to the Agency a report of all participant placements. Such
report shall reflect the participant's name, place of employment, and
the number of times the participant has previously participated in any
summer travel/work program. Such report shall be submitted semi-
annually on January 30th and July 30th of each year and shall reflect
placements made in the preceding six month period.
(h) Unauthorized activities. Placement as domestic employees in
United States households is expressly prohibited.
[FR Doc. 96-7592 Filed 3-27-96; 8:45 am]
BILLING CODE 8230-01-M
Complete official Federal Register PDF
FR Doc. 96-7546 Export of Chemicals From the United States to Colombia; Policy Statement
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13759-13760]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7546]
-----------------------------------------------------------------------
DEPARTMENT OF JUSTICE
21 CFR 1313
[DEA Number 145N]
Export of Chemicals From the United States to Colombia; Policy
Statement
AGENCY: Drug Enforcement Administration (DEA), Justice.
ACTION: Policy statement.
-----------------------------------------------------------------------
SUMMARY: Notice is hereby given that regular customer status for
Colombian customers is being revoked under Section 1018(c)(1) of the
Controlled Substance Import Export Act (CSIE) (21 U.S.C. 971(c)(1)).
Each U.S. exporter is being informed by letter that they must notify
DEA at least 15 days in advance of shipment of certain chemicals listed
in 21 CFR 1310.04, if the shipment is from the United States with an
ultimate destination of Colombia. Moreover, in view of the danger that
chemical shipments may be diverted into the illicit manufacture of
cocaine, a heightened review process will be instituted for such
exports and for transhipments. The exception under Title 21, Code of
Federal Regulations (21 CFR), Section 1313.24, allowing exporters to
notify DEA as late as the day of shipment for transactions between a
``regulated person'' and a ``regular customer'' will not apply to
shipments of certain chemicals to Colombia until further notice.
EFFECTIVE DATE: March 28, 1996.
FOR FURTHER INFORMATION CONTACT:
William Wolf, Chief, Chemical Operations Section, Office of Diversion
Control, Drug Enforcement Administration, Washington, D.C. 20537,
Telephone (202) 307-7204.
SUPPLEMENTARY INFORMATION: The following is a statement of policy by
the Drug Enforcement Administration (DEA) under the Controlled
Substances Act, as amended by the Chemical Diversion and Trafficking
Act of 1988 (CDTA), regarding exports of certain listed chemicals from
the United States to Colombia.
On March 1, 1996, the President of the United States, under the
Annual Certification Procedures Act (22 U.S.C. Section 2291j), moved to
decertify Colombia's status as a nation actively cooperating with the
United States to stem the clandestine manufacture and trafficking of
illegal drugs. This action was taken in response to overwhelming
evidence of rampant drug-related corruption at the highest levels of
the Colombian government. In direct contravention of efforts by
Colombian law enforcement officials and the judicial sector to root out
drug-related corruption, elements of the Colombian government have
systematically undermined and publicly attacked these efforts while
failing to support the efforts of Colombian law enforcement to
strengthen the nation's institutions to combat the destructive effects
of narcotics traffickers.
These problems have also adversely affected the ability of the
Colombian Government to insure that listed chemicals imported from the
U.S. and other sources are not diverted into the illicit manufacture of
cocaine.
At a time when the Colombian government's commitment to combating
narcotic trafficking has deteriorated, as evidenced by shifting the
import permit approvals outside the existing infrastructure for
chemical control, DEA data reveals a 57% increase between 1990 and 1995
in the sales to Colombia of List II solvents that are used in the
clandestine manufacture of cocaine. These sales by U.S. chemical firms,
which were based primarily upon Colombian authorization, are estimated
by the Colombian Director of Customs to comprise 59% of the listed
chemicals now imported into Colombia and, unfortunately, coincide with
continued large scale illicit cocaine production within Colombia. DEA
has concluded, therefore, that all shipments to Colombia of certain
chemicals may be diverted to the clandestine manufacture of a
controlled substance.
The CDTA, the Domestic Chemical Diversion Control Act (DCDCA) and
the implementing regulations have established a system of recordkeeping
and reporting requirements that provide DEA with a mechanism to track
domestic and international movement of listed chemicals in order to
prevent their being diverted for use in the clandestine manufacture of
controlled substances.
Section 1018(a) of the CSIE (21 U.S.C. 971(a)), as amended by the
CDTA, provides that ``each regulated person who imports or exports a
listed chemical shall notify the Attorney General of the importation or
exportation not later than 15 days before the transaction is to take
place.'' In accordance with Section 1018(b) (21 U.S.C. 971(b)), this
requirement is modified by 21 CFR 1313.24 where the transaction is
between a ``regulated person'' and a ``regular customer.'' Under normal
circumstances, exporters are allowed to ship listed chemicals to
regular customers with notification as late as the day of shipment.
A person located in the United States who is a broker or trader for
an international transaction of a listed chemical is subject to all of
the notification, reporting, recordkeeping, and other requirements
placed upon exporters of listed chemicals. No waiver of the 15-day
advance notice is permitted under Section 1313.31 for importations and
exportations for transhipment purposes of threshold quantities of
listed chemicals.
Regardless of whether the shipment is a direct export or a
transhipment, DEA has the obligation to examine the notification in
order to determine if the shipment is legitimate and that the chemical
will not be diverted to the illicit manufacture of controlled
substances. Due to the distribution network within Colombian, where
large quantities of the chemicals used in the clandestine manufacture
of illegal controlled substances are redistributed by the importing
customer, bestowing ``regular customer'' status on the importer is
ineffective in assuring legitimate usage.
As underscored by the President's action to decertify Colombia as a
cooperating nation due to widespread corruption, DEA is unable to
determine the legitimacy of shipments of the specified chemicals or to
rely on import permits and other documentation issued by the Colombian
Government that the above chemicals are not being diverted for use in
the clandestine manufacture of controlled substances. Although the
Colombian National Police have been diligent and constructive in their
efforts to monitor the legitimacy of chemicals imported into Colombia,
its efforts have been handicapped by inadequate political and resource
support. DEA has no confidence that those customers previously
submitted as regular customers, nor those who would become regular
customers in the future, as specified in 21 CFR 1313.24, are not
diverting the above chemicals to the illicit drug traffic. Therefore,
in the absence of a way to determine with any reasonable degree of
certainty that chemical shipments will not be diverted, pursuant to
Section 1018(c)(1) of the CSIE (21 U.S.C. 971(c)(1)), DEA will act to
disqualify regular customer status for Colombian importers of MEK,
MIBK, acetone, toluene, potassium permanganate, and ethyl ether.
Accordingly, each U.S. exporter is being informed by letter that for
all shipments of these chemicals to Colombia, the exporter must now
file a Chemical
[[Page 13760]]
Export Declaration (DEA Form 486) at least 15 days in advance of the
shipment date in accordance with 21 CFR 1313.21 for every shipment of a
threshold amount of the above listed chemicals to Colombia. All
subsequent shipments of any of the identified chemicals to the same
customer will continue to require 15 day advance notice and evidence of
a documented legitimate need.
Furthermore, because DEA has concluded that all shipments to
Colombia of the above chemicals may be diverted to the clandestine
manufacture of a controlled substance, pursuant to 21 CFR 1313.41, it
is DEA's intent to suspend such exports and imports for transhipment in
the absence of documented proof of ultimate legitimate use. Shipments
of these chemicals will be closely monitored by DEA to determine
whether the exporters have presented sufficiently detailed
documentation for DEA to conclude that the ultimate users have the
specific, legitimate need for the type and quantity of the chemical
being purchased and, that the chemical will not be used for the
clandestine production of controlled substances. Export declarations
and Notices of Importation for Transhipment for the specified chemicals
will be reviewed utilizing the following criteria:
A. Whether the U.S. exporter, broker, or foreign exporter for
transhipment has shown that the end use for all of the chemical will be
for a legitimate purpose;
B. If the importer is not the end user, whether all users or
distributors through to the end users are identified to DEA with
sufficient documentation to confirm the legitimacy of their chemical
needs; and
C. Whether the quantity and type of chemical is consistent with the
nature and size of each end user's business.
A person who knowingly or intentionally exports a listed chemical
in violation of section 1018 shall be fined in accordance with Title
18, imprisoned not more than 10 years, or both (21 U.S.C. 960(d) (5)
and (6)).
U.S. and foreign exporters, and brokers are cautioned to view every
order of these or substitute chemicals from Colombia and other
countries in the region with extreme caution. In view of the existing
evidence that all shipments to Colombia of the above chemicals may be
diverted to the clandestine manufacture of a controlled substance,
firms should recognize that export declarations and Notices of
Importation for Transhipment will be subjected to the heightened
standard of review set forth herein with respect to the identity of the
end users and the documented legitimacy of usage. Failure to meet this
standard will result in the suspension of the shipment pursuant to 21
CFR 1313.41.
Dated: March 22, 1996.
Stephen H. Greene,
Deputy Administrator, Drug Enforcement Administration.
[FR Doc. 96-7546 Filed 3-27-96; 8:45 am]
BILLING CODE 4410-09-M
Complete official Federal Register PDF
FR Doc. 96-7545 Karnal Bunt Infestations in Arizona et al.; Quarantining
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13649-13655]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7545]
========================================================================
Rules and Regulations
Federal Register
________________________________________________________________________
This section of the FEDERAL 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 FEDERAL REGISTER issue of each
week.
========================================================================
Federal Register / Vol. 61, No. 61 / Thursday, March 28, 1996 / Rules
and Regulations
[[Page 13649]]
DEPARTMENT OF AGRICULTURE
Animal and Plant Health Inspection Service
7 CFR Part 301
[Docket No. 96-016-3]
Karnal Bunt Infestations in Arizona et al.; Quarantining
AGENCY: Animal and Plant Health Inspection Service, USDA.
ACTION: Interim rule and request for comments.
-----------------------------------------------------------------------
SUMMARY: We are quarantining the State of Arizona and a total of six
counties in the States of New Mexico and Texas because of infestations
of Karnal bunt and are restricting the movement of regulated articles
from the quarantined areas. This action is necessary on an emergency
basis to prevent the artificial spread of Karnal bunt, a serious fungal
disease of wheat, durum wheat, and triticale, into noninfected areas of
the United States.
DATES: Interim rule effective March 25, 1996. Consideration will be
given only to comments received on or before May 28, 1996.
ADDRESSES: Please send an original and three copies of your comments to
Docket No. 96-016-3, Regulatory Analysis and Development, PPD, APHIS,
suite 3C03, 4700 River Road, Unit 118, Riverdale MD 20737-1238. Please
state that your comments refer to Docket No. 96-016-3. Comments
received may be inspected at USDA, room 1141, South Building, 14th
Street and Independence Avenue SW., Washington, DC, between 8 a.m. and
4:30 p.m., Monday through Friday, except holidays. Persons wishing to
inspect comments are requested to call ahead on (202) 690-2817 to
facilitate entry into the comment reading room.
FOR FURTHER INFORMATION CONTACT: Mr. Stephen Poe, Operations Officer,
Domestic and Emergency Operations, PPQ, APHIS, 4700 River Road, Unit
134, Riverdale, MD 20732, (301) 734-8247.
SUPPLEMENTARY INFORMATION:
Background
We are amending the ``Domestic Quarantine Notices'' in 7 CFR part
301 by adding a new subpart 301.89, ``Karnal Bunt'' (referred to below
as the regulations). These regulations quarantine all of Arizona and
portions of New Mexico and Texas because of Karnal bunt. They also
restrict the interstate movement of regulated articles from the
quarantined areas.
On March 8, 1996, Karnal bunt, a serious fungal disease of wheat
(Triticum aestivum), durum wheat (Triticum durum), and triticale
(Triticum aestivum X Seale cereals), a hybrid of wheat and rye, was
detected in Arizona during a seed certification inspection done by the
Arizona Department of Agriculture (ADA). The disease was found in three
seedlots that had been grown in Arizona and shipped within Arizona as
well as to New Mexico and Texas. Immediately after the Karnal bunt was
detected, emergency action was taken by ADA and the Animal and Plant
Health Inspection Service (APHIS) to control the artificial spread of
this disease, and APHIS began working with other plant protection
agencies to determine the extent of the infection.
On March 20, 1996, the Secretary of Agriculture signed a
``Declaration of Extraordinary Emergency'' authorizing the Secretary to
take emergency action under 7 U.S.C. 150dd with regard to Karnal bunt
within the States of Arizona, New Mexico, and Texas.
Karnal bunt is caused by the smut fungus Tilletia indica (Mitra)
Mundkur and is spread by spores. Infection occurs during the flowering
stage of the plant when the developing ovary of a host plant comes into
contact with infectious sporidia. The spores can be carried on a
variety of surfaces, including plants and plant parts, seeds, soil,
elevators, buildings, farm equipment, tools, and even vehicles. Spores
and the sporidia they produce also can be windborne. Although the
sporidia are fragile and may be able to move only short distances,
spores have been known to move longer distances.
Karnal bunt is a serious disease that affects both yield and grain
quality. It adversely affects the color, odor, and palatability of
flour and other foodstuffs made from wheat. Wheat containing any amount
of bunted kernels is reduced in quality. Karnal bunt does not present a
risk to human health.
Karnal bunt is difficult to manage because of the biology of the
pathogen and the susceptibility of the host. Teliospores can remain
viable for 4 to 5 years in the soil. Chemical seed treatments may
reduce infection by controlling seedborne inoculum, but do little to
eliminate soilborne inoculum. Use of resistant varieties of wheat would
be the most effective means of control. However, no commercial
cultivars are known to be established.
For this reason, Federal and State quarantines are needed on an
emergency basis to retard the artificial spread of Karnal bunt and to
protect noninfected areas. Therefore, this interim rule establishes a
quarantine and regulations, which are described below by section, to
prevent the artificial spread of Karnal bunt.
Definitions
Section 301.89-1 contains definitions of the following terms:
Administrator, Animal and Plant Health Inspection Service, certificate,
compliance agreement, conveyances, farm tools, infestation (infected),
inspector, interstate, Karnal bunt, limited permit, mechanized
cultivating equipment and mechanized harvesting equipment, milling
products and byproducts, movement (moved), person, soil, soil-moving
equipment, and State. Regulated articles.
The regulations impose conditions on the interstate movement of
those articles that present a significant risk of spreading Karnal bunt
if moved without restriction from quarantined areas into or through
noninfected areas. The articles, which are designated as regulated
articles, may not be moved interstate from quarantined areas except in
accordance with the conditions specified in Secs. 301.89-4 through
301.89-11.
Paragraphs (a) through (m) of Sec. 301.89-2 designate the following
as regulated articles: Conveyances, including trucks, railroad cars and
other containers used to move wheat, durum wheat, or triticale; grain
elevators/equipment/structures used for storing and handling wheat,
durum wheat, and triticale; manure from animals that have
[[Page 13650]]
fed on wheat, durum wheat, or triticale; milling products or
byproducts, except flour; plants or plant parts, including grain, seed,
or straw of all varieties of the species of Triticum aestivum (wheat),
Triticum durum (durum wheat); and Triticum aestivum X Seale cereals
(triticale); root crops with soil; soil from areas where field crops
are produced; used bags, sacks and containers; used farm tools; used
mechanized cultivating equipment; used mechanized harvesting equipment;
used seed conditioning equipment; and used mechanized soil-moving
equipment.
Further, Sec. 301.89(2)(n) allows designation of any other product,
article or means of conveyance as a regulated article if an inspector
determines that it presents a risk of spreading Karnal bunt due to its
proximity to an infestation of Karnal bunt and notifies the person in
possession of the product, article, or means of conveyance that it is
subject to the restrictions in the regulations.
Quarantined areas
As stated in Sec. 301.89-3(a), the Administrator will quarantine
each State or each portion of a State that is infected. Section
301.89(b) provides that less than an entire State will be listed as a
quarantined area only under certain conditions. Such a listing may be
made if the Administrator determines that: (1) The State has adopted
and is enforcing restrictions on the intrastate movement of the
regulated articles listed in Sec. 301.89-2 that are equivalent to the
interstate movement restrictions imposed by the regulations in
Sec. 301.89-1 through Sec. 301.89-11; and (2) designating less than the
entire State as a quarantined area will prevent the artificial spread
of Karnal bunt. Alternatively, less than an entire State may be listed
as a quarantined area if the Administrator exercises his or her
extraordinary emergency authority under 7 U.S.C. 150dd.
In accordance with these criteria, we are designating the State of
Arizona, four counties in New Mexico, and two counties in Texas as
quarantined areas. These quarantined areas are listed in Sec. 301.89-
3(e).
Section 301.89-3(c) provides that the Administrator may include
uninfected acreage within a quarantined area due to its proximity to an
infestation or inseparability from the infected locality for quarantine
purposes, as determined by: (1) Projections of the spread of Karnal
bunt along the periphery of the infestation; (2) the availability of
natural habitats and host materials within the uninfected acreage that
are suitable for establishment and survival of Karnal bunt; and (3) the
necessity of including uninfected acreage within the quarantined area
in order to establish readily identifiable boundaries.
Section 301.89-3(d) provides that the Administrator or an inspector
may temporarily designate any nonquarantined area as a quarantined
area, without publication in the Federal Register, if there is a basis
for listing the area as a quarantined area under Sec. 301.89-3
paragraphs (a), (b), or (c), and if the owner or person in possession
of the nonquarantined area, or, in the case of publicly owned land, the
person responsible for the management of the nonquarantined area, is
given written notice of the designation. This is necessary to prevent
the spread of Karnal bunt before restrictions can be published in the
Federal Register concerning the interstate movement of regulated
articles from the designated area.
Conditions Governing the Interstate Movement of Regulated Articles From
Quarantined Areas
Section 301.89-4(a)(1) requires regulated articles moved interstate
from a quarantined area into or through an area that is not quarantined
to be accompanied by a certificate or limited permit issued and
attached as prescribed by Secs. 301.89-5 and 301.89-9.
Section 301.89-4(a)(2) allows a regulated article that originates
outside the quarantined area to be moved interstate through a
quarantined area without a certificate or limited permit under the
following conditions: (1) The regulated article was moved into the
quarantined area from an area that is not quarantined; (2) the point of
origin is indicated on a waybill accompanying the regulated article;
(3) the regulated article is moved through the quarantined area without
stopping, or has been stored, packed, or handled at locations approved
by an inspector, or has been treated in accordance with the methods and
procedures prescribed in Sec. 301.89-11 while in or moving through any
quarantined area; and (4) the article has not been combined or
commingled with other articles so as to lose its individual identity.
Section 301.89-4(a)(3) allows soil to be moved interstate from a
quarantined area, provided the soil is being moved to a laboratory
approved by the Administrator to process, test, or analyze soil
samples.
Section 301.89-4(b) references the authority of an inspector who
has probable cause to believe a person or means of conveyance is moving
regulated articles in interstate commerce to stop the person or means
of conveyance to determine whether regulated articles are present and
to inspect the regulated articles. Further, Sec. 301.89-4(b) provides
that articles found to be infected by an inspector, and articles not in
compliance with the regulations, may be seized, quarantined, treated,
subjected to other remedial measures, destroyed, or otherwise disposed
of.
Issuance of Certificates and Limited Permits
Under Federal domestic plant quarantine programs, there is a
difference between the use of certificates and limited permits.
Certificates are issued for regulated articles upon a finding by an
inspector that, because of certain conditions (e.g., the article is
free of Karnal bunt), there is an absence of a pest or disease risk
prior to movement. Regulated articles accompanied by a certificate may
be moved interstate without further restrictions being imposed. Limited
permits are issued for regulated articles when an inspector has
determined that, because of possible pest or disease risk, such
articles may be safely moved interstate only subject to further
restrictions, such as movement to specified areas and movement for
specified purposes. Section Sec. 301.89-5 explains the conditions for
issuing a certificate or limited permit.
Specifically, Sec. 301.89-5(a) provides that an inspector or person
operating under a compliance agreement (discussed below) will issue a
certificate for the interstate movement of a regulated article if the
inspector determines that the regulated article: (1) Is eligible for
unrestricted movement under all other applicable Federal domestic plant
quarantines and regulations; (2) is to be moved in compliance with any
emergency conditions the Administrator may impose under 7 U.S.C. 150dd
to prevent the artificial spread of Karnal bunt; and (3) meets one of
the following conditions: The article is free of Karnal bunt infection,
based on laboratory results of testing, and history of previous
infestation; the article has been grown, produced, manufactured,
stored, or handled in a manner that would prevent infestation or
destroy all life stages of Karnal bunt; or the article has been treated
in accordance with methods and procedures prescribed in Sec. 301.89-11.
Section 301.50-5(b) provides for the issuance of a limited permit
(in lieu of a certificate), by an inspector or a person operating under
a compliance agreement, for movement of a regulated
[[Page 13651]]
article if the inspector determines that the regulated article: (1) Is
to be moved interstate to a specified destination for specified
handling, utilization, or processing (the destination and other
conditions to be listed in the limited permit and/or compliance
agreement), and this interstate movement will not result in the
artificial spread of Karnal bunt because Karnal bunt will be destroyed
or the risk mitigated by the specified handling, utilization, or
processing; (2) is to be moved interstate in compliance with any
additional emergency conditions the Administrator may impose under 7
U.S.C. 150dd to prevent the spread of Karnal bunt; and (3) is eligible
for interstate movement under all other Federal domestic plant
quarantines and regulations applicable to the regulated article.
Section 301.89-5(c) provides that an inspector will issue blank
certificates and limited permits to a person operating under a
compliance agreement or authorize reproduction of the certificates or
limited permits on shipping containers, or both, as requested by the
person operating under the compliance agreement. These certificates or
limited permits may then be completed and used, as needed, for the
interstate movement of regulated articles that have met all of the
requirements of Sec. 301.89-5(a) or Sec. 301.89-5(b), respectively.
Compliance Agreements
Section 301.89-6 provides for the use of compliance agreements.
Specifically, compliance agreements may be entered into by any person
engaged in the growing, handling, or movement of regulated articles
interstate if such persons review with an inspector each stipulation of
the compliance agreement, have facilities and equipment to carry out
disinfestation procedures or application of chemical materials in
accordance with Sec. 301.89-11, and meet applicable State training and
certification standards under the Federal Insecticide, Fungicide, and
Rodenticide Act, as amended (7 U.S.C. 136b). Any person who enters into
a compliance agreement with APHIS must agree to comply with the
regulations.
Cancellation of a Certificate, Limited Permit, or Compliance Agreement
Section 301.89-7 provides that an inspector may cancel a
certificate, limited permit, or compliance agreement, orally or in
writing, whenever the inspector determines that the holder of the
certificate or limited permit, or the person who has entered into the
compliance agreement, has not complied with the regulations. If the
cancellation is oral, the cancellation will become effective upon
notification by the inspector. The cancellation and the reasons for the
cancellation will then be confirmed in writing as soon as circumstances
allow within 20 days after oral notification of the cancellation. Any
person whose certificate, limited permit, or compliance agreement has
been canceled may appeal the decision, in writing, within 10 days after
receiving the written cancellation notice. The appeal must state all of
the facts and reasons that the person wants the Administrator to
consider in deciding the appeal. A hearing may be held to resolve any
conflict as to any material fact. Rules of practice for the hearing
will be adopted by the Administrator. As soon as practicable, the
Administrator will grant or deny the appeal, in writing, stating the
reasons for the decision.
Assembly and Inspection of Regulated Articles
Section 301.89-8(a) provides that any person who requires
certification or other services from an inspector must request the
services at least 48 hours before they are needed. Section 301.89-7(b)
provides that regulated articles must be assembled at the place and in
the manner an inspector designates as necessary to comply with the
regulations.
Attachment and Disposition of Certificates and Limited Permits
Section 301.89(a) requires the consignor of a regulated article to
ensure that the certificate or limited permit authorizing interstate
movement of a regulated article is, at all times during interstate
movement, attached to the regulated article, or to the outside of the
container encasing the regulated article, or to the accompanying
waybill. This section also provides that the certificate or limited
permit may be attached to the consignees copy of the waybill only if
the certificate and limited permit, and the waybill, contain a
sufficient description of the regulated article to identify the
regulated article. This provision is necessary for enforcement
purposes.
Section 301.89-9(b) requires the carrier of the article to furnish
the certificate or limited permit to the consignee at the shipment's
destination.
Costs and Charges
Section 301.89-10 explains the APHIS policy that the services of an
inspector during normal business hours will be furnished without cost
to persons requiring the services. The user will be responsible for all
costs and charges arising from inspection and other services provided
outside of normal business hours.
Treatments
Treatments of regulated articles for Karnal bunt are set forth in
Sec. 301.89-11. These treatments are known to be efficacious in
destroying Karnal bunt teliospores. To meet the requirements of the
regulations for treatments, all conveyances, mechanized farm equipment,
seed-conditioning equipment, soil-moving equipment, grain elevators and
structures used for storing and handling wheat must be cleaned and
disinfected by first removing all soil and plant debris, then treated
in one of the following ways: (1) Wetting all surfaces to the point of
runoff with a solution of sodium hypochlorite mixed with water applied
at the rate of one gallon of a commercial chlorine bleach (5.2 percent
sodium hypochlorite) mixed with 2.5 gallons of water (thoroughly
washing the equipment or site after 15 minutes is recommended to
minimize corrosion); (2) applying steam to all surfaces until the point
of runoff; (3) cleaning with a solution of hot water and detergent,
under high pressure (at least 30 pounds per square inch), at a minimum
temperature of 180 deg.F.; or (4) fumigating with methyl bromide at
the dosage of 15 pounds/1000 cubic feet for 96 hours. Soil and straw/
stalks/seed heads for decorative purposes must be fumigated with methyl
bromide at the dosage of 15 pounds/1000 cubic feet for 96 hours.
Emergency Action
The Administrator of the Animal and Plant Health Inspection Service
has determined that an emergency exists that warrants publication of
this interim rule without prior opportunity for public comment.
Immediate action is necessary to prevent Karnal bunt from spreading to
noninfected areas of the United States.
Because prior notice and other public procedures with respect to
this action are impracticable and contrary to the public interest under
these conditions, we find good cause under 5 U.S.C. 553 to make it
effective upon signature. We will consider comments that are received
within 60 days of publication of this rule in the Federal Register.
After the comment period closes, we will publish another document in
the Federal Register. It will include a discussion of any comments we
receive and any amendments we are making to the rule as a result of the
comments.
[[Page 13652]]
Executive Order 12866 and Regulatory Flexibility Act
This rule has been reviewed under Executive Order 12866. For this
action, the Office of Management and Budget has waived its review
process required by Executive Order 12866
This action quarantines the State of Arizona and six counties in
New Mexico and Texas because of Karnal bunt and restricts the
interstate movement of regulated articles from areas quarantined
because of infestation with Karnal bunt. This emergency situation makes
compliance with section 603 and timely compliance with section 604 of
the Regulatory Flexibility Act (5 U.S.C. 603 and 604) impracticable.
This rule may have a significant economic impact on a substantial
number of small entities. If we determine this is so, then we will
discuss the issues raised by section 604 of the Regulatory Flexibility
Act in our Final Regulatory Flexibility Act Analysis.
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 required intergovernmental consultation with State and local
officials. (See 7 CFR part 3015, subpart V.)
Executive Order 12778
This rule has been reviewed under Executive Order 12778, Civil
Justice Reform. This rule: (1) Preempts all State and local laws and
regulations that are inconsistent with this rule; (2) has no
retroactive effect; and (3) only requires administrative proceedings
before parties may file suit in court challenging this rule upon the
cancellation of a certificate, limited permit, or compliance agreement.
National Environmental Policy Act
An environmental assessment and finding of no significant impact
have been prepared for this rule. The assessment provides a basis for
the conclusion that the treatment of regulated articles, under the
conditions specified in this rule, will not have a significant impact
on the quality of the human environment. Based on the finding of no
significant impact, the Administrator of the Animal and Plant Health
Inspection Service has determined that an environmental impact
statement need not be prepared.
The environmental assessment and finding of no significant impact
were prepared in accordance with: (1) The National Environmental Policy
Act of 1969 (NEPA) (42 U.S.C 4321 et seq.), (2) Regulations on the
Council on Environmental Quality for implementing the procedural
provisions of NEPA (40 CFR parts 1500-1508), (3) USDA regulations
implementing NEPA (7 CFR part 1b), and (4) APHIS' NEPA Implementing
Procedures (7 CFR part 372).
Copies of the environmental assessment and finding of no
significant impact are available for public inspection at USDA, room
1141, South Building, 14th Street and Independence Avenue SW.,
Washington, DC, between 8 a.m. and 4:30 p.m., Monday through Friday,
except holidays. Persons wishing to inspect copies are requested to
call ahead on (202) 690-2817 to facilitate entry into the reading room.
In addition, copies may be obtained by writing to the individual listed
under FOR FURTHER INFORMATION CONTACT.
Paperwork Reduction Act
In accordance with section 3507(j) of the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.), the information collection and
recordkeeping requirements included in this interim rule have been
submitted for emergency approval to the Office of Management and Budget
(OMB). OMB has assigned control number 0579-0121 to the information
collection and recordkeeping requirements. Notwithstanding any other
provision of the law, no person is required to respond to, nor shall
any person be subject to a penalty for failure to comply with a
collection of information, subject to the requirements of the Paperwork
Reduction Act, unless that collection of information displays a
currently valid OMB Control Number. Please send written comments to the
Office of Information and Regulatory Affairs, OMB, Attention: Desk
Officer for APHIS, Washington, DC 20503. Please state that your
comments refer to Docket No. 96-016-3. Please send a copy of your
comments to: (1) Docket No. 96-016-3, Regulatory Analysis and
Development, PPD, APHIS, suite 3C03, 4700 River Road Unit 118,
Riverdale, MD 20737-1238, and (2) Clearance Officer, OIRM, USDA, room
404-W, 14th Street and Independence Avenue SW., Washington, DC 20250.
The paperwork associated with the Karnal bunt program will include
the completion of compliance agreements, certificates, and limited
permits. There will also be requests for inspections. We are soliciting
comments from the public (as well as affected agencies) concerning our
proposed information collection and recordkeeping requirements. We need
this outside input to help us accomplish the following:
(1) Evaluate whether the proposed collection of information is
necessary for the proper performance of our agency's functions,
including whether the information will have practical utility;
(2) Evaluate the accuracy of our estimate of the burden of the
proposed collection of information, including the validity of the
methodology and assumptions used;
(3) Enhance the quality, utility, and clarity of the information to
be collected; and
(4) Minimize the burden of the information collection on those who
are to respond (such as through the use of appropriate automated,
electronic, mechanical, or other technological collection techniques or
other forms of information technology, e.g., permitting electronic
submission responses).
Estimate of burden: Public reporting burden for this collection of
information is estimated to average 15 minutes per response.
Respondents: State plant regulatory officials, shippers, growers,
and representatives of the plant industry.
Estimated number of respondents: 1,573.
Estimated number of responses per respondent: 4.
Estimated total annual burden on respondents: 1,500.
Copies of this information collection can be obtained from:
Clearance Officer, OIRM, USDA, room 404-W, 14th Street and Independence
Avenue SW., Washington, DC 20250.
List of subjects in 7 CFR Part 301
Agricultural commodities, Plant diseases and pests, Quarantine,
Reporting and recordkeeping requirements, Transportation.
PART 301--DOMESTIC QUARANTINE NOTICES
Accordingly, 7 CFR part 301 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 2.22, 2,80, and 371.2(c).
2. Part 301 is amended by adding a new ``Subpart--Karnal Bunt'',
sections 301.89 through 301.89-11, to read as follows:
Subpart--Karnal Bunt
Sec.
301.89-1 Definitions.
301.89-2 Regulated articles.
301.89-3 Quarantined areas.
301.89-4 Interstate movement of regulated articles from quarantined
areas.
301.89-5 Issuance of a certificate or limited permit.
[[Page 13653]]
301.89-6 Compliance agreements.
301.89-7 Cancellation of a certificate, limited permit, or
compliance agreement.
301.89-8 Assembly and inspection of regulated articles.
301.89-9 Attachment and disposition of certificates and limited
permits.
301.89-10 Costs and charges.
301.89-11 Treatments.
Subpart--Karnal Bunt
Sec. 301.89-1 Definitions.
Administrator. The Administrator, Animal and Plant Health
Inspection Service, or any person authorized to act for the
Administrator.
Animal and Plant Health Inspection Service (APHIS). The Animal and
Plant Health Inspection Service of the U.S. Department of Agriculture.
Certificate. A document in which an inspector or a person operating
under a compliance agreement affirms that a specified regulated article
meets the requirements of this subpart and may be moved interstate to
any destination.
Compliance agreement. A written agreement between APHIS and a
person engaged in growing, handling, or moving regulated articles that
are moved interstate, in which the person agrees to comply with the
provisions of this subpart and any conditions imposed under this
subpart.
Conveyances. Containers used to move wheat, durum wheat, or
triticale, or their products, including trucks, trailers, railroad
cars, bins, and hoppers.
Farm tools. An instrument worked or used by hand, e.g., hoes,
rakes, shovels, and axes.
Infestation (infected). The presence of Karnal bunt, or any stage
of development of the fungus Tilletia indica (Mitra) Mundkur, or the
existence of circumstances that make it reasonable to believe that
Karnal bunt is present.
Inspector. An APHIS employee or designated cooperator/collaborator
authorized by the Administrator to enforce the provisions of this
subpart.
Interstate. From any State into or through any other State.
Karnal bunt. A plant disease caused by the fungus Tilletia indica
(Mitra) Mundkur.
Limited permit. A document in which an inspector affirms that a
specified regulated article not eligible for a certificate is eligible
for interstate movement only to a specified destination and in
accordance with conditions specified on the permit.
Mechanized cultivating equipment and mechanized harvesting
equipment. Mechanized equipment used for soil tillage, including
tillage attachments for farm tractors--e.g., tractors, disks, plows,
harrows, planters, and subsoilers; mechanized equipment used for
harvesting purposes--e.g., combines, cotton harvesters, and hay balers.
Milling products and byproducts. Products resulting from processing
wheat, durum wheat, or triticale, including animal feed, and waste and
debris.
Movement (moved). The act of shipping, transporting, delivering, or
receiving for movement, or otherwise aiding, abetting, inducing or
causing to be moved.
Person. Any association, company, corporation, firm, individual,
joint stock company, partnership, society, or any other legal entity.
Soil. That part of the upper layer of earth in which plants can
grow.
Soil-moving equipment. Equipment used for moving or transporting
soil, including, but not limited to, bulldozers, dump trucks, or road
scrapers.
State. The District of Columbia, Puerto Rico, the Northern Mariana
Islands, or any State, territory, or possession of the United States.
Sec. 301.89-2 Regulated articles.
The following are regulated articles:
(a) Conveyances, including trucks, railroad cars, and other
containers used to move wheat, durum wheat, or triticale;
(b) Grain elevators/equipment/structures used for storing and
handling wheat, durum wheat, and triticale;
(c) Milling products or byproducts, except flour;
(d) Plants, or plant parts, including grain, seed, or straw of all
varieties of the following species:
Wheat: Triticum aestivum;
Durum wheat: Triticum durum; and
Triticale: Triticum aestivum X Seale cereals;
(e) Root crops with soil;
(f) Soil from areas where field crops are produced;
(g) Manure from animals that have fed on wheat, durum wheat, or
triticale;
(h) Used bags, sacks and containers;
(i) Used farm tools;
(j) Used mechanized cultivating equipment;
(k) Used mechanized harvesting equipment;
(l) Used seed conditioning equipment;
(m) Used mechanized soil-moving equipment; and
(n) Any other product, article or means of conveyance when:
(i) An inspector determines that it presents a risk of spreading
Karnal bunt due to its proximity to an infestation of Karnal bunt; and
(ii) The person in possession of the product, article, or means of
conveyance has been notified that it is regulated under this subpart.
Sec. 301.89-3 Quarantined areas.
(a) The Administrator will quarantine each State or each portion of
a State that is infected.
(b) Less than an entire State will be listed as a quarantined area
only if the Administrator:
(1) (i) Determines that the State has adopted and is enforcing
restrictions on the intrastate movement of the regulated articles
listed in Sec. 301.89-2 that are equivalent to the interstate movement
restrictions imposed by this subpart; and
(ii) Determines that designating less than the entire State as a
quarantined area will prevent the spread of Karnal bunt; or
(2) Exercises his or her extraordinary emergency authority under 7
U.S.C. 150dd.
(c) The Administrator may include noninfected acreage within a
quarantined area due to its proximity to an infestation or
inseparability from the infected locality for quarantine purposes, as
determined by:
(1) Projections of the spread of Karnal bunt along the periphery of
the infestation;
(2) The availability of natural habitats and host materials within
the noninfected acreage that are suitable for establishment and
survival of Karnal bunt; and
(3) The necessity of including uninfected acreage within the
quarantined area in order to establish readily identifiable boundaries.
(d) The Administrator or an inspector may temporarily designate any
nonquarantined area as a quarantined area in accordance with the
criteria specified in paragraphs (a), (b), and (c) of this section. The
Administrator will give written notice of this designation to the owner
or person in possession of the nonquarantined area, or, in the case of
publicly owned land, to the person responsible for the management of
the nonquarantined area. Thereafter, the interstate movement of any
regulated article from an area temporarily designated as a quarantined
area is subject to this subpart. As soon as practicable, this area
either will be added to the list of designated quarantined areas in
paragraph (e) of this section, or the Administrator will terminate the
designation. The owner or person in possession of, or, in the case of
publicly owned land, the person responsible for the management of, an
area for which the designation is
[[Page 13654]]
terminated will be given written notice of the termination as soon as
practicable.
(e) The following areas are designated as quarantined areas:
Arizona
The entire State.
New Mexico
Dona Ana County. The entire county.
Hidalgo. The entire county.
Luna County. The entire county.
Sierra County. The entire county.
Texas
El Paso County. The entire county.
Hudspeth. The entire county.
Sec. 301.89-4 Interstate movement of regulated articles from
quarantined areas.
(a) Any regulated article may be moved interstate from a
quarantined area into or through an area that is not quarantined only
if moved under the following conditions:
(1) With a certificate or limited permit issued and attached in
accordance with Secs. 301.89-5 and 301.89-9;
(2) Without a certificate or limited permit, provided that each of
the following conditions is met:
(i) The regulated article was moved into the quarantined area from
an area that is not quarantined;
(ii) The point of origin is indicated on a waybill accompanying the
regulated article;
(iii) The regulated article is moved through the quarantined area
without stopping, or has been stored, packed, or handled at locations
approved by an inspector as not posing a risk of contamination with
Karnal bunt, or has been treated in accordance with the methods and
procedures prescribed in Sec. 301.89-11 while in or moving through any
quarantined area; and
(iv) The article has not been combined or commingled with other
articles so as to lose its individual identity; or
(3) Without a certificate or limited permit, provided the regulated
article is a soil sample being moved to a laboratory approved by the
Administrator 1 to process, test, or analyze soil samples.
\1\ Criteria that laboratories must meet to become approved to
process, test, or analyze soil, and the list of currently approved
laboratories, may be obtained from the Animal and Plant Health
Inspection Service, Plant Protection and Quarantine, Domestic and
Emergency Operations, 4700 River Road Unit 134, Riverdale, Maryland
20737-1236.
---------------------------------------------------------------------------
(b) When an inspector has probable cause to believe a person or
means of conveyance is moving a regulated article in interstate
commerce, the inspector is authorized to stop the person or means of
conveyance to determine whether a regulated article is present and to
inspect the regulated article. Articles found to be infected by an
inspector, and articles not in compliance with the regulations in this
subpart, may be seized, quarantined, treated, subjected to other
remedial measures, destroyed, or otherwise disposed of. Any treatments
will be in accordance with the methods and procedures prescribed in
Sec. 301.89-11.
Sec. 301.89-5 Issuance of a certificate or limited permit.
(a) An inspector 2 or person operating under a compliance
agreement will issue a certificate for the interstate movement of a
regulated article if he or she determines that the regulated article:
\2\ Inspectors are assigned to local offices of APHIS, which
are listed in local telephone directories. Information concerning
such local offices may also be obtained from the Animal and Plant
Health Inspection Service, Plant Protection and Quarantine, Domestic
and Emergency Operations, 4700 River Road Unit 134, Riverdale,
Maryland 20737-1236, or from Karnal Bunt Project, 1688 W. Adams St.,
Phoenix, Arizona 85007.
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(1) Is eligible for unrestricted movement under all other
applicable Federal domestic plant quarantines and regulations;
(2) Is to be moved in compliance with any emergency conditions the
Administrator may impose under 7 U.S.C. 150dd to prevent the artificial
spread of Karnal bunt 3; and
\3\ Section 105 of the Federal Plant Pest Act (7 U.S.C. 105dd)
authorizes the Secretary of Agriculture to impose emergency measures
necessary to prevent the spread of plant pests new to, or not widely
prevalent or distributed within and throughout, the United States.
---------------------------------------------------------------------------
(3) (i) Is free of Karnal bunt infestation, based on laboratory
results of testing, and history of previous infestation;
(ii) Has been grown, produced, manufactured, stored, or handled in
a manner that would prevent infestation or destroy all life stages of
Karnal bunt; or
(iii) Has been treated in accordance with methods and procedures
prescribed in Sec. 301.89-11.
(b) An inspector or a person operating under a compliance agreement
will issue a limited permit for the interstate movement of a regulated
article not eligible for a certificate if the inspector determines that
the regulated article:
(1) Is to be moved interstate to a specified destination for
specified handling, utilization, or processing (the destination and
other conditions to be listed in the limited permit and/or compliance
agreement), and this interstate movement will not result in the
artificial spread of Karnal bunt because Karnal bunt will be destroyed
or the risk mitigated by the specified handling, utilization, or
processing;
(2) Is to be moved interstate in compliance with any additional
emergency conditions the Administrator may impose under 7 U.S.C. 150dd
to prevent the artificial spread of Karnal bunt; and
(3) Is eligible for interstate movement under all other Federal
domestic plant quarantines and regulations applicable to the regulated
article.
(c) An inspector shall issue blank certificates and limited permits
to a person operating under a compliance agreement in accordance with
Sec. 301.89-6 or authorize reproduction of the certificates or limited
permits on shipping containers, or both, as requested by the person
operating under the compliance agreement. These certificates and
limited permits may then be completed and used, as needed, for the
interstate movement of regulated articles that have met all of the
requirements of paragraph (a) or (b), respectively, of this section.
Sec. 301.89-6 Compliance agreements.
Persons who grow, handle, or move regulated articles interstate may
enter into a compliance agreement 4 if such persons review with an
inspector each stipulation of the compliance agreement, have facilities
and equipment to carry out disinfestation procedures or application of
chemical materials in accordance with Sec. 301.89-11, and meet
applicable State training and certification standards under the Federal
Insecticide, Fungicide, and Rodenticide Act, as amended (7 U.S.C.
136b). Any person who enters into a compliance agreement with APHIS
must agree to comply with the provisions of this subpart and any
conditions imposed under this subpart.
\4\ Compliance agreements may be initiated by contacting a
local office of Plant Protection and Quarantine, which are listed in
telephone directories. The addresses and telephone numbers of local
offices of Plant Protection and Quarantine may also be obtained from
the Animal and Plant Health Inspection Service, Plant Protection and
Quarantine, 4700 River Road Unit 134, Riverdale, Maryland 20737-
1236, or from the Karnal Bunt Project, 1688 W. Adams St., Phoenix,
Arizona 85007.
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Sec. 301.89-7 Cancellation of a certificate, limited permit, or
compliance agreement.
Any certificate, limited permit, or compliance agreement may be
canceled orally or in writing by an inspector whenever the inspector
determines that the holder of the certificate or limited permit, or the
person who has entered into the compliance agreement, has not complied
with this subpart or any conditions imposed under this subpart.
[[Page 13655]]
If the cancellation is oral, the cancellation will become effective
immediately and the cancellation and the reasons for the cancellation
will be confirmed in writing as soon as circumstances allow, but within
20 days after oral notification of the cancellation. Any person whose
certificate, limited permit, or compliance agreement has been canceled
may appeal the decision, in writing, within 10 days after receiving the
written cancellation notice. The appeal must state all of the facts and
reasons that the person wants the Administrator to consider in deciding
the appeal. A hearing may be held to resolve any conflict as to any
material fact. Rules of practice for the hearing will be adopted by the
Administrator. As soon as practicable, the Administrator will grant or
deny the appeal, in writing, stating the reasons for the decision.
Sec. 301.89-8 Assembly and inspection of regulated articles.
(a) Persons requiring certification or other services must request
the services from an inspector 5 at least 48 hours before the
services are needed.
\5\ See footnote 2.
---------------------------------------------------------------------------
(b) The regulated articles must be assembled at the place and in
the manner the inspector designates as necessary to comply with this
subpart.
Sec. 301.89-9 Attachment and disposition of certificates and limited
permits.
(a) The consignor must ensure that the certificate or limited
permit authorizing interstate movement of a regulated article is, at
all times during interstate movement, attached to:
(1) The outside of the container encasing the regulated article;
(2) The article itself, if it is not in a container; or
(3) The consignee's copy of the accompanying waybill: Provided,
that the descriptions of the regulated article on the certificate or
limited permit, and on the waybill, are sufficient to identify the
regulated article; and
(b) The carrier must furnish the certificate or limited permit
authorizing interstate movement of a regulated article to the consignee
at the shipment's destination.
Sec. 301.89-10 Costs and charges.
The services of the inspector during normal business hours will be
furnished without cost to persons requiring the services. The user will
be responsible for all costs and charges arising from inspection and
other services provided outside of normal business hours.
Sec. 301.89-11 Treatments.
(a) All conveyances, mechanized farm equipment, seed-conditioning
equipment, soil-moving equipment, grain elevators and structures used
for storing and handling wheat, durum wheat, or triticale must be
cleaned and disinfected by removing all soil and plant debris and:
(1) Wetting all surfaces to the point of runoff with a solution of
sodium hypochlorite mixed with water applied at the rate of 1 gallon of
commercial chlorine bleach (5.2 percent sodium hypochlorite) mixed with
2.5 gallons of water. The equipment or site should be thoroughly washed
down after 15 minutes to minimize corrosion; or
(2) Applying steam to all surfaces until the point of runoff;
(3) Cleaning with a solution of hot water and detergent, under high
pressure (at least 30 pounds per square inch), at a minimum temperature
of 180 deg.F.; or
(4) Fumigating with methyl bromide at the dosage of 15 pounds/1000
cubic feet for 96 hours.
(b) Soil, and straw/stalks/seed heads for decorative purposes must
be treated by fumigation with methyl bromide at the dosage of 15
pounds/1000 cubic feet for 96 hours.
Done in Washington, DC, this 25th day of March, 1996.
Lonnie J. King,
Administrator, Animal and Plant Health Inspection Service.
[FR Doc. 96-7545 Filed 3-27-96; 8:45 am]
BILLING CODE 3410-34-P
Complete official Federal Register PDF
FR Doc. 96-7537 Rules of Practice
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Page 13689]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7537]
=======================================================================
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SECURITIES AND EXCHANGE COMMISSION
17 CFR Part 200
[Release No. 34-37022; File No. S7-40-92]
RIN 3235-AF91
Rules of Practice
AGENCY: Securities and Exchange Commission.
ACTION: Final rule; Correction.
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SUMMARY: This document contains a correction to the final regulations
which were published on June 23, 1995 (60 FR 32738). These regulations
relate to the Commission's procedural rules that govern administrative
proceedings.
EFFECTIVE DATE: July 24, 1995.
FOR FURTHER INFORMATION CONTACT:
Frances R. Sienkiewicz, Office of the Secretary, 202-942-7072.
SUPPLEMENTARY INFORMATION: The Rules of Practice that are the subject
of this correction are the procedural rules that govern administrative
proceedings.
Correction of Publication
Accordingly, the publication on June 23, 1995 of the Rules of
Practice, which were the subject of FR Doc. No. 95-14750, is corrected
as follows:
1. On page 32794, in column one, amendment 7 is revised to read:
Sec. 200.30-7 [Corrected]
7. In Sec. 200.30-7, in paragraph (a)(3), remove the words ``Rule
13 of the Commission's rules of practice, Sec. 201.13'' and in their
place, add the words ``Rule 161 of the Commission's Rules of Practice,
Sec. 21.161'', and in paragraph (a)(4), remove the words
``Sec. 201.13'' and in their place, add the words ``Rule 161 of the
Commission's Rules of Practice, Sec. 201.161''.
Dated: March 25, 1996.
Jonathan G. Katz,
Secretary.
[FR Doc. 96-7537 Filed 3-27-96; 8:45 am]
BILLING CODE 8010-01-M
Complete official Federal Register PDF
FR Doc. 96-7532 Policy and Procedure for Enforcement Actions; Removal; Correction
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Page 13655]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7532]
=======================================================================
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NUCLEAR REGULATORY COMMISSION
10 CFR Part 2
Policy and Procedure for Enforcement Actions; Removal; Correction
AGENCY: Nuclear Regulatory Commission.
ACTION: Policy statement: Correction.
-----------------------------------------------------------------------
SUMMARY: This document corrects a notice appearing in the Federal
Register on June 30, 1995 (60 FR 34380), that announced the removal of
the Nuclear Regulatory Commission's (NRC's) Enforcement Policy from the
Code of Federal Regulations. This action is necessary to correct an
inadvertent indication in the Paperwork Reduction Act Statement section
that the policy statement did not include any information collection
requirements. Because this notice and a second notice announcing the
revision of the NRC's Enforcement Policy (60 FR 34381; June 30, 1995)
were subsequently issued in their entirety as NUREG-1600, NUREG-1600
also includes this inadvertent indication. An errata for NUREG-1600 is
being issued to address this issue.
FOR FURTHER INFORMATION CONTACT: James Lieberman, Director, Office of
Enforcement, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001, telephone (301) 415-2741.
On page 34380, in the third full paragraph in the third column, the
correct Paperwork Reduction Act Statement for the NRC's Enforcement
Policy should read: ``This policy statement does not contain a new or
amended information collection requirement subject to the Paperwork
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). Existing requirements
were approved by the Office of Management and Budget, approval number
3150-0136. The approved information collection requirements contained
in this policy statement appear in Section VII.C.''
Dated at Rockville, Maryland, this 22nd day of March 1996.
For the Nuclear Regulatory Commission.
John C. Hoyle,
Secretary of the Commission.
[FR Doc. 96-7532 Filed 3-27-96; 8:45 am]
BILLING CODE 7590-01-P
Complete official Federal Register PDF
FR Doc. 96-7529 Premerger Notification; Reporting and Waiting Period Requirements
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13666-13689]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7529]
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FEDERAL TRADE COMMISSION
16 CFR Parts 801 and 802
Premerger Notification; Reporting and Waiting Period Requirements
AGENCY: Federal Trade Commission.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Commission amends the premerger notification rules that
require the parties to certain mergers or acquisitions to file reports
with the Federal Trade Commission and the Assistant Attorney General in
charge of the Antitrust Division of the Department of Justice and to
wait a specified period of time before consummating such transactions.
The reporting and waiting period requirements are intended to enable
these enforcement agencies to determine whether a proposed merger or
acquisition may violate the antitrust laws if consummated and, when
appropriate, to seek a preliminary injunction in federal court to
prevent consummation.
These amendments consist of five rules that define or create
exemptions to the requirements imposed by the Hart-Scott-Rodino Act.
These rules clarify the types of transactions that are in the ordinary
course of business of the parties to the transaction and are exempt
under section 7A(c)(1) of the Hart-Scott-Rodino Act. They also provide
several new exemptions under section 7A(d)(2)(B) for certain types of
acquisitions of realty and carbon-based mineral reserves that are not
likely to violate the antitrust laws. These rules are designed to
reduce the compliance burden on the business community by eliminating
the application of the notification and waiting requirements to a
significant number of transactions that are unlikely to violate the
antitrust laws. They will also allow the enforcement agencies to focus
their resources more effectively on those transactions that present the
potential for competitive harm.
EFFECTIVE DATE: April 29, 1996.
[[Page 13667]]
FOR FURTHER INFORMATION CONTACT: John M. Sipple, Jr., Assistant
Director, or Melea R. Epps, Attorney, Premerger Notification Office,
Bureau of Competition, Room 303, Federal Trade Commission, Washington,
DC 20580. Telephone: (202) 326-3100.
SUPPLEMENTARY INFORMATION:
Regulatory Flexibility Act
These amendments to the Hart-Scott-Rodino premerger notification
rules are designed to reduce the burden of reporting on the public. The
Commission has determined that none of the rules is a major rule, as
that term is defined in Executive Order 12291. The amendments will not
result in any of the following: an annual effect on the economy of $100
million or more; a major increase in costs or prices for consumers,
individual industries, Federal, State, or local government agencies, or
geographic regions; or significant adverse effects on competition,
employment, investment, productivity, innovation, or on the ability of
United States-based enterprises to compete with foreign-based
enterprises in the domestic market. None of the amendments expands the
coverage of the premerger notification rules in a way that would affect
small business. Therefore, pursuant to Sec. 605(b) of the
Administrative Procedure Act, 5 U.S.C. 605(b), as added by the
Regulatory Flexibility Act, Pub. L. 96-354 (September 19, 1980), the
Federal Trade Commission has certified that these rules will not have a
significant economic impact on a substantial number of small entities.
Section 603 of the Administrative Procedure Act, 5 U.S.C. 603,
requiring a final regulatory flexibility analysis of these rules, is
therefore inapplicable.
Background
Section 7A of the Clayton Act (``the act''), 15 U.S.C. 18a, as
added by sections 201 and 202 of the Hart-Scott-Rodino Antitrust
Improvements Act of 1976, requires parties to certain acquisitions of
assets or voting securities to give advance notice to the Federal Trade
Commission (hereafter referred to as ``the Commission'') and the
Assistant Attorney General in charge of the Antitrust Division of the
Department of Justice (hereafter referred to as ``the Assistant
Attorney General''). The parties must then wait certain designated
periods before the consummation of such acquisitions. The transactions
to which the advance notice requirement is applicable and the length of
the waiting period required are set out respectively in subsections (a)
and (b) of section 7A. This amendment to the Clayton Act does not
change the standards used in determining the legality of mergers and
acquisitions under the antitrust laws.
The legislative history suggests several purposes underlying the
act. Congress wanted to ensure that certain acquisitions were subjected
to meaningful scrutiny under the antitrust laws prior to consummation.
To this end, Congress intended to eliminate the ``midnight merger''
that is negotiated in secret and announced just before, or sometimes
only after, the closing takes place. Congress also provided an
opportunity for the Commission or the Assistant Attorney General (who
are sometimes hereafter referred to as the ``antitrust agencies'' or
the ``enforcement agencies'') to seek a court order enjoining the
completion of those transactions that either agency has reason to
believe would present significant antitrust problems. Finally, Congress
sought to facilitate an effective remedy when a challenge by one of the
enforcement agencies proved successful. Thus, the act requires that the
antitrust agencies receive prior notification of certain acquisitions,
provides tools to facilitate a prompt, thorough investigation of the
competitive implications of these acquisitions, and assures the
enforcement agencies an opportunity to seek a preliminary injunction
before the parties to an acquisition are legally free to consummate it.
The problem of unscrambling the assets after the transaction has taken
place is thereby reduced.
Subsection 7A(d)(1) of the act, 15 U.S.C. 18a(d)(1), directs the
Commission, with the concurrence of the Assistant Attorney General and
in accordance with 5 U.S.C. 553, to require that the notification be in
such form and contain such information and documentary material as may
be necessary and appropriate to determine whether the proposed
transaction may, if consummated, violate the antitrust laws. Subsection
7A(d)(2) of the act, 15 U.S.C. 18a(d)(2), grants the Commission, with
the concurrence of the Assistant Attorney General and in accordance
with 5 U.S.C. 553, the authority to (a) define the terms used in the
act, (b) exempt from the act's notification and waiting period
requirements additional classes of persons or transactions which are
not likely to violate the antitrust laws, and (c) prescribe such other
rules as may be necessary and appropriate to carry out the purposes of
section 7A.
The Commission, with the concurrence of the Assistant Attorney
General, promulgated implementing rules (``the rules'') and the
Notification and Report Form (the ``Form'') and issued an accompanying
Statement of Basis and Purpose, all of which were published in the
Federal Register of July 31, 1978, 43 FR 33451, and became effective on
September 5, 1978.
The rules are divided into three parts which appear at 16 CFR Parts
801, 802, and 803. Part 801 defines a number of the terms used in the
act and rules, and explains which acquisitions are subject to the
reporting and waiting period requirements. Part 802 contains a number
of exemptions from these requirements. Part 803 explains the procedures
for complying with the act. The Form, which is completed by persons
required to file notification, is an appendix to Part 803 of the rules.
Changes of a substantive nature have been made to the premerger
notification rules or Form on eleven occasions since they were first
promulgated: 44 FR 66781 (November 21, 1979); 45 FR 14205 (March 5,
1980); 46 FR 38710 (July 29, 1981); 48 FR 34427 (July 29, 1983); 50 FR
38742 (September 24, 1985); 51 FR 10368 (March 28, 1986); 52 FR 7066
(March 6, 1987); 52 FR 20058 (May 29, 1987); 54 FR 21425 (May 18,
1989); 55 FR 31371 (August 2, 1990); and 60 FR 40704 (August 9, 1995).
The current amendments interpret the act and expand the current
policies of the Commission's Premerger Notification Office regarding
transactions in the ordinary course of business that are exempt from
the notification and waiting requirements of the act. They also include
several new exemptions for acquisitions of certain types of real
property assets and carbon-based mineral reserves.
Comments
These amendments reflect extensive analysis of comments received in
response to the notice of proposed rulemaking published by the Federal
Trade Commission, in consultation with the Assistant Attorney General,
in the Federal Register of July 28, 1995, 60 FR 38930. The notice
contained the current amendments in a proposed form and provided 60
days for interested persons to submit comments on the proposed rules.
During the 60-day period 29 comments were received. In addition, three
new comments and one supplemental comment were received after the
expiration of the comment period. The commenters are identified below.
[[Page 13668]]
------------------------------------------------------------------------
Date of
Number of comment Commenter comment
------------------------------------------------------------------------
1 American Council of Life 9/7/95
Insurance.
2 Heller Ehrman White & McAuliffe.. 9/15/95
3 Pillsbury, Madison & Sutro on 9/26/95
behalf of Chevron Corporation.
4 The Perkin-Elmer Corporation..... 9/21/95
5 Atlantic Richfield Company....... 9/27/95
6 Pillsbury, Madison & Sutro....... 9/25/95
7 General Motors Corporation....... 9/28/95
8 Boult, Cummings, Conners & Berry. 9/28/95
9 Section of Antitrust Law of the 9/29/95
American Bar Association.
10 Federal Express.................. 9/28/95
11 Ford Motor Company............... 9/28/95
12 BellSouth Corporation............ 9/28/95
13 Equipment Leasing Association of 9/29/95
America.
14 Ronald A. Bloch of McDermott, 9/29/95
Will & Emery.
15 Arter & Hadden on behalf of 9/29/95
Kennecott Corporation.
16 U.S. Chamber of Commerce......... 9/29/95
16A U.S. Chamber of Commerce 11/9/95
(Supplemental Comments).
17 Rinehart & Associates, Investment 9/28/95
Forestry.
18 Timberland Investment Services, 9/28/95
LLC.
19 O'Melveny & Myers on behalf of 9/29/95
Marriott International, Inc..
20 American Hospital Association.... 9/29/95
21 Weil, Gotschal & Manges.......... 9/29/95
22 Latham & Watkins................. 9/29/95
23 International Council of Shopping 9/29/95
Centers.
24 Colorado Oil & Gas Association... 9/29/95
25 ITT Corporation.................. 9/27/95
26 American Hotel & Motel 9/29/95
Corporation.
27 American Transport Association of 9/29/95
America.
28 National Independent Energy 9/29/95
Producers.
29 Latham & Watkins on behalf of 10/6/95
Host Marriott Corporation.
30 Forest Investment Associates..... 9/28/95
31 National Association of Real 11/2/95
Estate Investment Trusts.
32 Association of Private Pension 2/1/96
and Welfare Plans.
------------------------------------------------------------------------
The commenters generally favored the adoption of the exemptions but
also advocated the expansion of certain of the proposals to include
exemptions for other types of transactions which, they argued, raise
few competitive concerns. The final amendments contain revisions to the
proposed rule that address certain commenters' concerns and exclude
from the reporting requirements additional transactions that the
Commission and the Assistant Attorney General found were unlikely to
violate the antitrust laws. A few of the comments contained suggestions
that were outside the scope of the proposed rulemaking; these
suggestions may be considered by the Commission in future rulemaking
efforts.
Statement of Basis and Purpose for the Commission's Revisions to the
Premerger Notification Rules
Authority: The Federal Trade Commission, with the concurrence of
the Assistant Attorney General, promulgates these amendments to the
premerger notification rules pursuant to section 7A(d) of the
Clayton Act, 15 U.S.C. 18a(d), as added by section 201 of the Hart-
Scott-Rodino Antitrust Improvements Act of 1976, Pub. L. 94-435, 90
Stat. 1390.
The five amendments to the premerger notification rules--
Secs. 802.1, 802.2, 802.3, 802.4, and 802.5--describe certain types of
acquisitions that are exempt or are not exempt from the notification
requirements of the act. They replace and expand existing Sec. 802.1,
which describes certain applications of the exemption granted by
section 7A(c)(1) of the act for acquisitions of goods or realty
transferred in the ordinary course of business. Revisions to
Sec. 801.15 define when the aggregation rules apply to acquisitions
covered by these rules.
Criteria for the Rules. Section 7A(c)(1) of the act exempts
``acquisitions of goods or realty transferred in the ordinary course of
business.'' Existing Sec. 802.1(a) interprets this statutory language
to apply the exemption to acquisitions of voting securities of entities
holding only realty. Existing Sec. 802.1(b) denies the exemption to the
sale of goods or real property of an entity if they constitute ``all or
substantially all of the assets of that entity or an operating division
thereof'' unless the entity qualifies for the exemption under existing
Sec. 802.1(a) because its assets consist solely of real property and
assets incidental to the ownership of real property.
The reportability of transfers in the ordinary course of business
has long been a frequent source of questions from the public to the
Premerger Notification Office. Amended Sec. 802.1 represents
interpretations of section 7A(c)(1) made by the Premerger Notification
Office over the years, and it also broadens these interpretations to
exempt additional classes of acquisitions of goods that qualify as
transfers in the ordinary course of business and thus are unlikely to
violate the antitrust laws.
Amended Sec. 802.1(a) preserves the concept of existing
Sec. 802.1(b) and makes the exemption unavailable for acquisitions of
all or substantially all of the assets of an operating unit. Operating
unit is defined as ``assets that are operated by the acquired person as
a business undertaking in a particular location or for particular
products or services.'' The sale of all or substantially all of the
assets of a business undertaking is generally equivalent to the sale of
a business. Amended Sec. 802.1(a) recognizes that acquisitions that
transfer the equivalent of a business are not in the ordinary course
and thus are not exempt from the prior notification obligations of the
act.
Amended Sec. 802.1 also defines categories of acquisitions of goods
that are deemed to be in the ordinary course of business and are
therefore exempt from the notification requirements. Individual review
of transactions such as typical acquisitions of new goods and current
supplies is generally unnecessary because buying and selling goods is
the essence of manufacturing, wholesaling, and retailing businesses.
Sales in the ordinary course of business should not in any way diminish
the capacity of the selling firm to compete.
Amended Sec. 802.1 provides that certain acquisitions of used
durable goods qualify for exemption from the reporting requirements as
transfers of goods in the ordinary course of business. These exemptions
for specific types of acquisitions of used durable goods acknowledge
that certain transfers of productive assets that are not the sale of an
operating unit are made in the ordinary course of business. For
example, an equipment leasing company may be acquiring used durable
goods as current supplies, or the seller may be replacing these assets
to increase or upgrade capacity and to improve efficiencies. However,
many used durable goods acquisitions involving productive assets are
not within the ordinary course of business and thus are not exempt
under Sec. 802.1.
New Secs. 802.2 (concerning real property assets) and 802.3
(concerning carbon-based mineral reserves) are based on the
Commission's authority in section 7A(d)(2)(B) of the act to exempt
transactions that are unlikely to violate the antitrust laws. These
sections
[[Page 13669]]
provide exemptions for certain acquisitions of assets that are abundant
and are used in markets that are generally unconcentrated. These two
factors make it unlikely that a transfer of these types of assets will
have anticompetitive effects. It is thus not necessary to examine each
individual transaction to determine if it will violate the antitrust
laws.
To accommodate parties who choose to structure their transactions
as acquisitions of voting securities rather than as acquisitions of the
underlying assets, new Sec. 802.4 exempts acquisitions of voting
securities of issuers holding assets of two types: (1) assets, the
direct acquisition of which is exempted by section 7A(c)(2) of the act
or Secs. 802.2, 802.3 or 802.5 of the rules, and (2) assets, the direct
acquisition of which is not exempt by section 7A(c)(2) of the act or
Secs. 802.2, 802.3 or 802.5 of the rules, that are valued at $15
million or less. The exemption for the acquisition of the voting
securities of an issuer holding assets, the acquisition of which is
exempt under section 7A(c)(2)--bonds, mortgages, deeds of trust and
other obligations that are not voting securities--is designed to
provide the same treatment for the direct acquisition of such assets (
a transaction which is already exempt from the reporting requirements)
and the acquisition of the voting securities of an issuer holding these
assets.
New Sec. 802.5 exempts acquisitions of investment rental property
assets, the acquisition of which is not already exempted by Sec. 802.2.
Section 802.5 is based on the use to which buyers will put the acquired
assets. The Commission believes that the acquisition of investment
rental property assets--defined in Sec. 802.5(b) as real property that,
except for limited circumstances, will be rented only to entities not
included within the acquiring person and will be held solely for rental
or investment purposes--is unlikely to violate the antitrust laws.
Sections 802.1 through 802.5 are based on the Commission's
authority in section 7A(d)(2)(A) of the act to ``define the terms used
in [section 7A]'' and sections 7A(d)(2) (B) and (C) to ``exempt . . .
transactions which are not likely to violate the antitrust laws'' and
to ``prescribe such other rules as may be necessary and appropriate to
carry out the purposes of [section 7A].'' These exemptions, of course,
relate only to premerger reporting, and transactions exempted from the
reporting requirements by the new rules remain subject to the antitrust
laws.
The Commission is aware that even with the significant coverage of
the new rules, the exempt status of many transactions will remain
unaddressed. These rules do not and are not intended to interpret or
apply to the entire statutory exemption created by section 7A(c)(1).
For example, certain acquisitions of credit card receivables may
qualify for exemption as transfers in the ordinary course of business.
Persons who desire advice on the exempt status of any transfer of
goods, realty or other assets may contact the Premerger Notification
Office, Bureau of Competition, Room 303, Federal Trade Commission,
Washington, DC 20580, or phone (202) 326-3100.
I. Section 802.1: Acquisitions of Goods and Realty in the Ordinary
Course of Business
Section 7A(c)(1) of the act exempts ``acquisitions of goods or
realty transferred in the ordinary course of business.'' Amended
Sec. 802.1 provides that an acquisition of all the assets of an
operating unit is not an acquisition in the ordinary course of
business. It also defines certain acquisitions of goods that are in the
ordinary course of business and therefore exempt from the reporting
requirements. This section primarily covers exemptions for certain
acquisitions of goods. Exemptions for the acquisition of certain types
of realty are set out in new Sec. 802.2. The realty exemptions are not
subject to the exclusion for acquisitions of an operating unit.
Amended Sec. 802.1 defines four categories of acquisitions of
goods: acquisitions of an operating unit, acquisitions of new goods,
acquisitions of current supplies, and acquisitions of used durable
goods. The section states whether and under what circumstances each
type of acquisition is exempt. These four categories of asset
acquisitions are not comprehensive. As noted above, some asset
acquisitions may not fit neatly into any of these defined categories.
Amended Sec. 802.1 has four paragraphs: Paragraph (a) denies the
ordinary course of business exemption to any transfer of goods and
realty that is equivalent to the sale of a business. The next three
paragraphs define acquisitions of goods that may be exempt. Paragraph
(b) exempts the acquisition of new goods, and paragraph (c) exempts the
acquisition of current supplies. Paragraph (d) defines certain
transfers of used durable goods that are within the ordinary course of
business. These include: (1) transfers to and from bona fide dealers,
resellers or lessors; (2) transfers by an acquired person that has
replaced the productive capacity of the assets being sold; and (3)
transfers by an acquired person that has outsourced the management and
administrative support services provided by the goods being sold.
In determining whether a given acquisition of goods and realty is
in the ordinary course of business and is therefore exempt under a
provision of amended Sec. 802.1, one must first determine if the assets
are substantially all of the assets of an operating unit. If the assets
being sold comprise all or substantially all of the assets of an
operating unit of the seller, the inquiry ends there, and the
acquisition is not exempt as a transfer of goods or realty in the
ordinary course of business. If the assets do not constitute all or
substantially all of the assets of an operating unit, then the goods
should be classified as either new goods, current supplies or used
durable goods.
The organization of Sec. 802.1 is intended to make it easier to
identify routine acquisitions that meet the criteria of section
7A(c)(1) for an exemption as an acquisition of goods transferred in the
ordinary course of business. Sales of new goods and purchases of
current supplies are frequent. The objective of the businesses covered
by paragraphs (b) and (c) is to buy, sell or lease such goods and
supplies; thus such transactions meet the common meaning of transfers
in the ordinary course of business. Exempting these transactions
facilitates acquisitions of new goods that normally expand the supply
of products or expand productive capacity and therefore do not tend to
lessen competition. In contrast, acquisitions of entire operating units
are not within the common meaning of ``ordinary course'' and have the
potential to concentrate productive capacity and thereby diminish
competition.
Proposed Sec. 802.1 addressed only exemptions for acquisitions of
goods in the ordinary course of business. Acquisitions of realty in the
ordinary course of business are also exempted, pursuant to section
7A(c)(1) of the act. Section 802.2 covers certain exemptions for
acquisitions of realty, and it is possible that acquisitions of realty
other than those identified in Sec. 802.2 are transfers of real
property in the ordinary course of business that are exempt. Language
added to Sec. 802.1 concerning realty makes the provision consistent
with the exemption provided in section 7A(c)(1).
A. Operating Unit. Amended Sec. 802.1(a) excludes from the ordinary
course of business exemption any acquisition of all or substantially
all of the assets of an ``operating unit.'' As defined by the amended
provision, an
[[Page 13670]]
operating unit is a collection of assets that has been operated as a
business undertaking and that may include goods, realty and other types
of property. Amended Sec. 802.1(a) also indicates that operating units
are not necessarily separate legal entities. A determination of which
groups of assets constitute an operating unit within a company will
vary significantly among businesses, because the manner in which
businesses are organized is company-specific. Thus, examples of
operating units include, but are not limited to, regional divisions,
company branches, international operations, a hospital, a retail store,
a factory or a processing facility.
The definition of operating unit indicates that the assets that
comprise the unit are operated ``in a particular location or for
particular products or services.'' Proposed Sec. 802.1(a) defined an
operating unit as assets operated ``in a particular geographic area or
for particular products or services.'' The word ``location'' was
substituted for ``geographic area'' since a single location of a
company's business, i.e., a manufacturing plant, a retail store, a
funeral home, constitutes an operating unit. Each location of a
company's operations is viewed as a separate business undertaking, and
the purchase of all of the assets of one of a company's stores or
production facilities is not a transaction within the ordinary course
of business. Because amended Sec. 802.1(a) no longer uses the term
``geographic area,'' the determination of which of the seller's
operations comprise an operating unit is no longer dependent in part
upon whether certain locations are sufficiently proximate to comprise a
business undertaking in a particular geographic area. Example 1 to
Sec. 802.1 illustrates that an operating unit consists of one grocery
store within a company's chain of stores.
A key factor in determining whether a group of assets being sold
constitutes an operating unit is whether the seller, as a result of the
sale, will cease to sell particular products or provide particular
services from a specific location or will exit the business of selling
particular products or providing particular services. The operating
unit definition specifically excludes references to relevant product
markets and relevant geographic markets. Thus, a section 7 antitrust
analysis is unnecessary and inappropriate in determining whether assets
being sold comprise an operating unit for purposes of determining
whether notification is required.
Another probative factor in determining whether a group of assets
constitutes an operating unit is whether the seller derived third party
revenues from the use of the assets. In certain cases, this factor may
distinguish an operating unit from a set of assets that have been used
solely to provide management and administrative support services, such
as in-house accounting or billing services, that generate no third
party revenues directly but support the seller's business operations.
Amended Sec. 802.1(a) uses the term ``operating unit'' rather than
the term ``operating division'' used in existing Sec. 802.1(b). The
latter term has created some uncertainty because certain business
entities use the term ``division'' in a manner that may not be
consistent with this rule. For example, a business might use the term
``division'' to designate an unincorporated administrative segment of
its enterprise, such as the ``East Coast Division'' or the ``Tri-State
Division,'' that provides support functions to the business''
manufacturing activities. Such usage is designed to serve the needs of
the business. The term ``operating unit'' has been adopted in order to
make clear that the application of the rule is not dependent on the
terminology used by a business.
Comment 11 suggested that Sec. 802.1(a) be revised to focus on
whether the seller is exiting a line of business or a geographic area.
However, the wording of amended Sec. 802.1(a) makes no explicit
reference to the seller's exit from a line of business or geographic
area. As discussed above, this provision no longer emphasizes the
operation of a business undertaking in a particular geographic area;
instead, the focus is on the location of a specific business
undertaking. Also, while the seller's exit from a business segment can
be a major indication that certain assets constitute an operating unit,
it is not that only possible indication. The extent to which the assets
are used to generate third party revenues is also an important factor
and may determine that a group of assets comprises an operating unit,
even though there may be disagreement as to whether the seller is
actually exiting a business segment. For example, the sale of revenue
generating assets at a specific location can be the sale of an
operating unit even if the seller is continuing in that line of
business at other locations.
Comment 11 also suggested that the operating unit should be defined
as assets operated by the acquired person as a business undertaking
including all similar products or services offered by the acquired
person, or all operations in a geographic area. Interpretation of the
terminology ``similar products or services'' could require a
complicated analysis of the seller's products to determine whether the
assets being sold were used to manufacture those products of the seller
that were sufficiently different from the seller's other products to
deem that an operating unit was being transferred. Thus, the suggested
language was not adopted in order to avoid the necessity of such an
analysis.
B. New Goods. Amended Sec. 802.1(b) describes the type of
acquisitions of goods that are most commonly referred to as
acquisitions ``in the ordinary course of business.'' This paragraph
exempts acquisitions of new goods, which are typically routine sales of
inventory by manufacturers, wholesalers or retailers conducted in the
ordinary course of business.
Proposed Sec. 802.1(b) exempted acquisitions of new goods
``produced by the acquired person for sale, or * * * held by the
acquired person solely for resale.'' The proposed rule did not exempt
any acquisitions of goods from a seller that purchased or produced the
goods for his own use but decided to sell the goods without using them.
This language was eliminated from amended Sec. 802.1(b) in order to
simplify the rule. Further, the change addresses a concern raised by
Comment 21 that the proposed rule would not exempt acquisitions of new
equipment from companies that ordered the equipment for their own use
but discovered before or upon delivery that they could not use the
equipment. The Commission has concluded that such sales should be
exempt because sales of new equipment that are not part of the sale of
an operating unit are not likely to raise an antitrust concern, even
though the equipment may have been purchased by the seller for use. As
a result of the deletion of this language, the rule no longer focuses
on the purpose for which the acquired person holds the new goods. The
exemption is also available for acquisitions of goods that the seller
in good faith considers to be new, even though he may have used the
goods for demonstration purposes, customer trials or other purposes
that are incidental to the sale of the goods. The term ``new'' implies
that the goods have not been used to generate income.
Comments 9, 13 and 21 suggested that an exemption be included for
acquisitions of new goods produced or held for lease. Amended
Sec. 802.1(b) adopts this suggestion by exempting acquisitions of new
goods regardless of the purpose for which the goods were produced or
acquired. As a result, an equipment leasing company that sells new
inventory that it has been unable to lease may avail itself of the
exemption as long as the inventory of new goods
[[Page 13671]]
does not constitute an operating unit of the company.
The exemption set forth in paragraph (b) does not apply to any
acquisition of new goods which are sold as part of a transaction that
includes all or substantially all of the assets of an operating unit.
This limitation on the exemption of new goods would apply even if all
the assets transferred were new goods held solely for the purpose of
resale. For example, if a marine supply wholesaler purchased the entire
inventory of another marine supply wholesaler which owned only an
extensive inventory of hundreds of items from different manufacturers,
the acquisition would not be exempt, even though the sale is composed
entirely of new goods. The sale of all of its inventory would be
considered the sale of all or substantially all of its business since
the primary assets of such a wholesaling business are inventory.
C. Current Supplies. Amended Sec. 802.1(c) describes another
category of asset acquisitions--the acquisition of ``current
supplies''--that qualifies for the ordinary course exemption. ``Current
supplies'' is a new term to the rules and is described in subparagraphs
(1), (2) and (3). Current supplies include goods bought solely for the
purpose of resale or leasing to an entity not included within the
acquiring person, raw materials, components, maintenance supplies and
the like. Current supplies are generally purchased frequently and are
used for inventory by the purchaser, consumed in the daily conduct of
business or incorporated into a final product. Current supplies may
also consist of used durable goods, discussed in new Sec. 802.1(d),
which, for example, may be purchased as inventory by equipment leasing
companies or used equipment dealers. However, acquisitions of current
supplies are not in the ordinary course of business if they are
acquired as part of an acquisition of all or substantially all the
assets of an operating unit.
In proposed Sec. 802.1(c), the term ``current supplies'' explicitly
excluded used durable goods. Amended Sec. 802.1(c) now redefines
``current supplies'' to eliminate this exclusion, as suggested by
Comments 9 and 21. Although ``used durable goods'' are addressed
explicitly in Sec. 802.1(d), the Commission recognizes that used
assets, as well as new assets, may meet the definition of ``current
supplies'' in Sec. 802.1(c). Parties are permitted to claim the
exemption even if the goods purchased are not new, so long as the
acquired goods are to be held for third-party resale or lease, are to
be consumed by the buyer, or are otherwise incorporated in the
acquiring person's final product.
Amended Sec. 802.1(c)(1) includes additional language to make clear
that the exemption does not apply unless the goods being acquired will
be resold or leased to an entity that is not within the acquiring
person. The addition prevents a buyer from claiming the exemption for
the acquisition from a competitor of used productive equipment which
the buyer in turn resells or leases to a subsidiary.
The used durable goods provision, Sec. 802.1(d), contains a
provision exempting the acquisition of the category of goods described
in proposed Sec. 802.1(c)(1) as goods acquired for the purpose of
resale or leasing. The language of amended Sec. 802.1(c)(1) has been
changed largely to mirror the language of the comparable provision in
the used durable goods exemption, Sec. 802.1(d)(1). Read together, the
amended provisions exempt, with certain exceptions, acquisition of new
goods and used durable and non-durable goods that are acquired and held
solely for the purpose of resale or leasing to entities not within the
acquiring person.
Amended Sec. 802.1(c) also adds goods acquired for lease to the
categories of assets comprising current supplies. These changes, also
suggested in Comments 9 and 21, make the exemption available for
inventory purchases of equipment by leasing companies.
The acquisition of current supplies is unlikely to create or
extinguish a competitive entity and is therefore exempt unless acquired
as part of an acquisition of an operating unit. In applying paragraph
(c), the focus is on the business of the acquiring person to determine
if the exemption is available.
D. Used Durable Goods. Amended Sec. 802.1(d) provides that certain
acquisitions of used durable goods qualify for the ordinary course of
business exemption. The term ``used durable good'' is new to the rules
currently in force. It is defined as a used good which was ``designed
to be used repeatedly and has a useful life greater than one year.''
The Commission recognizes that sales of used durable goods often meet a
common sense definition of transfers of goods in the ordinary course of
business and that some categories of used durable goods acquisitions
lack competitive significance. Sales of such used durable goods may be
routine and considered by parties to be in the ordinary course of their
businesses. Sales of used durable goods may also facilitate the
purchase of a new generation of equipment that will increase the
productive capacity of a business.
Paragraph (d) represents an attempt to identify certain categories
of transfers of used durable goods that meet a common sense definition
of ``ordinary course'' and appear unlikely to violate the antitrust
laws: (1) when the goods are being acquired and held solely for the
purpose of resale or leasing to an entity not within the acquired
person; (2) when the goods are being acquired from an acquired person
holding the goods solely for resale or leasing to an entity not within
the acquired person; (3) when the acquired person is replacing or
upgrading the productive capacity provided by the goods being sold; and
(4) when the acquired person is outsourcing the management and
administrative support services provided by the goods being sold.
An acquisition of used durable goods is exempt as within the
ordinary course of business if two requirements are satisfied. The
first requirement is that they must not be acquired as part of an
acquisition of an operating unit as defined in Sec. 802.1(a). Thus, if
the used durable goods constitute, or are being acquired as part of a
group of assets that constitute, a business undertaking in a particular
location or for particular products or services, the ordinary course
exemption does not apply.
The second requirement for exempting an acquisition of a used
durable good is that any one of four criteria set forth in the amended
rule must be satisfied. The first criterion, that the goods must be
acquired and held solely for the purpose of resale or leasing to an
entity not within the acquiring person (i.e., current supplies as the
term is used in Sec. 802.1(c)(1)), and the second, that the acquired
person must have held the goods at all times solely for resale or
leasing to an entity not within the acquired person, represent an
exemption for dealers whose business is to purchase and sell used goods
and for equipment leasing companies which buy used goods for leasing
purposes. After considerable assessment of the necessity and
applicability of Sec. 802.1(d)(1) and (2), the Commission believes that
the exemption should be included to allow dealers to make transfers
within the ordinary course of their business, in good faith
transactions conducted on their own behalf, without having to observe
the reporting and waiting requirements. However, the Commission will
closely monitor such transactions to ensure that the exemption is not
being used as a ploy by two or more parties acting in concert to
circumvent the notification requirements of the act.
[[Page 13672]]
Comment 9 recommended that proposed Sec. 802.1(d)(1) and (2) apply
even when the acquiring person is an intermediary, since dealers often
search for used equipment at the request of the ultimate buyer. The
Commission declines to adopt this recommendation, which would permit
potentially anticompetitive transfers of used equipment to occur
without a reporting requirement if the dealer brokers the transaction
for the seller or the ultimate buyer. Thus, the exemption is
unavailable if the person making the acquisition is in reality an
intermediary for either the seller or another person who intends to
hold the goods (see Example 6 to Sec. 802.1). This limitation attempts
to forestall abuse of the dealer exemption by requiring notification in
circumstances where the dealer is acting as a broker or an agent for a
purchaser or a seller. In these instances, the dealer generally does
not take beneficial ownership of the goods and thus is not actually
acquiring the goods. The true parties to the acquisition--the seller
and the person that will have beneficial ownership of the goods as a
result of the acquisition--should be subject to the notification
requirements.
In proposed Sec. 802.1(d), the first criterion, (d)(1), limited the
exemption to purchases of goods acquired and held solely for resale,
and the second criterion, (d)(2), exempted acquisitions of goods
purchased from a seller who had acquired and held the goods solely for
resale. Amended Sec. 802.1(d) exempts acquisitions of goods acquired
and held solely for the purpose of resale or leasing and acquisitions
of goods from a seller who had acquired and held the goods solely for
resale or leasing. The provision now exempts inventory purchases and
sales by leasing companies of used durable goods that they have leased
or held for lease to third parties, as long as the goods are not being
purchased or sold as part of the transfer of an operating unit. Such
transactions are within the ordinary course of business of leasing
companies, which typically acquire goods for leasing and sell goods
which they have held for leasing. The revisions address concerns raised
in Comments 6, 11, 13, 16 and 21 about the inclusion in the used
durable goods provisions of exemptions for sales and purchases of
leased goods.
Amended Sec. 802.1 (d)(1) and (d)(2) change the language of the
proposals to clarify that the exemptions within these provisions are
available only if (1) the buyer acquires the goods to resell or lease
to an entity that is not within it, or (2) the buyer acquires goods
that the seller has held only to resell or lease to entities not within
it. As noted above, this change was also made to Sec. 802.1(c)(1), one
of the current supplies provisions.
In proposed and amended Sec. 802.1(d)(2), the exemption applies
only if the goods are acquired from an acquired person who held the
goods solely for resale or leasing. The limitation that the goods be
held solely for resale or lease is designed to guard against transfers
by a seller who has used the goods to maintain a competitive presence
and is now selling productive capacity.
The third criterion in Sec. 802.1(d) recognizes that it is in the
ordinary course of business for a company to replace or upgrade
productive capacity and to sell the capacity it is replacing. Thus, an
exemption is permitted for the sale of used durable goods if all or
substantially all of the productive capacity of these goods is being
replaced. Such replacements may result in an increase in the acquired
person's productive capacity or manufacturing efficiencies. The
exemption will not apply unless the acquired person has already
replaced the capacity or taken definitive steps to replace the capacity
of the goods being sold. In addition, these steps must have been taken
in good faith; this requirement prevents sham contracts that the
acquired person cancels after transferring the productive capacity
without observing the notification requirements and without replacing
the capacity.
Proposed Sec. 802.1(d)(3) imposed no time limit between the
replacement of the capacity and the sale of the capacity being
replaced. However, a key factor in determining whether the goods being
sold represent productive capacity that has been or will be replaced is
whether the sale is sufficiently contemporaneous with the past or
future purchase of replacement goods such that the goods being sold
represent a bona fide sale of replaced capacity. To insure that the
replacement of capacity is sufficiently contemporaneous,
Sec. 802.1(d)(3) has been modified to require either that the capacity
has been replaced within the six months prior to the sale of the goods
being replaced, or that a contract has been executed in good faith to
replace the capacity within six months.
Proposed Sec. 802.1(d)(3) allowed use of the exemption if the
acquired person had executed either a contract, agreement in principle
or letter of intent to replace the capacity of the goods being sold.
The exemption now requires an executed contract for the purchase of the
replacement equipment, since only the contract imposes a binding
obligation on the seller to acquire the equipment to replace the
capacity of the goods being sold.
Normally companies that intend to remain in a particular business
do not sell capacity prior to replacing that capacity or making
contractual arrangements to replace the capacity. If the replacement of
capacity is not sufficiently proximate to the sale of the goods
representing the capacity replaced, a firm could experience an absence
from the market that would have a detrimental effect on its competitive
position. The six-month windows will permit firms to integrate the new
replacement equipment into its operations for a reasonable period of
time before selling the used equipment. The six-month windows will also
allow a company to operate without the replacement capacity but only
for a brief period of time so as not to affect adversely its
competitive presence in the market.
The rule allows replacement of the productive capacity of the used
durable goods being sold by acquisition or by lease. No minimum lease
term is specified; however, in order for an acquisition of the goods
being replaced to be in the ordinary course of business, the
replacement goods must be leased for a period that is substantially
long enough to maintain or increase the company's productive capacity.
Such a period is industry specific and must be determined in good faith
by the acquired person. Because this provision requires that all or
substantially all of the productive capacity be replaced, the exemption
is lost if the replacement goods result or will result in more than a
de minimis decrease in the acquired person's capacity or an exit from a
line of business in which the acquired person currently operates.
The fourth criterion permits an exemption for sales of used durable
goods if (1) the goods are used by the acquired person solely to
provide management and administrative support services for the acquired
person's business operations, and (2) the acquired person has in good
faith executed a contract to outsource the management and
administrative support services provided by the goods being sold.
Management and administrative support services include services such as
accounting, legal, purchasing, payroll, billing and repair and
maintenance of the acquired person's own equipment. For example, a
company that has equipment in-house to provide its administrative data
processing needs may decide that it would be more cost effective to
have a third party provide these services. To accomplish this
objective, the company
[[Page 13673]]
may enter into a contract with a third party for these services and
sell all of the equipment it used internally to provide this function.
Such transfers appear unlikely to pose any competitive concern.
Proposed Sec. 802.1(d)(4) used the term ``auxiliary functions'' to
describe the services provided by the goods being sold. That term has
been changed in new Sec. 802.1(d)(4) to ``management and administrative
support services.'' This term is more descriptive and conveys more
clearly that these services support the business operations of the
acquired person and are not integral to the person's business
operations.
The rule does not define ``management and administrative support
services'' but instead lists certain services that are included within
that term and other services that are not included.
Although companies will sometimes outsource the manufacturing of
some products they market, the sale of used durable goods that were
used to manufacture those products does not qualify for exemption under
this provision. Manufacturing, including the manufacturing of inputs
for other products produced by the acquired person, is not a management
and administrative support service within the meaning of this
exemption. Thus, if a company decides to sell the equipment it had used
to manufacture a product, even if it had entered into a contract for a
third party to manufacture the product, the sale of that equipment is
not exempt under Sec. 802.1(d)(4). The loss of the company's control
over the manufacturing of the product may raise competitive concerns
warranting investigation by the enforcement agencies.
In the Statement of Basis and Purpose to the proposed rules,
research and development, testing and warehousing were listed as
auxiliary support functions. The Commission does not consider these
activities to be management and administrative support services; they
are integral to a company's product design, development, production and
distribution and thus are tied directly to the competitive business
activities of the company. In an analysis of a given industry, these
activities may have a significant impact on issues involving
innovation, entry and product distribution.
The exemption requires that the goods have been used ``solely'' to
provide the acquired person with management and support services for
its business operations. The transfer of goods that solely provide
internal management and administrative support services does not
constitute the acquisition of an operating unit. A company division
that only provides management and administrative support services to
the company's operating units is not itself an operating unit; it
supports or benefits the company's operating units. For example, in a
company containing a division that only provides the company's internal
data processing needs, that division would be deemed to provide
management and administrative support services. The limitation on the
sale of an operating unit contained in Sec. 802.1(a) would not exclude
from the exemption under Sec. 802.1(d)(4) the sale of all of the
equipment from that division. However, if that division derived
revenues from providing data processing services to third parties, then
the unit would be considered to be an operating unit. Further,
equipment used to derive third party revenues would not have been used
solely to provide management and administrative support services for
the business operations of the acquired person.
Proposed Sec. 802.1(d)(4), like proposed Sec. 802.1(d)(3),
permitted the use of the exemption if the acquired person had a
contract, agreement in principle or letter of intent to obtain the
administrative and management support services provided by the goods
being sold. New Sec. 802.1(d)(4) requires that the acquired person
execute in good faith a contract for the services to be outsourced. The
contract gives rise to a binding obligation on the acquired person to
outsource the services provided by the goods being sold.
Comment 14 suggested that a sale of goods pursuant to the decision
to downsize or discontinue a management and administrative support
service should also be included within the exemption. The
recommendation was not adopted because the Commission does not have
sufficient information and knowledge at this time to conclude that the
elimination--as opposed to the outsourcing--of management and
administrative support services in every business setting is unlikely
to raise competitive concerns.
Comment 7 suggested that examples to Sec. 802.1(d)(4) that
distinguish between goods that perform a management and administrative
support service and goods that are an integral part of operations that
affect competition be changed to reflect a more objective standard,
such as goods that generate third party revenues. This suggestion was
not adopted because of the variation among industries of the factors
that distinguish goods that perform management and administrative
support services from goods that are integral to the business
operations of the company. In a vertically integrated company, for
example, equipment it used for componentry manufacture would not be
considered goods that perform a management and administrative support
service, even though the company derived no third party revenues from
the sale of the components, but used the components in the manufacture
of its final products. Example 12 illustrates a similar application of
Sec. 802.1(d)(4). Therefore, if a company has an internal operation
that also derives third party revenues, that operation will not be
considered a management and administrative support service; however,
the fact that a company's internal operation does not derive third
party revenues does not automatically make the operation a management
and administrative support service.
Comments 10 and 27 recommended an exemption for transfers of used
airplanes that do not qualify for the exemption in Sec. 802.1(d)(3).
Comment 27 presented statistics showing that there may be little
correlation between used equipment sold by air carriers and new
equipment that they purchase. The commenter stated that this absence of
correlation would make the exemption in Sec. 802.1(d)(3) unavailable
for most potentially reportable sales of used aircraft. Comment 10
suggested an exemption for acquisitions of less than 15 percent of an
air carrier's total productive capacity, while Comment 27 stated that
exempt acquisitions of used aircraft and spare parts should be limited
to less than 15 percent of an air carrier's total productive assets.
Although a specific exemption for acquisitions of used aircraft has
not been added to the final rules, the recommendations and concerns
raised by Comments 10 and 27 are still under consideration. In
providing certain limited exemptions for transfers of used durable
goods in this rulemaking, the Commission's primary concern is that the
acquisitions that qualify for these exemptions are ordinary course of
business transactions and do not constitute either significant
downsizing or substantial transfers of productive capacity without
replacement. The recommendations made by Comments 10 and 27 suggest a
less restrictive exemption for sales of aircraft that would not require
replacement and would permit limited downsizing. The Commission has no
experience in implementing HSR exemptions based on the sale of a
limited percentage of the acquired person's capacity or assets or a
basis to conclude that such acquisitions do not pose competitive
[[Page 13674]]
concerns. Moreover, an exemption based on the sale of capacity would
present difficulties in determining the appropriate measure to use in
applying the exemption. However, Comments 10 and 27 have raised issues
that may be unique to the airline industry, and the Commission believes
that further consideration is needed.
Other additions to Sec. 802.1(d) that were suggested by commenters
include a recommendation in Comment 3 to exempt purchases of goods for
the purpose of demolition, disassembly and sale of usable parts (e.g.,
an oil tanker being sold for scrap and parts) and goods that can no
longer lawfully be used for the purpose for which they were used by the
acquired person (e.g., oil tankers no longer allowed to call on U.S.
ports because of hull restrictions that are sold for other lawful
uses). Specific provisions to address these types of transactions were
not adopted. Most purchases of used equipment for scrap and parts
should be exempt as an acquisition of current supplies under
Secs. 802.1(c)(1) and 802.1(d)(1). With regard to the second exemption
suggested, the Commission does not have evidence to show that such
transactions occur with sufficient frequency to warrant the addition of
the exemption, and it is not confident that a clearly-bounded exemption
could be created to cover a category of transactions not likely to
violate the antitrust laws.
II. Section 802.2: Certain Acquisitions of Real Property Assets
New Sec. 802.2 exempts eight categories of real property
acquisitions from the reporting requirements of the act. These include
acquisitions of new facilities, certain used facilities by the original
lessee in a lease financing arrangement, unproductive real property,
office and residential property, hotels and motels, recreational
property, agricultural property, and rental retail space and
warehouses.
This new rule creates new exemptions for several categories of real
property acquisitions that the enforcement agencies, after extensive
review, have concluded ``are not likely to violate the antitrust
laws.'' Section 7A(d)(2)(B) of the act. For the most part, the types of
real property assets that are included within this exemption are
abundant, and their holdings are widely dispersed. Transfers of these
categories of real property are generally small relative to the total
amount of holdings, and entry into regional and local markets for these
types of real property assets is usually easy.
Previously, the Premerger Notification Office had interpreted
section 7A(c)(1) of the act as exempting certain acquisitions of new
facilities, undeveloped realty, office buildings and residential
property as transfers of realty in the ordinary course of business.
Although new Sec. 802.2 is not based on section 7A(c)(1) of the act,
certain acquisitions of realty exempted by this new exemption may also
qualify for exemption as transfers of realty in the ordinary course of
business. The primary difference between new Sec. 802.2, that exempts
the acquisition of certain types of realty, and amended Sec. 802.1,
that exempts the acquisition of goods and realty in the ordinary course
of business, is that the former--because it is not based on the
``ordinary course'' concept--does not limit the exemption to
acquisitions that are not acquisitions of operating units. In fact,
several categories of realty exempted by new Sec. 802.2, e.g., hotels,
motels and agricultural land, may qualify as operating units, but they
are exempt under this provision.
The exemptions for new facilities, certain used facilities,
unproductive real property, office and residential property, hotels and
motels, certain recreational land, agricultural property, rental retail
space and warehouses state that any non-exempt assets that are being
transferred as part of an acquisition of the exempt assets are
separately subject to the requirements of the act and the rules. This
approach to non-exempt portions of acquisitions is also used in
Sec. 802.3. The Commission recognizes that this approach may result, as
Comment 9 has pointed out, in ``a more fragmented analysis * * *
generating value allocation issues.'' However, the Commission believes
that this inconvenience is offset by an approach that results in an
expanded exemption for realty acquisitions.
A. New Facilities. New Sec. 802.2(a) exempts the acquisition of new
facilities, which may include real estate, equipment and assets
incidental to the ownership of the new facility. The term ``new
facility'' is new to the rules, and the Commission has concluded that
acquisitions of new facilities are not likely to violate the antitrust
laws. Although the provision is intended primarily to exempt
``turnkey'' facilities, i.e., new facilities capable of commencing
operations immediately with minimal additional capital investment, it
does not require that the facility be ready for immediate occupancy.
The facility may need additional construction or outfitting at the time
it is purchased and still qualify for the exemption. However, if the
facility requires a substantial amount of additional construction or
outfitting, it may not be classified as a new facility but may qualify
as unproductive real property as defined in new Sec. 802.2(c).
The new exemption is unchanged from proposed Sec. 802.2(a), and it
applies only to new structures that have not produced income. It also
applies only if the acquired person has held the facility at all times
solely for sale. The language of the exemption allows the holder of the
new facility to be either a builder of the facility (``constructed by
the acquired person for sale'') or other persons, such as a creditor,
who take possession of a new facility with the intention of selling it
(``held at all times by the acquired person solely for resale''). These
limitations prevent the sale by an acquired person of capacity
constructed for the acquired person's use, as Example 1 to Sec. 802.2
illustrates.
New Sec. 802.2(a) requires separate valuation of non-exempt assets
being purchased in an acquisition of a new facility. If the value of
the non-exempt assets exceeds $15 million, and no other exemptions
apply, then the purchase of these non-exempt assets is separately
subject to the notification requirements.
B. Used facilities. New Sec. 802.2(b) exempts the acquisition of a
used facility by a lessee that has had sole and continuous possession
and use of the facility since it was first built, from a lessor that
holds title to the facility for financing purposes in the ordinary
course of its business. This provision was not contained in the
proposed rules. It is being adopted in response to Comment 6.
New facilities are often acquired through lease financing
arrangements. In a lease financing arrangement a creditor, in a bona
fide credit transaction entered into in the ordinary course of its
business, acquires a new facility and immediately leases it to a lessee
that will have sole and continuous use and possession of the facility,
usually under a long-term lease. The lessee generally has the option to
purchase the facility from the lessor at or before the end of the lease
term. Currently, there is no exemption for this acquisition even though
the acquisition of the new facility may have been exempt under
Sec. 802.2(a) if the lessee had acquired the facility directly when it
first began operation and had financed the purchase through an
installment sales arrangement.
New Sec. 802.2(b) will effectively treat the subsequent acquisition
by the original lessee of a used facility that the lessee originally
took possession of as a new facility through a lease financing
arrangement the same as the direct
[[Page 13675]]
purchase of a new facility through a more traditional credit
arrangement. This new exemption also will effectively treat this
category of acquisitions the same as an acquisition of a leased
facility by a lessee subject to a sale/leaseback arrangement. In a
sale/leaseback arrangement the owner of a facility sells the facility
to a creditor that acquires it in a bona fide credit transaction in the
ordinary course of its business. The creditor immediately leases the
facility back to the owner, now lessee, under a long-term lease. The
arrangement is often used as method of raising capital. Since the
original owner/lessee held beneficial ownership of the facility prior
to the sale/leaseback arrangement and the lessor typically receives
only title and a security interest in the facility, the Premerger
Notification Office generally has informally interpreted the rules to
require no notification for the subsequent repurchase because the
original owner/lessee did not relinquish beneficial ownership when it
entered into the sale/leaseback arrangement.
C. Unproductive real property. New Sec. 802.2(c) exempts
acquisitions of unproductive real property. Subject to the limitations
of Sec. 802.2(c)(2), unproductive real property is real property,
including raw land, structures or other improvements, associated
production and exploration assets as defined in Sec. 802.3(c), natural
resources and assets incidental to the ownership of the real property,
that has not produced revenues of more than $5 million during the 36
months preceding the transaction. Structures and improvements are
additions to the real property that add value and include, for example,
buildings and parking lots. Production machinery and equipment are not
included in the definition of structures and improvements, and their
acquisition must be analyzed separately to determine whether
notification is required. Natural resources refers to any assets
growing or appearing naturally on the land, such as timber and mineral
deposits.
New Sec. 802.2(c)(2) excludes from the exemption acquisitions of
manufacturing and non-manufacturing facilities that have not yet begun
operations as well as facilities that have been in operation at any
time during the twelve months preceding the acquisition. The exclusion
for manufacturing and non-manufacturing facilities that have not begun
operations is narrow and applies to facilities that are held by a
person who neither constructed the facility for sale nor held the
facility at all times for resale. The acquisition of a new structure
from a person who built the facility to sell or held it solely for
resale is exempt under new Sec. 802.2(a), the exemption for new
facilities. The exclusion in Sec. 802.2(c)(2)(i) is also intended to
apply to ``turnkey'' facilities, i.e., new facilities capable of
commencing operations immediately with minimal additional capital
investment; whether acquisition of a ``turnkey'' facility is exempt is
determined under Sec. 802.2(a). A new facility that is partially
complete, is not ready to commence operation in the immediate future
and requires substantial additional capital investment is not yet a
manufacturing or non-manufacturing facility within the meaning of
Sec. 802.2(c)(2)(i). Such a facility may qualify as unproductive real
property.
New Sec. 802.2(c)(2)(iii) also excludes real property that is
either adjacent to or used in conjunction with real property that does
not qualify as unproductive real property and is part of the
acquisition. This exclusion is intended to make Sec. 802.2(c)
unavailable for the acquisition of vacant land adjoining productive
property, such as a factory, a poultry processing facility or a meat
packing plant, which is also part of the acquisition. This exclusion
was not in the proposed rule. Without this exclusion, it might have
been argued that the acquisition of the vacant land should be exempt
under Sec. 802.2 if income has been derived only from the factory and
not from activities taking place on the vacant land. However, this
exemption is not permitted under Sec. 802.2(c) because the vacant land,
due to its adjacency to the factory, is considered to be part of the
productive property that is being acquired. If the vacant land were not
adjoining the factory but were used in connection with the factory
operations, the Sec. 802.2(c) exemption would still be unavailable for
the acquisition of the vacant land because it was used in conjunction
with the factory. Example 7 illustrates this exclusion from
Sec. 802.2(c).
The primary purpose of new Sec. 802.2(c) is to eliminate filing
requirements for acquisitions of formerly productive property, which is
no longer used to generate revenues, and undeveloped, non-income
producing property. New Sec. 802.2(c) will exempt most wilderness and
rural land that is not used commercially, and urban land that is vacant
or contains facilities that have ceased operations more than twelve
months prior to the acquisition and that have generated a minimal
amount of income during the most recent three-year period.
``Associated production and exploration assets as defined in
Sec. 802.3(c),'' was added to the definition of unproductive real
property in response to Comments 15 and 24. This addition will include
within the exemption for acquisitions of unproductive real property any
machinery or equipment associated with a formerly productive coal mine
or oil and gas reserve that has not been in operation for twelve months
prior to the acquisition and has not generated revenues of more than $5
million during the thirty-six months prior to the acquisition.
New Sec. 802.2(c)(2) incorporates a suggestion made by Comment 14
that the language of the proposed rule's exclusion for manufacturing
and non-manufacturing facilities ``that began operation within the
twelve (12) months preceding the acquisition'' be modified. Comment 14
pointed out that the proposed exemption excludes from the definition of
unproductive real property facilities that began operation during the
twelve-month period prior to the acquisition but includes operations
that were commenced more than twelve months before the acquisition. One
of the concepts underlying this exemption is to exclude from the
reporting requirements formerly productive facilities, i.e., facilities
whose operations have ceased and are no longer being used to generate
revenues. The exemption was not intended to apply to manufacturing and
non-manufacturing operations begun more than twelve months prior to the
acquisition and continuing to operate during the twelve-month period
prior to the acquisition. The language suggested by Comment 14 excludes
from the exemption manufacturing and non-manufacturing facilities that
were in operation at any time during the twelve months preceding the
acquisition. Because this language is more consistent with the
``formerly used/abandoned facilities concept'' underlying this
exemption, the Commission has decided to adopt this suggestion in the
final rule.
Comment 14 also suggested that language be added to Sec. 802.2(c)
that, for purposes of this provision, no revenues be deemed generated
by any real property used solely to provide management and
administrative support services (formerly ``auxiliary support
functions'') for the business operations of the acquired person. The
commenter expressed concern that while the acquisition of goods used by
the seller to provide these support services would be exempt under
Sec. 802.1(d)(4), the acquisition of a facility used only to house
equipment that provides these support services may not be exempt from
the notification requirements. The
[[Page 13676]]
Commission agrees that if the acquisition of the equipment providing
the management and administrative support service is exempt under
Sec. 802.1(d)(4), then the acquisition of a facility used solely to
house the equipment should be exempt. However, in most cases this type
of facility can be classified as office property, the acquisition of
which is exempt under Sec. 802.2(d).
D. Office and residential property. New Sec. 802.2(d) exempts
acquisitions of office and residential property. ``Office or
residential property'' is defined as real property that is used
primarily for office or residential purposes.
The rule specifies that in determining whether real property is
used primarily for office or residential purposes, the total space
being measured should consist of real property, the acquisition of
which is not exempted by other provisions of the act or rules.
Therefore, in making this determination, any portion of the building
consisting of, for example, rental retail space, the acquisition of
which is exempt under Sec. 802.2(f), should be excluded.
The language of new Sec. 802.2(d)(2) differs somewhat from the
language in the proposed rule in order to make clearer the procedure
for determining whether real property is used primarily for office and
residential purposes. Although new Sec. 802.2(d) does not specify the
meaning of ``primarily,'' it is contemplated that at least 75 percent
of the space in the qualifying property is used for office or
residential purposes. Example 8 applies this threshold to exempt the
acquisition of a multi-u
FR Doc. 96-7529 Premerger Notification; Reporting and Waiting Period Requirements
se building.
If the acquisition includes assets other than office or residential
property, the acquisition of those assets is separately subject to the
notification requirements. For example, if the acquiring person is also
purchasing a factory for $20 million, the acquisition of the factory is
separately subject to the reporting requirements.
New Sec. 802.2(d)(3) also specifies that if the purchaser is
acquiring a business that is conducted on the office or residential
property, the acquisition of the business, including the space in which
the business is conducted, is separately subject to the notification
requirements of the act. For example, if a company owns an office
building in which it operates a department store and the purchaser of
that building is acquiring not only the space that the store occupies
but also the retail operations of the department store, the acquisition
of the department store business as well as the space that the store
occupies is subject to the notification requirements of the act. If the
value of the business and the space in which the business is conducted
exceeds $15 million, the acquisition of the department store business
is reportable.
The inclusion of ``assets incidental to the ownership of office and
residential property'' is derived from the language of existing
Sec. 802.1. Although incidental assets may have value apart from the
real property, they are often necessary for the continued and
uninterrupted use of the property. Therefore, incidental assets are
included in the description in new Sec. 802.2(d) of office and
residential property and are exempt assets.
Comment 14 suggested that language be added to new Sec. 802.2(d) to
exempt structures that house equipment that provide management and
administrative support services to the seller and owner of the
structure. As mentioned above, the Commission believes that the common
meaning of office space includes space used solely to provide
management and administrative support services to the acquired person.
For example, if an acquired person owns a building that primarily
houses the computer equipment used to provide its administrative data
processing needs, and the acquired person, in good faith, executed a
contract for substantially the same services, the sale of the equipment
would be exempt pursuant to Sec. 802.1(d)(4). The sale of the building
also would qualify for exemption as an acquisition of office property,
since the building is not housing a ``business'' that is being
transferred but office equipment that is being sold.
E. Hotels and motels. New Sec. 802.2(e) exempts from the reporting
requirements acquisitions of hotels and motels, and improvements to
those facilities, such as golf, swimming, tennis, restaurant, health
club or parking facilities (but excluding ski facilities), and assets
incidental to the ownership of those facilities. The exemption,
however, excludes the acquisition of a hotel or motel that includes a
gambling casino.
The exemption is based on the Commission's review of past HSR
notifications and observation that acquisitions of hotels and motels,
except for those excluded from the exemption, are unlikely to violate
the antitrust laws. Several commenters affirmed the Commission's
understanding that these types of assets are plentiful and widely held,
and often they are owned by investor groups that hire management firms
or national chains to operate the facilities. Even in local markets
entry appears to be relatively easy.
The proposed exemption for the acquisition of hotels and motels
excluded hotels ``acquired as part of the acquisition of a ski
resort.'' This exclusion raised questions concerning the treatment of a
ski resort containing a hotel versus a hotel that has ski facilities
along with other recreational improvements. The wording of the new
exemption excludes ski facilities from improvements included with a
hotel or motel which may be acquired without observing the reporting
requirements. As a result, in an acquisition of a hotel with ski
facilities, the acquisition of the hotel is exempt, but the ski
facilities must be valued separately to determine if their acquisition
is subject to the notification requirements.
Ski facilities are not included within the exemption for
acquisitions of hotels and motels because the Commission does not have
a basis for concluding that the acquisition of a ski facility is not
likely to violate the antitrust laws. In addition, ski facilities do
not appear to be characterized by the same ease of entry as hotels
generally. Gambling casinos are also excluded from the exemption
because they involve services other than lodging, and their acquisition
may affect competition in certain local markets. Also, certain areas
may have licensing requirements for gambling casinos that serve as an
impediment to entry.
Comments 9 and 14 suggested that the exemption for hotels and
motels be expanded to included the acquisition of related improvements,
such as golf courses, swimming and tennis facilities and restaurants.
The Commission agrees that the inclusion of these improvements, as well
as health clubs and parking facilities, does not raise antitrust
concerns and, thus, has included such related improvements as
qualifying for the exemption. The Commission also has added language
exempting the acquisition of assets incidental to the ownership of the
hotel or motel being acquired to make clear that all related permits
and tangible personal property used directly in the operation of the
facility are included within the exemption.
In the Statement of Basis and Purpose accompanying the proposed
rule, the Commission made clear that ``this exemption would include the
acquisition by a national hotel chain of hotel assets of another hotel
chain.'' The Statement of Basis and Purpose went on to say that ``if
the acquisition includes assets other than hotels and motels, e.g., the
selling firm's trademark or its hotel management business, these assets
must be separately valued to determine whether their acquisition is
subject to
[[Page 13677]]
the notification requirements.'' Comments 19, 26 and 29 suggested that
the exemption for hotels and motels be expanded to included the
acquisition of trademarks and hotel management businesses. These
comments assert that hotel and motel assets are plentiful and that
entry into the hotel/motel business is relatively easy, justifying a
broader exemption to cover all hotel and motel asset acquisitions. The
Commission has learned that acquisitions of hotel and motel assets
typically include the transfer of the hotel management contracts in
effect at the time of the acquisition as well as licenses to use the
trademarks associated with the hotel or motel being acquired. Thus new
Sec. 802.2(e) explicitly includes these contracts and licenses among
the list of assets incidental to the operation of the hotel or motel.
However, the exemption does not include the acquisition of hotel
management businesses or the purchase of a hotel trademark. Such
acquisitions, even if made in connection with the purchase of a hotel
or motel, are not considered to be transfers of incidental assets
associated with a hotel or motel and are therefore separately subject
to the requirements of the act.
F. Recreational Land. New Sec. 802.2(f) exempts the acquisition of
recreational land, which is defined as real property used primarily as
golf, swimming, or tennis club facilities and assets incidental to the
ownership of such property. If an acquisition includes any property or
assets other than recreational land, the acquisition of these other
assets is separately subject to the notification requirements.
This exemption was not originally included in proposed Sec. 802.2
and is being added to the final rule in response to Comment 14 that
suggested an exemption for certain types of recreational land. The
Commission has received HSR filings for a very small number of
acquisitions of recreational land, primarily golf courses. Based on
this experience, the Commission believes that the acquisition of
certain types of recreational land is not likely to violate the
antitrust laws. This exemption is limited to the types of recreational
realty the acquisition of which is exempt as improvements when acquired
as part of a hotel or motel under Sec. 802.2(e). Recreational land
under Sec. 802.2(f) does not include, for example, ski facilities,
multi-purpose arenas, stadia, racetracks and amusement parks.
G. Agricultural property. New Sec. 802.2(g) exempts acquisitions of
agricultural property, assets incidental to the ownership of the
property and associated assets integral to the agricultural business
activities conducted on the property. Agricultural property that is
covered by this exemption is real property that primarily derives
revenues under Major Groups 01 and 02 of the 1987 Standard Industrial
Classification (SIC) Manual. Associated assets integral to the
agricultural business activities conducted on the property to be
acquired include structures (e.g., barns used to house livestock),
fertilizer, animal feed and inventory (e.g., livestock, poultry, crops,
fruits, vegetables, milk, and eggs). In an acquisition that includes
assets that are covered by this exemption, the transfer of any other
assets is separately subject to the notification requirements.
Associated agricultural assets do not include processing equipment
or facilities. If a meat packing or poultry processing market is
concentrated in a given local area, the transfer of in- house
processing capacity may have a significant effect on the market. For
this reason, the Commission believes that such transfers should be
reviewed prior to consummation so the agencies can determine whether
the proposed acquisition will affect competition adversely.
The proposed rule exempting acquisitions of agricultural property
included within the definition of associated agricultural assets
``equipment dedicated to the income-generating activities conducted on
the real property.'' New Sec. 802.2(g) omits this equipment from the
definition of associated agricultural assets because in certain cases
the equipment may be part of a processing facility, the acquisition of
which is not exempt under Sec. 802.2(g).
The final rule also changes the proposed rule by including a
parenthetical reference to SIC Major Groups 01 and 02 in the definition
of agricultural property. This inclusion is intended to make clear that
acquisitions of agricultural land on which other activities involving
farm products are conducted, e.g., activities included within SIC Major
Groups 20 (e.g., meat packing plants, poultry slaughtering and
processing, milk processing, and corn wet milling), 42 (farm product
storage and warehousing) and 51 (buying and marketing of farm products)
are not included within the exemption.
New Sec. 802.2(g)(2), which has been added to the proposed rule,
provides that ``agricultural property does not include any real
property and assets either adjacent to or used in conjunction with
facilities that are not associated agricultural assets and that are
included in the acquisition.'' This provision excludes from the
exemption, for example, acquisitions of any real property and assets
that are either adjacent to or used in conjunction with poultry or
livestock slaughtering, processing or packing facilities that are also
being acquired. Thus, if a meat packing plant is surrounded by vacant
land that serves as a buffer zone for environmental purposes or as an
area for grazing cattle in connection with the plant operations, and an
acquiring person intends to purchase the plant and the surrounding
property, the acquisition of the vacant land is not exempt either as an
acquisition of agricultural land or an acquisition of unproductive real
property [see discussion of Sec. 802.2(c)(2)]. The vacant land is
considered to be part of the business of the plant, and its
acquisition, along with that of the plant, is subject to the reporting
requirements.
H. Rental retail space; warehouses. New Sec. 802.2(h) exempts
acquisitions of two other categories of real property, rental retail
space and warehouses. Rental retail space includes structures that
house and are rented to retail establishments and include real property
assets such as shopping centers, strip malls, and stand alone
buildings. These types of assets are abundant and widely held by
insurance companies, banks, other institutional investors and
individual investors as investments and rental property. The Commission
believes that acquisitions of these types of real property assets are
unlikely to violate the antitrust laws.
However, the new rule provides that if the retail rental space or
warehouses are to be acquired in an acquisition of a business conducted
on the real property, the acquisition of the retail rental space or
warehouses is not exempt. Thus, if an acquiring person is also
acquiring a business that is conducted on the real property, the
acquisition of that business, including the portion of the real
property on which the business is conducted, is separately subject to
the notification requirement of the act. For example, if a department
store chain proposed to acquire from another department store chain
several shopping centers and the department store business conducted by
the seller in several stores located in these shopping centers, the
acquisition of the seller's department store business and the portion
of the shopping centers in which the stores are located would be
subject to the notification requirements. The acquisition of the
portion of the shopping centers that housed other retail establishments
would be exempt under this rule. Similarly, as illustrated in Example
12, the exemption for the acquisition of warehouses is lost if
[[Page 13678]]
warehouses are being acquired in connection with the acquisition of a
wholesale distribution business.
The new rule also provides that if an acquisition of rental retail
space or a warehouse includes other assets, those other assets are
separately subject to the reporting requirements of the act. New
Sec. 802.2(h) differs from the proposed rule only in the addition to
the exemption of assets incidental to the ownership of retail rental
space or warehouses. Without this addition, it would be necessary to
value separately any incidental assets associated with the ownership of
the property, contrary to the treatment of real property assets
included in other provisions of Sec. 802.2.
III. Section 802.3: Acquisitions of Carbon-Based Mineral Reserves
New Sec. 802.3 adds exemptions for certain acquisitions of carbon-
based mineral reserves. Specifically, Sec. 802.3(a) exempts the
acquisition of reserves of oil, natural gas, shale and tar sands or the
rights to such assets if the value of the reserves, the rights and
associated exploration and production assets to be held as a result of
the acquisition do not exceed $500 million. Similarly, Sec. 802.3(b)
exempts the acquisition of reserves of coal or rights to coal reserves
if the value of the reserves, the rights and associated exploration and
production assets to be held as a result of the acquisition do not
exceed $200 million. Associated exploration and production assets are
defined in new Sec. 802.3(c) to mean, with certain specified
exceptions, equipment, machinery, fixtures, and other assets that are
integral and exclusive to current or future exploration or production
activities associated with the carbon-based mineral reserves that are
being acquired.
The Commission's studies of the coal and oil and gas industries
have shown that the values of the reserves in these industries are
substantial compared with asset holdings in other industries. The
holdings of reserves in these industries are widely dispersed, and
individual acquisitions have had minimal effect on concentration.
However, the Commission believes that an unlimited exemption for
reserves of coal and oil and gas is inappropriate, because acquisitions
of carbon-based mineral reserves above the newly established thresholds
may warrant an examination of their potential effects on competition.
New Sec. 802.3 differs from proposed Sec. 802.3 in that new
Sec. 802.3(a) expands the exemption for oil, natural gas, shale and tar
sands by increasing the value of the reserves that will be held as a
result of the acquisition that qualify for the exemption from $200
million to $500 million. This increase is based on statistical
information provided by Comments 5 and 9 indicating that the ownership
of oil and gas reserves in the United States and worldwide is
relatively unconcentrated. Moreover, the acquisition of $500 million of
crude oil reserves in the United States would amount to about 1/10 of 1
percent of domestic oil reserves. Such an acquisition, if made by the
leading commercial owner of domestic reserves, would result in an
increase in the HHI of about 2 points in an unconcentrated market. The
Commission has concluded that acquisitions of oil and gas reserves
valued at $500 million or less are unlikely to violate the antitrust
laws. However, the $200 million threshold for transactions involving
coal reserves was retained from proposed Sec. 802.3. The Commission
does not have sufficient information to support a higher threshold for
coal reserves acquisitions. Also, because acquisitions of coal reserves
may tend to affect local or regional markets, a higher threshold may
exempt transactions that should be reviewed for their impact on such
markets.
Sections 802.3(a) and 802.3(b) primarily are designed to exempt
acquisitions of producing reserves, but also may exempt some
acquisitions of non-producing reserves that may also be exempt as
unproductive real property under Sec. 802.2(c). Because the exemption
is not based on the ``ordinary course'' concept, the exemptions also
apply if the reserves and associated assets being transferred
constitute all or substantially all of the assets of an operating unit.
If the reserves being acquired are not yet producing, the acquisition
also is likely to be exempt under Sec. 802.2(c) as an acquisition of
unproductive real property. For formerly producing reserves that have
not been in production during the twelve months preceding the
acquisition and have not generated revenues in excess of $5 million
during the 36 months preceding the acquisition, their acquisition would
qualify as unproductive real property. If the reserves qualify as
unproductive property, their acquisition is exempt, regardless of the
value of the reserves. Currently producing reserves are governed by the
valuation requirements of Sec. 802.3. Example 1, which involves an
acquisition consisting of non-producing gas reserves, producing oil
reserves and assets associated with the producing reserves, illustrates
the application of Sec. 802.2(c) and Sec. 802.3 to the separate
components of the acquisition.
The $500 million threshold in Sec. 802.3(a) and the $200 million
threshold in Sec. 802.3(b) apply to reserves, rights to the reserves
and associated exploration or production assets. The acquisition of
these associated assets is not separately reportable because these
assets generally have no competitive significance separate from the
reserves. In many instances, producing reserves contain dedicated
equipment that may have a market value exceeding $15 million but have
no practical value absent the reserves. In addition, the wide
availability of used equipment in the oil and gas and coal industries
makes it unlikely that a servicer of oil fields or coal mines could
purchase reserves to restrict supply of available equipment in a given
region. Thus, the Commission believes that the inclusion of associated
exploration and production assets is necessary to facilitate meaningful
application of the exemption.
Associated exploration or production assets are defined in
Sec. 802.3(c) to include equipment, machinery, fixtures and other
assets that are integral to the exploration or production activities of
the reserves. Such assets do not include any intellectual property
rights that may be transferred with the reserves. In the oil and gas
industry, examples of associated exploration or production assets
include proprietary or licensed geological and geophysical data, wells,
pumps, compressors, easements, permits and rights of way.
As in the oil and gas industry, exploration or production assets
associated with coal reserves may include proprietary or licensed
geological and geophysical data, easements, permits and rights of way.
In surface mining in the western U.S., associated production assets may
consist of various load out facilities, including storage barns and
silos, dryer barns and railroad spurs, and heavy equipment such as
draglines and crushers. Such assets would also include the long-term
coal contracts and federal leases related to the reserves.
New Sec. 802.3 also changes the categories of assets that are
excluded from the definition of associated production or exploration
assets as it relates to oil and natural gas reserves. Proposed
Sec. 802.3 excluded from associated production or exploration assets
all flow and gathering pipelines, distribution pipelines, interests in
pipelines, processing facilities and refineries, because acquisitions
of these assets in certain local markets have, from time to time,
raised competitive
[[Page 13679]]
concerns prompting investigations by the enforcement agencies. However,
Comments 3, 5, 9 and 24 recommended including in the definition of
associated exploration or production assets pipeline systems and field
treating facilities that serve a particular producing property and have
no competitive significance apart from the oil and natural gas reserves
being acquired. The Commission has concluded that acquisitions of these
systems and facilities in connection with the reserves to which they
are dedicated are unlikely to violate the antitrust laws because they
do not have the potential for competing in the provision of services to
third parties. Therefore, the definition of associated exploration or
production assets now clearly delineates dedicated facilities from
facilities serving third parties by excluding ``any pipeline and
pipeline system or processing facility which transports or processes
oil and gas after it passes through the meters of a producing field;
and any pipeline or pipeline system that receives gas directly from gas
wells for transportation to a natural gas processing facility or other
destination.''
Comments 17, 18 and 30 proposed an exemption for acquisitions of
timberland, noting that the raw material supply and manufacturing
resources in the forestry industry are abundant, and ownership of
timberland is fragmented. However, because there has been enforcement
interest in a number of transactions involving timberland in the
western United States, the Commission declined to include an exemption
for acquisitions of timberland to insure that the enforcement agencies
continue to receive notification of those acquisitions of timberland
that may present competitive concerns.
Comment 9 noted that the enforcement agencies, as they obtain
additional experience and information about other natural resources,
will perhaps identify ways of expanding Sec. 802.3 to include other
types of producing reserves without posing undue risk to competition.
For non- producing reserves of other minerals and renewable natural
resources, Sec. 802.2(c) will exempt acquisitions of these reserves if
they qualify as unproductive real property. Regarding producing
reserves, the Commission has not included these in Sec. 802.3 at this
time because it does not have an adequate factual basis for determining
that acquisitions of other types of mineral reserves and renewable
natural resources should be exempt from the requirements of the act or
subject to a reporting level higher than the statutory $15 million
threshold. However, the Commission will continue to collect information
about other minerals and renewable natural resources and determine at a
later date if expansion of Sec. 802.3 to include acquisition of
reserves of these resources is warranted.
IV. Section 802.4: Acquisitions of Voting Securities of Issuers Holding
Certain Assets the Direct Acquisition of Which Is Exempt
New Sec. 802.4 exempts the acquisition of voting securities of
issuers that hold certain assets the direct acquisition of which is
exempt under the act or the rules. New Sec. 802.4(a) exempts the
acquisition of voting securities of an issuer whose assets, together
with those of all entities controlled by the issuer, consist of assets
whose direct purchase is exempt from the notification requirements
pursuant to section 7A(c)(2) of the act or Secs. 802.2, 802.3 and 802.5
of the rules. New Sec. 802.4(b) defines ``issuer'' as used in
Sec. 802.4 to mean a single issuer, or two or more issuers controlled
by the same person. The exemptions provided by new Sec. 802.4 are
available so long as the acquired issuer or issuers do not in the
aggregate hold exempt assets that exceed the threshold limitations of
the cited rules and non-exempt assets with a fair market value of more
than $15 million. New Sec. 802.4(c) states that fair market value as
determined in accordance with Sec. 801.10 (c)(3) of the rules is the
standard to apply in determining the value of assets held by an issuer
whose voting securities are being acquired pursuant to Sec. 802.4. New
Sec. 802.4 applies to acquisitions resulting in the holding of a
minority interest as well as a controlling interest in the acquired
issuer's outstanding voting securities.
Section 802.4 derives in part from original Sec. 802.1(a) which
exempted ``an acquisition of the voting securities of an entity whose
assets consist solely of real property'' and related assets, if a
direct acquisition of that real property and those related assets would
be exempt. The rationale for original Sec. 802.1(a) and new Sec. 802.4
is that the applicability of an exemption should not depend on the form
of the acquisition. The antitrust analysis would seem to be the same
whether assets or voting securities are acquired. See Statement of
Basis and Purpose to Sec. 802.1(a), 43 FR 33488 (July 31, 1978).
Proposed Sec. 802.4(a) extended this approach by exempting
acquisitions of voting securities of issuers whose assets consist
solely of assets exempt under proposed Sec. 802.2: new facilities,
unproductive real property, office and residential property, hotels and
motels, agricultural property, rental retail space and warehouses.
Proposed Sec. 802.4(b) contained a comparable exemption for issuers
whose assets consist solely of carbon-based mineral reserves exempt
under proposed Sec. 802.3.
New Sec. 802.4 differs in five respects from the proposal. First,
new paragraph (a) no longer requires that the issuer whose voting
securities are being acquired hold solely exempt assets. New
Sec. 802.4(a) provides that the issuer also may hold up to $15 million
of non-exempt assets in addition to the exempt assets. Second, proposed
paragraph (b) has been merged into new paragraph (a). In the proposed
exemption, the aggregation principles of Sec. 801.15(b) applied only to
Sec. 802.4(b), while Sec. 801.15(a) applied to Sec. 802.4(a). Because
of the new provision that an issuer whose voting securities are being
acquired pursuant to Sec. 802.4 also may hold up to $15 million of non-
exempt assets, Sec. 801.15(b) applies to all transactions under
Sec. 802.4. New Sec. 802.4(a) now describes all classes of acquisitions
that are exempt pursuant to Sec. 802.4.
Third, new Sec. 802.4(a) has been expanded and now provides an
exemption for voting securities acquisitions of issuers that hold
assets the direct acquisition of which are exempt pursuant to section
7A(c)(2) of the act and Sec. 802.5 of the rules. Fourth, new
Sec. 802.4(b) has been added to the rule to make clear that the term
``issuer'' as used in Sec. 802.4(a) means a single issuer or two or
more issuers controlled by the same person. Lastly, new Sec. 802.4(c)
has been added to make clear that the value of assets held by an issuer
whose voting securities are being acquired pursuant to Sec. 802.4 is
the fair market value determined in accordance with Sec. 801.10(c)(3)
of the rules.
The first change responds to Comments 2, 5 and 9, which noted that
the requirement in proposed Sec. 802.4 that the acquired issuer could
hold solely assets exempt under Secs. 802.2 and 802.3 was very limiting
and caused the proposed exemption to fall short of the goal of treating
voting securities acquisitions the same as asset purchases. Proposed
Secs. 802.2 and 802.3 provided an exemption for asset acquisitions
involving the purchase of certain types of realty and carbon-based
mineral reserves and required that the acquisition of any non-exempt
assets be separately analyzed to determine whether notification was
required prior to their purchase. Thus, under proposed Secs. 802.2 and
802.3, a person could acquire certain exempt assets and non- exempt
assets valued at $15 million or
[[Page 13680]]
less and would not be required to file. However, in contrast, the
requirement in proposed Sec. 802.4 that the acquired issuer hold solely
exempt assets precluded the exemption if the issuer held any assets not
exempt under Secs. 802.2 and 802.3.
The Commission agrees that this limitation seemed to undercut the
rationale underlying Sec. 802.4 to reduce the extent to which the form
of the transaction affects the requirement to file notification. For
this reason, as noted previously, the Commission has modified proposed
Sec. 802.4 to exempt acquisitions of issuers that hold assets exempt
under section 7A(c)(2) of the act and new Secs. 802.2, 802.3, and
802.5, and non-exempt assets with a fair market value of $15 million or
less.
Comment 2 also suggested that proposed Sec. 802.4 be amended to
exempt acquisitions of voting securities of issuers that hold
``incidental assets,'' i.e., assets incidental to the ownership of the
exempt assets, in addition to the assets that are exempt pursuant to
proposed Secs. 802.2 and 802.3. The commenter pointed out that since
incidental assets were not included in every provision of the proposed
rules as exempt assets, the ownership of incidental assets by an
acquired issuer would limit the application of Sec. 802.4. As noted
previously, the Commission has modified the language of proposed
Sec. 802.4 to include within the exemption acquisitions of voting
securities of issuers holding assets exempt under the cited rules and
non-exempt assets with a fair market value of $15 million or less. The
Commission also has included within the various subsections of
Secs. 802.2 and 802.3 language that will include within the exemptions,
assets incidental to the ownership of the exempt assets. The Commission
believes that since the ownership of incidental assets has little
effect on competition, the value of incidental assets should not be
included in the determination of whether the acquired issuer holds non-
exempt assets with a fair market value exceeding $15 million. The
Commission believes that these modifications adequately address the
concerns raised by this comment.
The second change was made because the provisions of Sec. 801.15(b)
that address aggregation of previous acquisitions now govern all voting
securities acquisitions of issuers holding assets exempt under the
sections included within new Sec. 802.4(a). Proposed Sec. 802.4(a)
contained exemptions that did not require aggregation because the
exemptions were not based on the holding of assets valued at less than
a set threshold amount. For instance, the exemption for certain types
of realty provided in Sec. 802.2 is applicable regardless of the value
of the exempt assets to be acquired. However, since new Sec. 802.4(a)
has eliminated the restriction that an issuer whose voting securities
are to be acquired hold solely exempt assets and now permits the
acquired issuer to hold non-exempt assets valued at $15 million or
less, the principles of Sec. 801.15(b) apply, and aggregation is
required to determine whether this limitation will be exceeded.
The third change from the proposed rules reflects a suggestion by
Comment 9 that section 7A(c)(2) of the act be included within
Sec. 802.4. Section 7A(c)(2) exempts acquisitions of ``bonds,
mortgages, deeds of trust, and other obligations which are not voting
securities.'' The Commission agrees that the acquisition of these types
of assets are of little antitrust concern, whether acquired in the form
of an asset or voting securities acquisition, and has added section
7A(c)(2) of the act to new Sec. 802.4(a).
Similarly, an exemption for acquisitions of voting securities of
issuers holding assets the direct acquisition of which would be exempt
under Sec. 802.5 is now included in Sec. 802.4(a) as a result of
revisions to Sec. 802.5 (see discussion, below). Because proposed
Sec. 802.5 included a limitation on the type of purchaser that
qualified for the exemption, comparable voting securities acquisitions
could not be included within Sec. 802.4 and thus were exempted within
proposed Sec. 802.5. New Sec. 802.5 has been revised to remove the
limitation, and the exemption for the equivalent voting securities
acquisition has been moved to Sec. 802.4. Therefore, acquisitions of
the voting securities of issuers holding investment rental property
plus non-exempt assets valued at $15 million or less will be exempt
pursuant to Sec. 802.4(a).
The addition of Sec. 802.4(b) stems from the rationale underlying
this exemption that voting securities acquisitions and asset purchases
be treated similarly for purposes of Sec. 802.4. The first step toward
achieving similar treatment was to modify proposed Secs. 802.4(a) and
(b) to include within the exemption the acquisition of issuers that
hold exempt assets and non-exempt assets valued at $15 million or less.
The Commission believes that, in addition to this modification,
purchasers should be required to aggregate acquisitions of voting
securities of different issuers controlled by the same acquired person.
Otherwise, the form of the transaction will affect the notification
requirement. For this reason, new Sec. 802.4(b) defines issuer, for
purposes of Sec. 802.4, to mean a single issuer or multiple issuers
controlled by the same acquired person. Thus, when the voting
securities of more than one issuer controlled by the same person are
being acquired, aggregation of the non-exempt assets held by these
issuers and aggregation of the carbon-based mineral reserves for which
there are threshold limitations is required. For example, if ``A''
proposed to acquire the voting securities of three subsidiaries of
``B'' and each subsidiary held $200 million of oil and gas reserves,
the acquisition would not be exempt under Sec. 802.4(a) because the
acquired issuers hold in the aggregate $600 million of oil and gas
reserves. If the acquisition were structured as an asset acquisition
with ``A'' purchasing the oil and gas reserves held by ``B's'' three
subsidiaries, the acquisition would not qualify for exemption under new
Sec. 802.3(a) since the value of the reserves to be acquired exceeds
$500 million.
Similarly, if ``A'' proposed to acquire the voting securities of
three of ``B's'' subsidiaries and each held, respectively, (1) two
hotels and $10 million of non-exempt assets, (2) two hotels and $7
million of non-exempt assets and (3) three hotels and $3 million of
non-exempt assets, ``A'' would be required to aggregate the value of
the non-exempt assets to determine whether the acquired issuers hold in
the aggregate non-exempt assets exceeding $15 million in value. Since
the value of the non-exempt assets exceeds $15 million, ``A's''
proposed acquisition would not be exempt under Sec. 802.4(a). If the
acquisition were structured as an asset acquisition with ``A''
purchasing the hotels and the non-exempt assets directly, ``A's''
acquisition of the hotels would be exempt under Sec. 802.2(e) but ``A''
would be required to file notification for the acquisition of the non-
exempt assets. The Commission recognizes that in this situation the
holdings of non-exempt assets exceeding $15 million in the voting
securities acquisition negated the availability of the exemption for
the entire acquisition, whereas in the asset acquisition filing would
be required only for the acquisition of the non-exempt assets. However,
since voting securities acquisitions are by their nature different than
asset acquisitions because voting securities represent an interest in
the undivided totality of the underlying assets, this difference in
outcome is unavoidable but reasonable.
New Sec. 802.4(c) has been added to make clear that the value of
the exempt and non-exempt assets held by the issuer is fair market
value determined in
[[Page 13681]]
accordance with Sec. 801.10(c)(3). The Commission recognizes that this
requirement may be difficult to meet when the acquisition is hostile or
the acquiring person proposes to acquire a minority interest through
the acquisition of voting securities from third party holders, e.g.,
open market purchases. However, Sec. 801.10(c)(3) requires that the
acquiring person make a good faith determination of the fair market
value of the assets of the issuer whose voting securities are to be
acquired. The acquired person cannot rely on the absence of data to
make a good faith determination that the fair market value of the
assets held by the acquired issuer(s) does not exceed threshold
limitations.
The modifications that have been made to proposed Sec. 802.3,
providing different thresholds for oil and gas reserves and coal
reserves, and proposed Sec. 802.4, expanding the exemption to include
issuers holding non-exempt assets with a fair market value of $15
million or less, complicate the application of the rules requiring
aggregation of acquisitions of voting securities of different issuers
controlled by the same acquired person. The previous discussion
addressed the issue of aggregation when the voting securities of
different issuers are acquired in the same transaction. The following
discussion addresses some of the intricacies of aggregation involving
subsequent acquisitions from the same acquired person of voting
securities of the same issuer (and of different issuers) holding assets
exempt under Secs. 802.2, 802.3 and 802.5 and section 7A(c)(2) of the
act.
To address the issue of aggregation involving subsequent
acquisitions from the same issuer of voting securities governed by the
exemptions provided by Sec. 802.4, Sec. 801.15(b) has been revised to
include Secs. 802.3 and 802.4. Section 801.15(b) provides that voting
securities, the acquisition of which was exempt under certain
identified exemptions, are not held as a result of an acquisition
unless in a subsequent acquisition the limitations contained in those
specified exemptions are exceeded. For example, ``A'' acquires for $40
million, in an exempt transaction, 20 percent of the voting stock of B,
which holds petroleum reserves valued at $300 million and subsequently
plans to acquire an additional five percent of the B's voting
securities for $10 million. ``A'' would be required to determine
whether its subsequent acquisition of B's stock qualifies for the
exemption under Sec. 802.4(a). If B's holdings of oil and gas reserves
have increased and the value of its reserves exceeds $500 million,
``A's'' subsequent acquisition of B's stock would not be exempt under
Sec. 802.4(a). Under Sec. 801.15(b), ``A'' is considered to hold 20
percent of the voting stock of B, and ``A's'' subsequent acquisition is
not exempt under Sec. 802.4(a).
Another situation in which aggregation is required under
Sec. 801.15(b) involves an acquisition of a minority interest in the
voting securities of an issuer exempt under Sec. 802.4(a) followed by a
subsequent acquisition of either a minority or a controlling interest
in the voting securities of another issuer included within the same
acquired person. For example, assume that ``A'' acquired 30 percent of
the voting securities of C, an issuer controlled by ``B,'' for $40
million and that the acquisition was exempt under Sec. 802.4(a) because
C held oil and gas assets valued at $300 million and non-exempt assets
valued at $7 million. Six months later, ``A'' proposes to acquire from
``B'' all (or a minority) of the voting securities of D and E, issuers
controlled by ``B,'' for $20 million each. D has oil and gas reserves
valued at $150 million and non-exempt assets valued at $2 million, and
E has oil and gas reserves valued at $150 million and non-exempt assets
valued at $2 million. Under Sec. 801.15(b), ``A'' is required to
aggregate its current proposed acquisitions of D and E with its
previous exempt acquisition of C's voting securities to determine
whether the limitations set forth in Sec. 802.4(a) will be exceeded as
a result of the subsequent acquisition. In this situation, since the
value of the oil and gas reserves held by the C, D, and E exceed $500
million, the acquisition of the voting securities of D and E is not
exempt under Sec. 802.4(a).
Aggregation is not required in a subsequent acquisition of voting
stock of an issuer included within the same acquired person if the
acquiring person acquired control of that issuer in an earlier
transaction, i.e., holds 50 percent or more of the issuer's outstanding
voting securities. In such case, the issuer is now included within the
acquiring person, and the aggregation requirements of Sec. 801.13(a) do
not apply since control has passed to the acquiring person. (In a
situation in which the acquiring person acquires exactly 50 percent of
an issuer's voting stock and the acquired person has retained 50
percent, the Premerger Notification Office has long treated the issuer
as within the acquiring person alone in applying the aggregation
requirements of Secs. 801.13 and 801.14 for subsequent voting stock and
asset purchases from the same acquired person.) Therefore, if an
acquiring person has acquired 50 percent or more of the voting stock of
an issuer and proposes to acquire additional voting stock from the same
issuer or another issuer controlled by the same acquired person, the
acquiring person is not required to aggregate the assets of the issuer
in the first acquisition with assets of the issuer in the second
acquisition to determine if any limitations have been exceeded.
Section 802.4 contains three examples that illustrate the
application of the rule, including an example involving simultaneous
acquisitions. Examples illustrating the aggregation principles of
Sec. 802.4 in sequential transactions are included in the examples to
Sec. 801.15. Section 802.4 represents the Commission's first major
effort to accord the same treatment to asset acquisitions and
comparable voting securities acquisitions. The aggregation principles,
though necessary, complicate the application of the exemption. If the
complexity of the aggregation principles makes applying the Sec. 802.4
exemption overly burdensome for parties, the Commission will review the
provision to determine if any changes to the exemption are necessary.
Proposed Section 802.5: Acquisitions of Investment Rental Property
Assets
Section 802.5 exempts acquisitions of investment rental property
assets. It is intended to exempt certain acquisitions of real property
that are not exempt under new Sec. 802.2. The exemption applies only to
acquisitions of real property assets that will be held by the acquiring
person solely for rental or investment purposes and that will be rented
only to entities not included within the purchaser (except for the sole
purpose of maintaining, managing or supervising the operation of the
investment rental property assets). Thus, the intent of the purchaser
at the time of the acquisition must be considered to determine whether
the exemption is available. Although the application of new Sec. 802.5,
unlike proposed Sec. 802.5, is no longer limited to certain types of
acquiring persons such as institutional investors, the Commission
believes that this provision will exempt most real property
acquisitions typically made by institutional investors, real estate
investment trusts (``REITs''), or real estate development and
management companies that are not exempted by new Sec. 802.2.
New Sec. 802.5 is designed to supplement new Sec. 802.2 by
recognizing that there may be additional categories of real property
assets, such as industrial parks and multi-purpose sports and
entertainment facilities, that,
[[Page 13682]]
when acquired as investment rental property, are not likely to violate
the antitrust laws. Acquisitions of these types of real property are
often made solely for rental investment purposes. In such instances,
investors in such property play no active role in the business
conducted on these properties and seek only to profit from their
investment in the real estate. Moreover, in order to reduce risk of
loss in the value of the real estate they hold, purchasers of numerous
properties generally do not concentrate their investments in a single
geographic market. Given the size and unconcentrated nature of the real
estate market, such acquisitions are not likely to pose a competitive
concern. The limitations in new Sec. 802.5 on the intent of the
acquiring person and the use of the qualifying real property are
designed to insure that the exemption will not be available for any
acquisition intended to achieve business objectives that are not
related to the rental or investment objectives.
Although the investment rental property exemption may apply to real
property, such as office or residential property, hotels/motels and
rental retail space, that is also exempt under Sec. 802.2, there will
be no need to apply new Sec. 802.5 to the acquisition of these
categories of real property assets. The important distinction between
Sec. 802.2 and Sec. 802.5 is that Sec. 802.2 exempts acquisitions of
specific classes of real property assets and does not incorporate the
intent-based test of Sec. 802.5, while Sec. 802.5 exempts any type of
real property assets that meet the rule's requirements for investment
rental property. In addition, the exemptions for acquisition of real
property under Sec. 802.2 apply even if the acquiring person occupies
the property for any purpose while Sec. 802.5 permits the acquiring
person to use the acquired investment rental property assets only to
manage or operate the real property assets being acquired.
Proposed Sec. 802.5 limited the availability of the exemption for
acquisitions of investment rental property to institutional investors
as defined by Sec. 802.64 and persons whose sole business is the
acquisition or management of investment rental property assets. Comment
2 recommended that the limitation on qualified purchasers be eliminated
because the definition of investment rental property assets in proposed
Sec. 802.5(b) would be sufficient to prevent purchasers from conducting
business on the property being acquired. Comment 31 suggested that the
exemption should be available to persons other than investors whose
sole business consists of acquiring or managing investment rental
property assets. REITs, the commenter pointed out, are permitted to own
certain assets such as temporary stock and bond investments that are
not investment rental property and thus, under the proposed rules, may
not qualify as entities whose sole business is acquiring and managing
investment rental property assets.
The Commission has determined that the dual restrictions in
proposed Sec. 802.5 which made the exemption available only to (1)
certain types of investors for (2) acquisitions of investment rental
property were too limiting. The Commission believes that eliminating
the first restriction will not compromise the efficacy of the
exemption. Thus, new Sec. 802.5 is available to all types of purchasers
so long as the acquisition qualifies as investment rental property
assets.
New Sec. 802.5 includes a provision, found in other sections of
Part 802 and omitted from proposed Sec. 802.5, stating that in an
acquisition that includes investment rental property, the transfer of
any other property shall be separately subject to the requirements of
the act. Thus an investor can purchase property, the acquisition of
which is exempt under Sec. 802.5, and non-exempt assets valued at $15
million or less and still qualify for the exemption.
In addition, the provision included in proposed Sec. 802.5
exempting acquisitions of voting securities of an entity holding assets
that consist solely of investment rental property assets has been
modified and moved to new Sec. 802.4. Thus, the exemption for
acquisitions of voting securities of issuers holding Sec. 802.5 assets
will be governed by Sec. 802.4. This change results in greater
comparability between the direct acquisition of Sec. 802.5 assets and
the acquisition of voting securities of issuers holding these assets.
Proposed Sec. 802.5 included within the definition of investment
rental property assets any space occupied by the acquiring person for
the sole purpose of maintaining, managing or supervising the operation
of real property and real property rented only to entities not included
within the acquired person. The proposal incorrectly implied that an
investor could not lease a portion of the acquired rental property to a
subsidiary or other affiliated entity which would, in turn, manage the
property on behalf of the investor. The language in new Sec. 802.5 has
been changed and explicitly permits the investor to establish this
arrangement with a subsidiary solely to maintain, manage or supervise
the purchased property.
For some acquisitions, in order to determine prior to the
acquisition whether the buyer will use the investment rental property
in accordance with the requirements of Sec. 802.5, it may be necessary
to examine the acquisition intent of the acquiring person, particularly
if that investor is controlled by a person that also controls entities
engaged in other businesses. The acquisition intent can be inferred
from the context of the transaction and from actions by the acquiring
person before the acquisition. Circumstances or conduct such as the
following may be scrutinized separately or in combination to determine
whether the acquiring person has an intent that is fully consistent
with holding property solely as investment rental property assets: (1)
the acquiring person undertook, prior to the acquisition, a study of
the cost of converting the property for use by one of its businesses;
(2) the property is to be converted for use by the acquiring person;
(3) prior to the acquisition, the property is being leased to or used
by entities included within the acquiring person; (4) a portion of the
acquired property is being leased at the time of the acquisition to a
competitor of the acquiring person; and (5) the purchase price reflects
the value of a business operated on the property rather than the
investment rental value of the property.
Because Sec. 802.5 covers a broad range of non-specific assets and
places no limits on who may acquire the assets, the Commission has
declined to adopt the suggestion in Comment 7 to eliminate the
requirement that the property to be acquired will be rented only to
entities not included within the acquiring person. The Commission also
declined to adopt the suggestions in Comments 7 and 9 to eliminate the
restrictions on the acquiring person's use of any space on the property
for the sole purpose of maintaining, managing and supervising the
operation of the property. Limits on the use of the property provide
additional safeguards to insure that the property is being acquired for
investment or rental purposes, since other safeguards such as limits on
the type of investment rental property that can be acquired and the
type of investor that qualifies for exemption are absent from new
Sec. 802.5.
Currently, HSR notifications are not required for acquisitions of
realty made by REITs under the ordinary course of business exemption.
REITs acquire real estate in the ordinary course of their business, and
the fiduciary nature of their investment activities and the
restrictions imposed upon them by the Internal Revenue Code safeguard
against improper use of property they acquire.
[[Page 13683]]
New Sec. 802.5 is not intended to narrow the exemption from the
reporting requirements that is currently available to REITs.
Comment 9 noted that the language of proposed Sec. 802.5 excluded
the acquisition of a REIT by a non-REIT, because of the restriction on
the type of investor that qualified for the exemption. Acquisitions of
REITs by non-REITs are currently subject to the notification
requirements, because the fiduciary restraints that govern acquisitions
by REITs do not generally apply to non-REITs. However, under new
Sec. 802.5, the acquisition by a non-REIT of all of the assets of a
REIT may be exempt from the reporting requirements if the transaction
meets the requirements of the exemption. The acquisition of all of the
assets of a REIT by another REIT is currently an exempt transaction,
even though the acquired REIT may hold certain non-real estate assets,
and new Sec. 802.5 does not supersede this exemption.
VI. Aggregation Rules
Section 801.15 states that, notwithstanding Sec. 801.13, certain
assets and voting securities acquired in exempt transactions are not
considered to be ``held as a result of an acquisition.'' These rules
and concepts govern whether certain acquisitions must be aggregated to
determine if a proposed acquisition requires notification. As the
Statement of Basis and Purpose makes clear (43 FR 33479), Sec. 801.15
is applicable to simultaneous acquisitions in which both exempt and
non-exempt assets or voting securities are being acquired from the same
acquired person and to acquisitions of non-exempt assets or voting
securities after the person has previously acquired exempt assets or
voting securities from the same acquired person.
Section 801.15(a) provides that assets and voting securities exempt
at the time of acquisition under certain provisions of the act and
rules are not held as a result of the acquisition. Acquisitions
exempted by section 7A(c)(1) of the act are among the classes listed.
As a result, in determining whether an assets acquisition meets the
more than $15 million size-of-transaction criterion of section
7A(a)(3), the value of assets acquired in the ordinary course of
business is not counted. Because Sec. 802.1 declares that certain
acquisitions are and that others are not considered to be transfers in
the ordinary course of business under section 7A(c)(1), it is not
necessary to list Sec. 802.1 separately in Sec. 801.15(a). However, to
eliminate possible confusion, Sec. 802.1 is listed in Sec. 801.15(a),
along with section 7A(c)(1), to make clear that assets exempted
pursuant to Sec. 802.1(b), (c) and (d) are not deemed to be held as the
result of an acquisition for aggregation purposes. Therefore, an
acquisition of current supplies valued at $8 million is not aggregated
with subsequent acquisitions from the same person to determine if a
proposed acquisition will exceed the $15 million size-of-transaction
notification threshold, since the current supplies are exempt pursuant
to section 7A(c)(1) and Sec. 802.1(c).
New Sec. 802.2, which provides an exemption for the acquisition of
certain types of real property assets (new facilities, used facilities,
unproductive real property, office and residential property, hotels and
motels, recreational land, agricultural property, rental retail space
and warehouses) is also listed in Sec. 801.15(a) since the exemption
sets no dollar limit on the amount of exempt assets that may be
acquired without prior notification. Since new Sec. 802.2 is listed in
Sec. 801.15(a), assets exempt under this provision are never held as a
result of an acquisition. Section 802.5, which exempts acquisitions of
investment rental property also appears in Sec. 801.15(a). However, it
is important to note that new Secs. 802.2 and 802.5 provide that the
acquisition of any other assets not exempted by new Secs. 802.2 and
802.5 are subject to the requirements of the act and the rules as if
they were being acquired in a separate acquisition. Consequently, in an
acquisition that includes these exempt assets, the acquisition of other
non- exempt assets are subject to the aggregation requirements of
Sec. 801.13(b).
Sections 802.3 (exempting certain acquisitions of carbon-based
mineral reserves) and 802.4(exempting acquisitions of voting securities
of issuers holding exempt assets under section 7A (c)(2) of the act,
Secs. 802.2, 802.3 and 802.5, plus non-exempt assets valued at $15
million or less), appear in Sec. 801.15(b). This provision requires
parties to aggregate the value of otherwise exempt assets that are
transferred in separate acquisitions. Section 801.15(b) provides that
the aggregation rules of Sec. 801.13 are to be applied if, as a result
of a proposed subsequent transaction, the assets from that transaction
and an earlier transaction will exceed a quantitative limitation on the
exemption of assets of that kind. Thus, the $500 million limitation for
oil and gas reserves and the $200 million limitation for coal reserves
in Sec. 802.3, that were not reached in an earlier acquisition, may be
exceeded by a subsequent acquisition of reserves.
Example 4 to Sec. 801.15 amends the current Example 4, in which the
acquiring person is purchasing two mines. The existing example does not
indicate whether the mines contain carbon-based minerals. Based on the
value of the mines stated in the example, Sec. 802.3 would exempt their
acquisition if they are carbon-based mineral reserves. To avoid
possible confusion, the acquired assets have been changed to
manufacturing plants.
In response to a suggestion in Comment 9, language has been added
to Example 5 regarding valuation of assets in sequential acquisitions
to determine if the limitation in Sec. 802.3 has been exceeded. In such
acquisitions, the buyer is not required to determine the current fair
market value of the assets of the first acquisition, but he may use the
value of those assets at the time of their prior acquisition pursuant
to Sec. 801.10(b). However, in applying Sec. 802.4, if in the first
acquisition the buyer had purchased a minority share of the voting
securities of an issuer that held the exempt oil reserves assets and
proposed to buy additional voting securities from the same issuer, the
buyer is required to revalue the total holdings of the issuer at the
time of the second acquisition to determine if the issuer's holdings of
oil and gas rights and reserves exceed the limitation in Sec. 802.3.
In proposed Sec. 801.15, only Sec. 802.4(b) appeared in
Sec. 801.15(b) because only that provision of Sec. 802.4 exempted
acquisitions of voting securities of issuers holding assets that, if
acquired directly, were exempt subject to certain dollar limitations.
Paragraphs (a) and (b) of proposed Sec. 802.4 have now been
consolidated into new Sec. 802.4(a) since the exemption has been
expanded to exempt issuers holding exempt assets and non-exempt valued
at $15 million or less. New Sec. 802.4 now appears in amended
Sec. 801.15(b) to reflect the provision contained in Sec. 802.4(a)
limiting the value of the non-exempt assets that the issuer whose
voting securities are being acquired can hold. Also, three new examples
have been added to Sec. 801.15 to illustrate the aggregation principles
of Sec. 802.4 (see discussion of new Sec. 802.4, above).
List of Subjects in 16 CFR Parts 801 and 802
Antitrust.
Amended Rules
The Commission amends Title 16, Chapter 1, Subpart H, of the Code
of Federal Regulations as follows:
[[Page 13684]]
PART 801--COVERAGE RULES
1. The authority citation for Part 801 continues to read as
follows:
Authority: Sec. 7A(d), Clayton Act, 15 U.S.C. 18a(d), as added
by sec. 201, Hart-Scott-Rodino Antitrust Improvements Act of 1976,
Pub. L. 94-435, 90 Stat. 1390.
2. Section 801.15(a)(2) and (b) are revised to read as follows:
Sec. 801.15 Aggregation of voting securities and assets the
acquisition of which was exempt.
* * * * *
(a) * * *
(2) Sections 802.1, 802.2, 802.5, 802.6(b)(1), 802.8, 802.31,
802.35, 802.50(a)(1), 802.51(a), 802.52, 802.53, 802.63, and 802.70;
(b) Assets or voting securities the acquisition of which was exempt
at the time of acquisition (or would have been exempt, had the act and
these rules been in effect), or the present acquisition of which is
exempt, under section 7A(c)(9) and Secs. 802.3, 802.4, 802.50(a)(2),
802.50(b), 802.51(b) and 802.64 unless the limitations contained in
section 7A(c)(9) or those sections do not apply or as a result of the
acquisition would be exceeded, in which case the assets or voting
securities so acquired will be held; and
* * * * *
3. Section 801.15, Example 4 is revised, and Examples 5, 6, 7 and 8
are added to read as follows:
Sec. 801.15 Aggregation of voting securities and assets the
acquisition of which was exempt.
* * * * *
Examples: * * *
4. Assume that acquiring person ``B,'' a United States person,
acquired from corporation ``X'' two manufacturing plants located
abroad, and assume that the acquisition price was $40 million. In
the most recent year, sales into the United States attributable to
the plants were $15 million, and thus the acquisition was exempt
under Sec. 802.50(a)(2). Within 180 days of that acquisition, ``B''
seeks to acquire a third plant from ``X,'' to which United States
sales of $12 million were attributable in the most recent year.
Since under Sec. 801.13(b)(2), as a result of the acquisition, ``B''
would hold all three plants of ``X,'' and the $25 million limitation
in Sec. 802.50(a)(2) would be exceeded, under paragraph (b) of this
rule, ``B'' would hold the previously acquired assets for purposes
of the second acquisition. Therefore, as a result of the second
acquisition, ``B'' would hold assets of X exceeding $15 million in
value, would not qualify for the exemption in Sec. 802.50(a)(2), and
must observe the requirements of the act and file notification for
the acquisition of all three plants before acquiring the third
plant.
5. ``A'' acquires producing oil reserves valued at $400 million
from ``B.'' Two months later, ``A'' agrees to acquire oil and gas
rights valued at $75 million from ``B.'' Paragraph (b) of this
section and Sec. 801.13(b)(2) require aggregating the previously
exempt acquisition of oil reserves with the second acquisition. If
the two acquisitions, when aggregated, exceed the $500 million
limitation on the exemption for oil and gas reserves in
Sec. 802.3(a), ``A'' and ``B'' will be required to file notification
for the latter acquisition, including within the filings the earlier
acquisition. Since, in this example, the total value of the assets
in the two acquisitions, when aggregated, is less than $500 million,
both acquisitions are exempt from the notification requirements. In
determining whether the value of the assets in the two acquisitions
exceed $500 million, ``A'' need not determine the current fair
market value of the oil reserves acquired in the first transaction,
since these assets are now within the person of ``A.'' Instead ``A''
may use the value of the oil reserves at the time of their prior
acquisition in accordance with Sec. 801.10(b).
6. ``X'' acquired 55 percent of the voting securities of M, an
entity controlled by ``Z,'' six months ago and now proposes to
acquire 50 percent of the voting stock of N, another entity
controlled by ``Z.'' M's assets consist of $150 million worth of
producing coal reserves plus $7 million worth of non-exempt assets
and N's assets consist of a producing coal mine worth $100 million
together with non-exempt assets with a fair market value of $6
million. ``X's'' acquisition of the voting securities of M was
exempt under Sec. 802.4(a) because M held exempt assets pursuant to
Sec. 802.3(b) and less than $15 million of non-exempt assets.
Because ``X'' acquired control of M in the earlier transaction, M is
now within the person of ``X,'' and the assets of M need not be
aggregated with those of N to determine if the subsequent
acquisition of N will exceed the limitation for coal reserves or for
non-exempt assets. Since the assets of N alone do not exceed these
limitations, ``X's'' acquisition of N also is not reportable.
7. In Example 6, above, assume that ``X'' acquired 30 percent of
the voting securities of M and proposes to acquire 40 percent of the
voting securities of N, another entity controlled by ``Z.'' Assume
also that M's assets at the time of ``X's'' acquisition of M's
voting securities consisted of $90 million worth of producing coal
reserves and non-exempt assets with a fair market value of $9
million, and that N's assets currently consist of $60 million worth
of producing coal reserves and non-exempt assets with a fair market
value of $8 million. Since ``X'' acquired a minority interest in M
and intends to acquire a minority interest in N, and since M and N
are controlled by ``Z,'' the assets of M and N must be aggregated,
pursuant to Sec. 801.15(b) and Sec. 801.13, to determine whether the
acquisition of N's voting securities is exempt. ``X'' is required to
determine the current fair market value of M's assets. If the fair
market value of M's coal reserves is unchanged, the aggregated
exempt assets do not exceed the limitation for coal reserves.
However, if the present fair market value of N's non-exempt assets
also is unchanged, the present fair market value of the non-exempt
assets of M and N when aggregated is greater than $15 million. Thus
the acquisition of the voting securities of N is not exempt. If
``X'' proposed to acquire 50 percent or more of the voting
securities of both M and N in the same acquisition, the assets of M
and N must be aggregated to determine if the acquisition of the
voting securities of both issuers is exempt. Since the fair market
value of the aggregated non- exempt assets exceeds $15 million, the
acquisition would not be exempt.
8. ``A'' acquired 49 percent of the voting securities of M and
45 percent of the voting securities of N. Both M and N are
controlled by ``B.'' At the time of the acquisition M held rights to
producing coal reserves worth $90 million and N held a producing
coal mine worth $90 million. This acquisition was exempt since the
aggregated holdings fell below the $200 million limitation for coal
in Sec. 802.3(b). A year later, ``A'' proposes to acquire an
additional 10 percent of the voting securities of both M and N. In
the intervening year, M has acquired coal reserves so that its
holdings are now valued at $140 million, and the value of N's assets
remained unchanged. ``A's'' second acquisition would not be exempt.
``A'' is required to determine the value of the exempt assets and
any non-exempt assets held by any issuer whose voting securities it
intends to acquire before each proposed acquisition (unless ``A''
already owns 50 percent or more of the voting securities of the
issuer) to determine if the value of those holdings of the issuer
falls below the limitation of the applicable exemption. Here, an
assessment shows that the holdings of M and N now exceed the $200
million limitation for coal reserves in Sec. 802.3.
PART 802--EXEMPTION RULES
1. The authority citation for Part 802 continues to read as
follows:
Authority: Sec. 7A(d), Clayton Act, 15 U.S.C. 18a(d), as added
by sec. 201, Hart-Scott-Rodino Antitrust Improvements Act of 1976,
Pub. L. 94-435, 90 Stat. 1390.
2. Section 802.1 is revised to read as follows:
Sec. 802.1 Acquisitions of goods and realty in the ordinary course of
business.
Pursuant to section 7A(c)(1), acquisitions of goods and realty
transferred in the ordinary course of business are exempt from the
notification requirements of the act. This section identifies certain
acquisitions of goods that are exempt as transfers in the ordinary
course of business. This section also identifies certain acquisitions
of goods and realty that are not in the ordinary course of business
and, therefore, do not qualify for the exemption.
(a) Operating unit. An acquisition of all or substantially all the
assets of an operating unit is not an acquisition in the ordinary
course of business. ``Operating unit'' means assets that are operated
by the acquired person as a
[[Page 13685]]
business undertaking in a particular location or for particular
products or services, even though those assets may not be organized as
a separate legal entity.
(b) New goods. An acquisition of new goods is in the ordinary
course of business, except when the goods are acquired as part of an
acquisition described in paragraph (a) of this section.
(c) Current supplies. An acquisition of current supplies is in the
ordinary course of business, except when acquired as part of an
acquisition described in paragraph (a) of this section. The term
``current supplies'' includes the following kinds of new or used
assets:
(1) Goods acquired and held solely for the purpose of resale or
leasing to an entity not within the acquiring person (e.g., inventory),
(2) Goods acquired for consumption in the acquiring person's
business (e.g., office supplies, maintenance supplies or electricity),
and
(3) Goods acquired to be incorporated in the final product (e.g.,
raw materials and components).
(d) Used durable goods. A good is ``durable'' if it is designed to
be used repeatedly and has a useful life greater than one year. An
acquisition of used durable goods is an acquisition in the ordinary
course of business if the goods are not acquired as part of an
acquisition described in paragraph (a) of this section and any of the
following criteria are met:
(1) The goods are acquired and held solely for the purpose of
resale or leasing to an entity not within the acquiring person; or
(2) The goods are acquired from an acquired person who acquired and
has held the goods solely for resale or leasing to an entity not within
the acquired person; or
(3) The acquired person has replaced, by acquisition or lease, all
or substantially all of the productive capacity of the goods being sold
within six months of that sale, or the acquired person has in good
faith executed a contract to replace within six months after the sale,
by acquisition or lease, all or substantially all of the productive
capacity of the goods being sold; or
(4) The goods have been used by the acquired person solely to
provide management and administrative support services for its business
operations, and the acquired person has in good faith executed a
contract to obtain substantially similar services as were provided by
the goods being sold. Management and administrative support services
include services such as accounting, legal, purchasing, payroll,
billing and repair and maintenance of the acquired person's own
equipment. Manufacturing, research and development, testing and
distribution (i.e., warehousing and transportation) are not considered
management and administrative support services.
Examples: 1. Greengrocer Inc. intends to sell to ``A'' all of
the assets of one of the 12 grocery stores that it owns and operates
throughout the metropolitan area of City X. Each of Greengrocer's
stores constitutes an operating unit, i.e., a business undertaking
in a particular location. Thus ``A's'' acquisition is not exempt as
an acquisition in the ordinary course of business. However, the
acquisition will not be subject to the notification requirements if
the acquisition price or fair market value of the store's assets
does not exceed $15 million.
2. ``A,'' a manufacturer of airplane engines, agrees to pay $20
million to ``B,'' a manufacturer of airplane parts, for certain new
engine components to be used in the manufacture of airplane engines.
The acquisition is exempt under Sec. 802.1(b) as new goods as well
as under Sec. 802.1(c)(3) as current supplies.
3. ``A,'' a power generation company, proposes to purchase from
``B,'' a coal company, $25 million of coal under a long-term
contract for use in its facilities to supply electric power to a
regional public utility and steam to several industrial sites. This
transaction is exempt under Sec. 802.1(c)(2) as an acquisition of
current supplies. However, if ``A'' proposed to purchase coal
reserves rather than enter into a contract to acquire output of a
coal mine, the acquisition would not be exempt as an acquisition of
goods in the ordinary course of business. The acquisition may still
be exempt pursuant to Sec. 802.3(b) as an acquisition of reserves of
coal if the requirements of that section are met.
4. ``A,'' a national producer of canned fruit, preserves, jams
and jellies, agrees to purchase from ``B'' for $25 million a total
of 10,000 acres of orchards and vineyards in several locations
throughout the U.S. ``A'' plans to harvest the fruit from the
acreage for use in its canning operations. The acquisition is not
exempt under Sec. 802.1 because orchards and vineyards are real
property, not ``goods.'' If, on the other hand, ``A'' had contracted
to acquire from ``B'' the fruit and grapes harvested from the
orchards and vineyards, the acquisition would qualify for the
exemption as an acquisition of current supplies under
Sec. 802.1(c)
FR Doc. 96-7529 Premerger Notification; Reporting and Waiting Period Requirements
(3). Although the transfer of orchards and vineyards is
not exempt under Sec. 802.1, the acquisition would be exempt under
Sec. 802.2(g) as an acquisition of agricultural property.
5. ``A,'' a railcar leasing company, will purchase $20 million
of new railcars from a railcar manufacturer in order to expand its
existing fleet of cars available for lease. The transaction is
exempt under Sec. 802.1(b) as an acquisition of new goods and
Sec. 802.1(c), as an acquisition of current supplies. If ``A''
subsequently sells the railcars to ``C'', a commercial railroad
company, that acquisition would be exempt under Sec. 802.1(d)(2),
provided that ``A'' acquired and held the railcars solely for resale
or leasing to an entity not within itself.
6. ``A,'' a major oil company, proposes to sell two of its used
oil tankers for $15.5 million to ``B,'' a dealer who purchases oil
tankers from the major U.S. oil companies. ``B's'' acquisition of
the used oil tankers is exempt under Sec. 802.1(d)(1) provided that
``B'' is actually acquiring beneficial ownership of the used tankers
and is not acting as an agent of the seller or purchaser.
7. ``A,'' a cruise ship operator, plans to sell for $18 million
one of its cruise ships to ``B,'' another cruise ship operator.
``A'' has, in good faith, executed a contract to acquire a new
cruise ship with substantially the same capacity from a ship
builder. The contract specifies that ``A'' will receive the new
cruise ship within one month after the scheduled date of the sale of
its used cruise ship to ``B.'' Since ``B''is acquiring a used
durable good that ``A'' has contracted to replace within six months
of the sale, the acquisition is exempt under Sec. 802.1(d)(3).
8. ``A,'' a luxury cruise ship operator, proposes to sell to
``B,'' a credit company engaged in the ordinary course of its
business in lease financing transactions, its fleet of six passenger
ships under a 10-year sale/leaseback arrangement. That acquisition
is exempt pursuant to Sec. 802.1(d)(1), used durable goods acquired
for leasing purposes. The acquisition is also exempt under
Sec. 802.63(a) as a bona fide credit transaction entered into in the
ordinary course of ``B's'' business. ``B'' now proposes to sell the
ships, subject to the current lease financing arrangement, to ``C,''
another lease financing company. This transaction is exempt under
Sec. 802.1(d)(1) and Sec. 802.1(d)(2).
9. Three months ago ``A,'' a manufacturing company, acquired
several new machines that will replace equipment on one of its
production lines. ``A's'' capacity to produce the same products
increased modestly when the integration of the new equipment was
completed. ``B,'' a manufacturing company that produces products
similar to those produced by ``A,'' has entered into a contract to
acquire for $18 million the machinery that ``A'' replaced. Delivery
of the equipment by ``A'' to ``B'' is scheduled to occur within
thirty days. Since ``A'' purchased new machinery to replace the
productive capacity of the used equipment, which it sold within six
months of the purchase of the new equipment, the acquisition by
``B'' is exempt under Sec. 802.1(d)(3).
10. ``A'' will sell to ``B'' for $16 million all of the
equipment ``A'' uses exclusively to perform its billing
requirements. ``B'' will use the equipment to provide ``A's''
billing needs pursuant to a contract which ``A'' and ``B'' executed
30 days ago in conjunction with the equipment purchase agreement.
Although the assets ``B'' will acquire make up essentially all of
the assets of one of ``A's'' management and administrative support
services divisions, the acquisition qualifies for the exemption
under Sec. 802.1(d)(4) because a company's internal management and
administrative support services, however organized, are not an
operating unit as defined by Sec. 802.1(a). Management and
administrative support services are not a ``business undertaking''
as that term is used
[[Page 13686]]
in Sec. 802.1(a). Rather, they provide support and benefit to the
company's operating units and support the company's business
operations. However, if the assets being sold also derived revenues
from providing billing services for third parties, then the transfer
of these assets would not be exempt under Sec. 802.1(d)(4), since
the equipment is not being used solely to provide management and
administrative support services to ``A''.
11. ``A,'' a manufacturer of pharmaceutical products, and ``B''
have entered into a contract under which ``B'' will provide all of
``A's'' research and development needs. Pursuant to the contract,
``B'' will also purchase all of the equipment that ``A'' formerly
used to perform its own research and development activities. The
sale of the equipment is not an exempt transaction under
Sec. 802.1(d)(3) because ``A'' is not replacing the productive
capacity of the equipment being sold. The sale is also not exempt
under Sec. 802.1(d)(4), because functions such as research and
development and testing are not management and administrative
support services of a company but are integral to the design,
development or production of the company's products.
12. ``A,'' an automobile manufacturer, is discontinuing its
manufacture of metal seat frames for its cars. ``A'' enters into a
contract with ``B,'' a manufacturer of various fabricated metal
products, to sell its seat frame production lines and to purchase
from ``B'' all of its metal seat frame needs for the next five
years. This transfer of productive capacity by ``A'' is not exempt
pursuant to Sec. 802.1(d)(3), since ``A'' is not replacing the
productive capacity of the equipment being sold. The acquisition is
also not exempt under Sec. 802.1(d)(4). ``A's'' sale of production
lines is not the transfer of goods that provide management and
administrative services to support the business operations of''A'';
this manufacturing equipment is an integral part of ``A's''
production operations.
3. Part 802 is amended by adding Sections 802.2, 802.3, 802.4 and
802.5 to read as follows:
Sec. 802.2 Certain acquisitions of real property assets.
(a) New facilities. An acquisition of a new facility shall be
exempt from the requirements of the act. A new facility is a structure
that has not produced income and was either constructed by the acquired
person for sale or held at all times by the acquired person solely for
resale. The new facility may include realty, equipment or other assets
incidental to the ownership of the new facility. In an acquisition that
includes a new facility, the transfer of any other assets shall be
subject to the requirements of the act and these rules as if they were
being acquired in a separate acquisition.
(b) Used facilities. An acquisition of a used facility shall be
exempt from the requirements of the act if the facility is acquired
from a lessor that has held title to the facility for financing
purposes in the ordinary course of the lessor's business by a lessee
that has had sole and continuous possession and use of the facility
since it was first built as a new facility. The used facility may
include realty, equipment or other assets associated with the operation
of the facility. In an acquisition that includes a used facility that
meets the requirements of this paragraph, the transfer of any other
assets shall be subject to the requirements of the act and these rules
as if they were acquired in a separate transaction.
(c) Unproductive real property. An acquisition of unproductive real
property shall be exempt from the requirements of the act. In an
acquisition that includes unproductive real property, the transfer of
any assets that are not unproductive real property shall be subject to
the requirements of the act and these rules as if they were being
acquired in a separate acquisition.
(1) Subject to the limitations of (c)(2), unproductive real
property is any real property, including raw land, structures or other
improvements (but excluding equipment), associated production and
exploration assets as defined in Sec. 802.3(c), natural resources and
assets incidental to the ownership of the real property, that has not
generated total revenues in excess of $5 million during the thirty-six
(36) months preceding the acquisition.
(2) Unproductive real property does not include the following:
(i) Manufacturing or non-manufacturing facilities that have not yet
begun operation;
(ii) Manufacturing or non-manufacturing facilities that were in
operation at any time during the twelve (12) months preceding the
acquisition; and
(iii) Real property that is either adjacent to or used in
conjunction with real property that is not unproductive real property
and is included in the acquisition.
(d) Office and residential property.
(1) An acquisition of office or residential property shall be
exempt from the requirements of the act. In an acquisition that
includes office or residential property, the transfer of any assets
that are not office or residential property shall be subject to the
requirements of the act and these rules as if such assets were being
transferred in a separate acquisition.
(2) Office and residential property is real property that is used
primarily for office or residential purposes. In determining whether
real property is used primarily for office or residential purposes, all
real property, the acquisition of which is exempt under another
provision of the act and these rules, shall be excluded from the
determination. Office and residential property includes:
(i) Office buildings,
(ii) Residences,
(iii) Common areas on the property, including parking and
recreational facilities, and
(iv) Assets incidental to the ownership of such property, including
cash, prepaid taxes or insurance, rental receivables and the like.
(3) If the acquisition includes the purchase of a business
conducted on the office and residential property, the transfer of that
business, including the space in which the business is conducted, shall
be subject to the requirements of the act and these rules as if such
business were being transferred in a separate acquisition.
(e) Hotels and motels.
(1) An acquisition of a hotel or motel, its improvements such as
golf, swimming, tennis, restaurant, health club or parking facilities
(but excluding ski facilities), and assets incidental to the ownership
and operation of the hotel or motel (e.g., prepaid taxes or insurance,
management contracts and licenses to use trademarks associated with the
hotel or motel being acquired) shall be exempt from the requirements of
the act. In an acquisition that includes a hotel or motel, the transfer
of any assets that are not a hotel or motel, its improvements such as
golf, swimming, tennis, restaurant, health club or parking facilities
(but excluding ski facilities) and assets incidental to the ownership
of the hotel or motel, shall be subject to the requirements of the act
and these rules as if they were being acquired in a separate
acquisition.
(2) Notwithstanding paragraph (1) of the section, an acquisition of
a hotel or motel that includes a gambling casino shall be subject to
the requirements of the act and these rules.
(f) Recreational land. An acquisition of recreational land shall be
exempt from the requirements of the act. Recreational land is real
property used primarily as a golf course or a swimming or tennis club
facility, and assets incidental to the ownership of such property. In
an acquisition that includes recreational land, the transfer of any
property or assets that are not recreational land shall be subject to
the requirements of the act and these rules as if they were being
acquired in a separate acquisition.
(g) Agricultural property. An acquisition of agricultural property,
assets incidental to the ownership of such property and associated
agricultural assets shall be exempt from
[[Page 13687]]
the requirements of the act. Agricultural property is real property and
assets that primarily generate revenues from the production of crops,
fruits, vegetables, livestock, poultry, milk and eggs (activities
within SIC Major Groups 01 and 02).
(1) Associated agricultural assets are assets integral to the
agricultural business activities conducted on the property. Associated
agricultural assets include, but are not limited to, inventory (e.g.,
livestock, poultry, crops, fruit, vegetables, milk, eggs); structures
that house livestock raised on the real property; and fertilizer and
animal feed. Associated agricultural assets do not include processing
facilities such as poultry and livestock slaughtering, processing and
packing facilities.
(2) Agricultural property does not include any real property and
assets either adjacent to or used in conjunction with processing
facilities that are included in the acquisition.
(3) In an acquisition that includes agricultural property, the
transfer of any assets that are not agricultural property, assets
incidental to the ownership of such property or associated agricultural
assets shall be subject to the requirements of the act and these rules
as if such assets were being transferred in a separate acquisition.
(h) Retail rental space; warehouses. An acquisition of retail
rental space (including shopping centers) or warehouses and assets
incidental to the ownership of retail rental space or warehouses shall
be exempt from the requirements of the act, except when the retail
rental space or warehouse is to be acquired in an acquisition of a
business conducted on the real property. In an acquisition that
includes retail rental space or warehouses, the transfer of any assets
that are neither retail rental space nor warehouses shall be subject to
the requirements of the act and these rules as if such assets were
being transferred in a separate acquisition.
Examples. 1. ``A,'' a major automobile manufacturer, builds a
new automobile plant in anticipation of increased demand for its
cars. The market does not improve and ``A'' never occupies the
facility. ``A'' then sells the facility, which is fully equipped and
ready for operation, to ``B,'' another automobile manufacturer. The
acquisition of this plant, including any equipment and assets
associated with its operation, is not exempt as an acquisition of a
new facility, even though the facility has not produced any income,
since ``A'' did not construct the facility for sale or hold it at
all times solely for resale. Also, the acquisition is not exempt as
an acquisition of unproductive property, because manufacturing
facilities that have not yet begun operations are explicitly
excluded from that exemption.
2. B, a subsidiary of ``A,'' a financial institution, acquired a
newly constructed power plant, which it leased to ``X'' pursuant to
a lease financing arrangement. ``A's'' acquisition of the plant
through B was exempt under Sec. 802.63(a) as a bona fide credit
transaction entered into in the ordinary course of ``A's'' business.
``X'' operated the plant as sole lessee for the next eight years and
now proposes to exercise an option to buy the plant for $62 million.
``X's'' acquisition of the plant is exempt pursuant to
Sec. 802.2(b). The plant is being acquired from B, the lessor, which
held title to the plant for financing purposes, and the purchaser,
``X,'' has had sole and continuous possession and use of the plant
since its construction.
3. ``A'' proposes to acquire a $100 million tract of wilderness
land from ``B.'' Copper deposits valued at $17 million and timber
reserves valued at $20 million are situated on the land and will be
conveyed as part of this transaction. During the last three fiscal
years preceding the sale, the property generated $50,000 from the
sale of a small amount of timber cut from the reserves two years
ago. ``A's'' acquisition of the wilderness land from ``B'' is exempt
as an acquisition of unproductive real property because the property
did not generate revenues exceeding $5 million during the thirty-six
months preceding the acquisition. The copper deposits and timber
reserves are by definition unproductive real property and, thus, are
not separately subject to the notification requirements.
4. ``A'' proposes to purchase from ``B'' for $40 million an old
steel mill that is not currently operating to add to ``A's''
existing steel production capacity. The mill has not generated
revenues during the 36 months preceding the acquisition but contains
equipment valued at $16 million that ``A'' plans to refurbish for
use in its operations. ``A's'' acquisition of the mill and the land
on which it is located is exempt as unproductive real property.
However, the transfer of the equipment and any assets other than the
unproductive property is not exempt and is separately subject to the
notification requirements of the act.
5. ``A'' proposes to purchase two downtown lots, Parcels 1 and
2, from ``B'' for $40 million. Parcel 1, located in the southwest
section, contains no structures or improvements. A hotel is located
in the northeast section on Parcel 2, and it has generated $9
million in revenues during the past three years. The purchase of
Parcel 1 is exempt if it qualifies as unproductive real property,
i.e., it has not generated annual revenues in excess of $5 million
in the three fiscal years prior to the acquisition. Parcel 2 is not
unproductive real property, but its acquisition is exempt under
Sec. 802.2(e) as the acquisition of a hotel.
6. ``A'' plans to purchase from ``B,'' a manufacturer, a newly-
constructed building that ``B'' had intended to equip for use in its
manufacturing operations. ``B'' was unable to secure financing to
purchase the necessary equipment and ``A'', also a manufacturer,
will be required to invest approximately $50 million in order to
equip the building for use in its production operations. This
building is not a new facility under Sec. 802.2 (a), because it was
not constructed or held by ``B'' for sale or resale. However, the
acquisition of the building qualifies for exemption as unproductive
real property pursuant to Sec. 802.2(c)(1). The building is not yet
a manufacturing facility since it does not contain equipment and
requires significant capital investment before it can be used as a
manufacturing facility.
7. ``A'' proposes to purchase from ``B,'' for $20 million, a 100
acre parcel of land that includes a currently operating factory
occupying 10 acres. The other 90 adjoining acres are vacant and
unimproved and are used by ``B'' for storage of supplies and
equipment. The factory and the unimproved acreage have fair market
values of $12 million and $8 million, respectively. The transaction
is not exempt under Sec. 802.2(c) because the vacant property is
adjacent to property occupied by the operating factory. Moreover, if
the 90 acres were not adjacent to the 10 acres occupied by the
factory, the transaction would not be exempt because the 90 acres
are being used in conjunction with the factory being acquired and
thus is not unproductive property.
8. ``X'' proposes to buy a five-story building from ``Y.'' The
ground floor of this building houses a department store, and ``X''
currently leases the third floor to operate a medical laboratory.
The remaining three floors are used for offices. ``X'' is not
acquiring the business of the department store. Because the ground
floor is rental retail space, the acquisition of which is exempt
under Sec. 802.2(h), this part of the building is excluded from the
determination of whether the building is used primarily for office
purposes. The laboratory is therefore the only non-office use, and,
since it makes up 25 percent of the remainder of the building, the
building is used 75 percent for offices. Thus the building qualifies
as an office building and its acquisition is therefore exempt under
Sec. 802.2(d).
9. ``A'' intends to acquire three shopping centers from ``B''
for a total of $80 million. The anchor stores in two of the shopping
centers are department stores, the businesses of which ``A'' is
buying from ``B'' as part of the overall transaction. The
acquisition of the shopping centers is an acquisition of retail
rental space that is exempt under Sec. 802.2(h). However, ``A's''
acquisition of the department store business, including the portion
of the shopping centers that the two department stores being
purchased occupy, are separately subject to the notification
requirements. If the value of these assets exceeds $15 million,
``A'' must comply with the requirements of the act for this part of
the transaction.
10. ``A'' wishes to purchase from ``B'' a parcel of land for $30
million. The parcel contains a race track and a golf course. The
golf course qualifies as recreational land pursuant to
Sec. 802.2(f), but the race track is not included in the exemption.
Therefore, if the value of the race track is more than $15 million,
``A'' will have to file notification for the purchase of the race
track.
11. ``A'' intends to purchase a poultry farm from ``B.'' The
acquisition of the poultry farm is a transfer of agricultural
property that is
[[Page 13688]]
exempt pursuant to Sec. 802.2(g). If, however, ``B'' has a poultry
slaughtering and processing facility on his farm that is included in
the acquisition, ``A's'' acquisition of the farm is not exempt as an
acquisition of agricultural property because agricultural property
does not include property or assets adjacent to or used in
conjunction with a processing facility that is included in an
acquisition.
12. ``A'' proposes to purchase the prescription drug wholesale
distribution business of ``B'' for $50 million. The business
includes six regional warehouses used for ``B's'' national wholesale
drug distribution business. Since ``A'' is acquiring the warehouses
in connection with the acquisition of ``B's'' prescription drug
wholesale distribution business, the acquisition of the warehouses
is not exempt.
Sec. 802.3 Acquisitions of carbon-based mineral reserves.
(a) An acquisition of reserves of oil, natural gas, shale or tar
sands, or rights to reserves of oil, natural gas, shale or tar sands
together with associated exploration or production assets shall be
exempt from the requirements of the act if the value of the reserves,
the rights and the associated exploration or production assets to be
held as a result of the acquisition does not exceed $500 million. In an
acquisition that includes reserves of oil, natural gas, shale or tar
sands, or rights to reserves of oil, natural gas, shale or tar sands
and associated exploration or production assets, the transfer of any
other assets shall be subject to the requirements of the act and these
rules as if they were being acquired in a separate acquisition.
(b) An acquisition of reserves of coal, or rights to reserves of
coal and associated exploration or production assets, shall be exempt
from the requirements of the act if the value of the reserves, the
rights and the associated exploration or production assets to be held
as a result of the acquisition does not exceed $200 million. In an
acquisition that includes reserves of coal, rights to reserves of coal
and associated exploration or production assets, the transfer of any
other assets shall be subject to the requirements of the act and these
rules as if they were being acquired in a separate acquisition.
(c) Associated exploration or production assets means equipment,
machinery, fixtures and other assets that are integral and exclusive to
current or future exploration or production activities associated with
the carbon-based mineral reserves that are being acquired. Associated
exploration or production assets do not include the following:
(1) Any pipeline and pipeline system or processing facility which
transports or processes oil and gas after it passes through the meters
of a producing field located within reserves that are being acquired;
and
(2) Any pipeline or pipeline system that receives gas directly from
gas wells for transportation to a natural gas processing facility or
other destination.
Examples: 1. ``A'' proposes to purchase from ``B'' for $550
million gas reserves that are not yet in production and have not
generated any income. ``A'' will also acquire from ``B'' for $280
million producing oil reserves and associated assets such as wells,
compressors, pumps and other equipment. The acquisition of the gas
reserves is exempt as a transfer of unproductive property under
Sec. 802.2(c). The acquisition of the oil reserves and associated
assets is exempt pursuant to Sec. 802.3(a), since the value of the
reserves and associated assets does not exceed the $500 million
limitation.
2. ``A,'' an oil company, proposes to acquire for $180 million
oil reserves currently in production along with field pipelines and
treating and metering facilities which serve such reserves
exclusively. The acquisition of the reserves and the associated
assets are exempt. ``A'' will also acquire from ``B'' for $16
million a natural gas processing plant and its associated gathering
pipeline system. This acquisition is not exempt since Sec. 802.3(c)
excludes these assets from the exemption in Sec. 802.3 for transfers
of associated exploration or production assets.
3. ``A,'' an oil company, proposes to acquire a coal mine
currently in operation and associated production assets for $90
million from ``B,'' an oil company. ``A'' will also purchase from
``B'' producing oil reserves valued at $100 million and an oil
refinery valued at $13 million. The acquisition of the coal mine and
the oil reserves is exempt pursuant to Sec. 802.3. Although
Sec. 802.3(c) excludes the refinery from the exemption in Sec. 802.3
for transfers of associated exploration and production assets,
``A's'' acquisition of the refinery is not subject to the
notification requirements of the act because its value does not
exceed $15 million.
4. ``X'' proposes to acquire from ``Z'' coal reserves which,
together with associated exploration assets, are valued at $230
million. Since the value of the reserves and the assets exceeds the
$200 million limitation in Sec. 802.3(b), this transaction is not
exempt under Sec. 802.3. However, if the coal reserves qualify as
unproductive property under the requirements of Sec. 802.2(c), their
acquisition, along with the acquisition of their associated assets,
would be exempt.
Sec. Section 802.4 Acquisitions of voting securities of issuers
holding certain assets the direct acquisition of which is exempt.
(a) An acquisition of voting securities of an issuer whose assets
together with those of all entities it controls consist or will consist
of assets whose purchase would be exempt from the requirements of the
act pursuant to section 7A(c)(2) of the act, Sec. 802.2, Sec. 802.3 or
Sec. 802.5 of these rules is exempt from the reporting requirements if
the acquired issuer and all entities it controls do not hold other non-
exempt assets with an aggregate fair market value of more than $15
million.
(b) As used in paragraph (a) of this section, ``issuer'' means a
single issuer, or two or more issuers controlled by the same acquired
person.
(c) In connection with paragraph (a) of this section and
Sec. 801.15 (b), the value of the assets of an issuer whose voting
securities are being acquired pursuant to this section shall be the
fair market value, determined in accordance with Sec. 801.10(c).
Examples: 1. ``A,'' a real estate investment company, proposes
to purchase 100 percent of the voting securities of C, a wholly-
owned subsidiary of ``B,'' a construction company. C's assets are a
newly constructed, never occupied hotel, including fixtures,
furnishings and insurance policies. The acquisition of the hotel
would be exempt under Sec. 802.2(a) as a new facility and under
Sec. 802.2(d). Therefore, the acquisition of the voting securities
of C is exempt pursuant to Sec. 802.4(a) since C holds assets whose
direct purchase would be exempt under Sec. 802.2 and does not hold
non-exempt assets exceeding $15 million in value.
2. ``A'' proposes to acquire 60 percent of the voting securities
of C from ``B.'' C's assets consist of a portfolio of mortgages
valued at $20 million and a small manufacturing plant valued at $6
million. The manufacturing plant is an operating unit for purposes
of Sec. 802.1(a). Since the acquisition of the mortgages would be
exempt pursuant to section 7A(c)(2) of the act and since the value
of the non-exempt manufacturing plant is less than $15 million, this
acquisition is exempt under Sec. 802.4(a).
3. ``A'' proposes to acquire from ``B'' 100 percent of the
voting securities of each of three issuers, M, N and O,
simultaneously. M's assets consist of oil reserves worth $160
million and coal reserves worth $40 million. N has assets consisting
of $130 million of gas reserves and $100 million of coal reserves.
O's assets are oil shale reserves worth $140 million and a coal mine
worth $80 million. Since ``A'' is simultaneously acquiring the
voting securities of three issuers from the same acquired person, it
must aggregate the assets of the issuers to determine if any of the
limitations in Sec. 802.3 is exceeded. As a result of aggregating
the assets of M, N and O, ``A's'' holdings of oil and gas reserves
are below the $500 limitation for such assets in Sec. 802.3(a).
However, the aggregated holdings exceed the $200 million limitation
for coal reserves in Sec. 802.3(b). ``A's'' acquisition therefore is
not exempt, and it must report the entire transaction.
Sec. 802.5 Acquisitions of investment rental property assets.
(a) Acquisitions of investment rental property assets shall be
exempt from the requirements of the act.
(b) Investment rental property assets. ``Investment rental property
assets'' means real property that will not be
[[Page 13689]]
rented to entities included within the acquiring person except for the
sole purpose of maintaining, managing or supervising the operation of
the real property, and will be held solely for rental or investment
purposes. In an acquisition that includes investment rental property
assets, the transfer of any property or assets that are not investment
rental property assets shall be subject to the requirements of the act
and these rules as if they were being acquired in a separate
transaction. Investment rental property assets include:
(1) Property currently rented,
(2) Property held for rent but not currently rented,
(3) Common areas on the property, and
(4) Assets incidental to the ownership of property, which may
include cash, prepaid taxes or insurance, rental receivables and the
like.
Example: 1. ``X'', a corporation, proposes to purchase a sports/
entertainment complex which it will rent to professional sports
teams and promoters of special events for concerts, ice shows,
sporting events and other entertainment activities. ``X'' will
provide office space in the complex for ``Y'', a management company
which will maintain and manage the facility for ``X.'' This
acquisition is an exempt acquisition of investment rental property
assets since ``X'' intends to rent the facility to third parties and
is providing space within the facility to a management company
solely to maintain, manage or supervise the operation of the
facility on its behalf. If, however, ``X'' controls Z, a concert
promoter to whom it also intends to rent the complex, the
acquisition would not be exempt under Sec. 802.5, since the property
would not meet the requirements of Sec. 802.5(b)(1).
2. ``X'' intends to buy from ``Y'' a development commonly
referred to as an industrial park. The industrial park contains a
warehouse/distribution center, a retail tire and automobile parts
store, an office building, and a small factory. The industrial park
also contains several parcels of vacant land. If ``X'' intends to
acquire this industrial park as investment rental property, the
acquisition will be exempt pursuant to Sec. 802.5. If, however,
``X'' intends to use the factory for its own manufacturing
operations, this exemption would be unavailable. The exemptions in
Sec. 802.2 for warehouses, rental retail space, office buildings,
and undeveloped land may still apply and, if the value of the
factory is $15 million or less, the entire transaction may be
exempted by that section.
By direction of the Commission,
Donald S. Clark,
Secretary.
[FR Doc. 96-7529 Filed 3-27-96; 8:45 am]
BILLING CODE 6750-01-P
Complete official Federal Register PDF
FR Doc. 96-7528 Trade Regulation Rule: Labeling and Advertising of Home Insulation
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13659-13666]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7528]
=======================================================================
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FEDERAL TRADE COMMISSION
16 CFR Part 460
Trade Regulation Rule: Labeling and Advertising of Home
Insulation
AGENCY: Federal Trade Commission.
ACTION: Final rule.
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SUMMARY: The Federal Trade Commission (the ``Commission'' or ``FTC'')
announces it is retaining its Trade Regulation Rule Concerning the
Labeling and Advertising of Home Insulation (``R-value Rule'' or
``Rule'') and adopting non-substantive amendments to the Rule. The
Commission amends section 460.5(a) of the R-value Rule to allow use of
the R-value test procedure in American Society of Testing and Materials
(``ASTM'') standard test method C 1114-95. The Commission also amends
sections 460.5(a), 460.5(a)(2), 460.5(b), and 460.5(d)(1) to specify
revised versions of additional ASTM standards that are required for
determining the R-value of home insulation. Further, the Commission
amends the Rule to add a summary of the exemptions from specific
requirements of the Rule that the Commission previously granted for
certain classes of persons covered by the Rule. Last, the Commission
adopts a non-substantive amendment to revise section 460.10 to cross-
reference the Commission's enforcement policy statement for foreign
language advertising in 16 CFR 14.9 and to delete the current Appendix
to the Rule, which merely repeats the text of 16 CFR 14.9.
EFFECTIVE DATE: The amendments are effective on April 29, 1996. The
incorporation by reference of certain publications listed in the
regulations is approved by the Director of the Federal Register as of
April 29, 1996.
FOR FURTHER INFORMATION CONTACT: Kent C. Howerton, Attorney, Federal
Trade Commission, Washington, DC 20580, (202) 326-3013 (voice), (202)
326-3259 (fax).
SUPPLEMENTARY INFORMATION:
I. Introduction
On April 6, 1995, as part of its oversight responsibilities and its
program to review all current Commission rules and guides periodically,
the Commission solicited public comments about the economic impact of
and current need for the R-value Rule, 60 FR 17492 (1995).1 At the
same time, the Commission solicited comments on a petition
(``Petition'') requesting the Commission to approve an additional
(fifth) ASTM R-value test procedure as an optional, but not required,
test procedure for determining the R-value of home insulation under the
Rule.
\1\ The Commission reviewed the Rule in 1985 under the
Regulatory Flexibility Act, 5 U.S.C. 610, to determine the economic
impact of the Rule on small entities. Based on that review, the
Commission determined that: There was a continuing need for the
Rule; there was no basis to conclude that the Rule had a significant
impact on a substantial number of small entities; there was no basis
to conclude that the Rule should be amended to minimize its economic
impact on small entities; the Rule did not generally overlap,
duplicate, or conflict with other regulations; and technological,
economic, and other changes had not affected the Rule in any way
that would warrant amending the Rule. 50 FR 13246 (1985).
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The Commission received 42 comments in response to the April 6,
1995 notice.2 The commenters included the following parties:
Manufacturers of cellular plastics, cellulose, mineral fiber, and
reflective insulation products; manufacturers of structural insulated
panels; trade associations comprised of manufacturers of insulation
products and structural insulated panels, professional installers, and
roofing contractors; independent technical consultants to industry; a
government contractor; and individual consumers. Specific issues
addressed by the commenters are described below in Parts III through
VI.
\2\ Plymouth Foam Products (``Plymouth''), comment number #01;
Advanced Foil Systems (``AFS''), #02; W.H. Porter, Inc.
(``Porter''), #03; Benchmark Foam, Inc. (``Benchmark''), #04; Big
Sky Insulations, Inc. (``Big Sky''), #05; Rock Wool Manufacturing
Co. (``Rock Wool Mfg./1''), #06; Rose E. Kettering (``Kettering''),
#07; Matt Anderson (``Anderson''), #08; Marilyn Raeth (``Raeth''),
#09; James A. McGarry (``McGarry''), #10; Structural Insulated Panel
Association (``SIPA''), #11; Tierra Consulting Group (``Tierra''),
#12; EPS Molders Association (``EPSMA''), #13; Western Insulfoam,
Division of Premier Industries, Inc. (``Western''), #14; Fi-Foil
Co., Inc. (``Fi-Foil/Nowman''), #15; Regal Industries, Inc.
(``Regal''), #16; Insulation Contractors Association of America
(``ICAA/1''), #17; England & Associates (``England''), #18;
Cellulose Insulation Manufacturers Association (``CIMA''), #19;
GreenStone Industries (``Greenstone/Tranmer''), #20; Styropor
Business, BASF Corporation (``BASF''), #21; Hamilton Mfg., Inc.
(``Hamilton''), #22; Energy Control, Inc. (``ECI''), #23; North
American Insulation Manufacturers Association (``NAIMA''), #24; The
Celotex Corporation (``Celotex''), #25; Tennessee Technological
University, (``TN Tech''), #26; Superior Aluminum Insulation Inc.
(``Superior''), #27; Oak Ridge National Laboratory (``ORNL/
Yarbrough''), #28; Oak Ridge National Laboratory (``ORNL/Wilkes''),
#29; Polyisocyanurate Insulation Manufacturers Association
(``PIMA''), #30; Midwest Roofing Contractors Association (``MRCA''),
#31; GreenStone Industries (``GreenStone/Smith''), #32; Insulspan,
Inc. (``Insulspan''), #33; Clayville Insulation (``Clayville''),
#34; Tascon, Inc. (``Tascon''), #35; FischerSips Inc.
(``FischerSips''), #36; Dow Chemical Canada Inc. (``Dow/Canada''),
#37; AFM Corporation (``AFM''), #38; Rock Wool Manufacturing Co.
(``Rock Wool Mfg./2''), #39; Insulation Contractors Association of
America (``ICAA/2''), #40; Corbond Corp. (``Corbond''), #41; Fi-Foil
Co., Inc. (``Fi-Foil/Lippy''), #42. The April 6, 1995 notice is
filed as document number B172394. The comments submitted in response
to the that notice are filed as document numbers B17239400001,
B17239400002, etc. In today's notice, the comments are cited as #01,
#02, etc. The Commission's staff added an additional letter from the
Petitioner, R. S. Graves, R & D Services, Inc. This letter, cited as
Graves, #43, was not filed as a comment in response to the April 6,
1995 notice, but instead, as a response to a request for
clarification from the Commission's staff. See Part V and note 64,
infra.
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II. Requirements of the R-Value Rule
The Commission promulgated the R-value Rule under section 18 of the
FTC Act, 15 U.S.C. 57a, on August 27, 1979.3 The Rule became
effective on September 29, 1980, 45 FR 54702 (1980).
\3\ Final trade regulation rule (``Statement of Basis and
Purpose'' or ``SBP''), 44 FR 50218 (1979).
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The R-value Rule covers home insulation products. The Rule defines
``insulation'' as any product mainly used to slow down heat flow, for
example through a house's exterior walls, attic, floors over crawl
spaces, or basement. It defines ``home insulation'' as insulation used
in old or new houses, condominiums, cooperatives, apartments, modular
homes, and mobile homes. The Rule does not cover insulation products
sold for use in commercial or industrial buildings, such as offices or
factories. It does not apply to other products with insulating
characteristics, such as storm windows or doors.
The Rule applies to home insulation manufacturers, professional
installers, retailers, and new home sellers (including sellers of
manufactured or mobile homes). It also applies to testing laboratories
that conduct R-value tests for home insulation manufacturers or other
sellers who use the test results as the basis for making R-value claims
about home insulation products.
The Rule requires that those who manufacture or sell thermal
insulation products for use in residential structures disclose specific
information about the thermal performance of the insulation at
[[Page 13660]]
the point of sale (on product labels, manufacturers' fact sheets, and
receipts or contracts to purchasers from professional installers and
new home sellers), and in advertising and other promotional materials
that contain certain claims. Thermal performance is described by the
product's R-value, which varies among insulation types and forms and
among specific products of the same type and form.4 ``R-value'' is
the recognized numerical measure of the ability of an insulation
product to restrict the flow of heat and, therefore, to reduce energy
costs. The higher the R-value, the better the product's insulating
ability. The major reason consumers purchase thermal insulation is to
reduce energy expenditures to heat and cool their homes. The Rule
requires sellers to have adequate substantiation for these R-value
disclosures and for any energy savings claims they make.
\4\ ``Type'' refers to the material from which the insulation is
made, e.g., fiberglass or cellulose. ``Form'' refers to the physical
form of the product, e.g., batts, loose-fill, or rigid boardstock.
Most home insulation products are ``mass'' insulations, which
restrict the flow of heat through the product's mass. ``Reflective''
insulations (which also are covered by the Rule), on the other hand,
restrict heat flow by reflecting back radiant heat and must be
installed facing an air space.
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The R-value Rule is designed to enable consumers to compare the
thermal performance of competing home insulation products when they
make purchasing decisions. To accomplish this purpose, the Rule
requires sellers (including insulation manufacturers, professional
installers, new home sellers, and retailers who sell insulation to
consumers) to disclose the insulation product's R-value and related
information, based on uniform standards. This information enables
consumers to evaluate how well a particular insulation product is
likely to perform, to determine whether the cost of the insulation is
justified, and to make meaningful cost-benefit purchase decisions among
competing products.
III. Regulatory Review
The Commission has determined, as part of its oversight
responsibilities, to review all current Commission rules and guides
periodically. These reviews seek information about the costs and
benefits of the Commission's rules and guides and their regulatory and
economic impact. The information obtained assists the Commission in
identifying rules and guides that warrant modification or recision. In
the April 6, 1995 notice, the Commission solicited comments on, among
other things, the economic impact of and the continuing need for the R-
value Rule, possible conflict between the Rule and state, local, or
other federal laws or regulations, and the effect on the Rule of any
technological, economic, or other industry changes. The Commission also
solicited comments on whether the Rule should be revised to require the
use of different test procedures or standards than those currently
specified, and whether there are insulation products for which the Rule
does not sufficiently address product-specific issues relating to
testing or preparation of test specimens.
A. Need for the Rule, Benefits, Costs, and Other Burdens
1. Current Need for the Rule
Thirty-one comments specifically addressed the current need for the
Rule. Thirty comments stated that there is a continuing need for the
Rule and supported keeping it in place.5 Only one commenter,
Benchmark, implied that the Rule was not needed, stating that the costs
of complying with the Rule far outweigh the benefits it confers.6
Benchmark did not explain how it reached this conclusion.
\5\ AFS, #02 (must stay in place, keep regulations that work);
Porter, #03 (continue and strengthen); Rock Wool Mfg./1, #06
(provides basic guidelines by which consumers better assured of
receiving full value); Kettering, #07 (R-values must be maintained
or consumer has no guideline and inferior products will be passed
off on the public); Anderson, #08, at 2-3 (labeling ensures
consumers can easily select products with the R-value they want);
Raeth, #09 (eliminating Rule would be a great disservice to
consumers, consumers would not know the value of what purchasing);
McGarry, #10 (do not eliminate or weaken, uses label information to
compare when purchasing); SIPA, #11, at 1 (retain); Tierra, #12, at
1-2 (serves useful public purpose); Western, #14, at 1; Fi-Foil/
Nowman, #15, at 1 (serves useful purpose); Regal, #16, at 1
(retain); ICAA/1, #17, at 1 (necessary); England, #18, at 1 (need
stronger today than ever); CIMA, #19, at 1 (valuable protection for
consuming public); Greenstone/Tranmer, #20, at 1 (critical to
consumers; centralized labeling requirements necessary to maintain
consistency in products, avoid costly production costs resulting
from rules differing from region to region, and encourage
development of advanced products); BASF, #21, at 1 (urges be
retained); Hamilton, #22, at 1 (still needed in today's market);
ECI, #23 (good Rule that should be continued); NAIMA, #24, at 1
(should be maintained, market place would be chaotic in its
absence); Celotex, #25, at 1 (continuing need), at 7 (supports the
Rule); TN Tech, #26, at 1 (extremely important to industry and
consuming public); ORNL/Wilkes, #29, at 1 (supports keeping,
Commission to be commended for promulgating and enforcing the Rule);
PIMA, #30, at 2 (continuing need), at 9 (vigorously supports
retaining and enforcing Rule and applauds FTC for its efforts in
this regard); Greenstone/Smith, #32, at 1 (provides a viable means
of creating broader consumer awareness of insulation value and
maintaining even playing field, without Rule sellers would take
advantage of naive consumers); Insulspan, #33, at 1 (retain);
Clayville, #34, at 3 (still needed to keep a level playing field);
FischerSips, #36, at 1 (retain); Fi-Foil/Lippy, #42 (should be
continued to enable general public to evaluate insulation products).
See also, Rock Wool Mfg./1, #06 (fully supports ICAA's submittal).
\6\ Benchmark, #04.
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Based on the comments, the Commission determines that there is a
continuing need for the Rule.
2. Benefits and Costs to Purchasers
Twenty-four comments described the benefits the Rule confers on
purchasers.7 In summary, the comments described the major benefits
of the Rule to consumers as:
\7\ Porter, #03; Rock Wool Mfg./1, #06; Anderson, #08, at 2-3;
McGarry, #10; Tierra, #12, at 1-2; Western, #14, at 1; Fi-Foil/
Nowman, #15, at 1; ICAA/1, #17, at 1; England, #18, at 1; CIMA, #19,
at 1; Greenstone/Tranmer, #20, at 1; Hamilton, #22, at 1; TN Tech,
#26, at 1; ORNL/Wilkes, #29, at 1-2; PIMA, #30, at 2-3, 9;
Greenstone/Smith, #32, at 1; Clayville, #34, at 1; Celotex, #35, at
1; Fi-Foil/Lippy, #42. See also, Rock Wool Mfg./1, #06; Kettering,
#07; Raeth, #09; ECI, #23; NAIMA, #24, at 1.
---------------------------------------------------------------------------
Increasing consumer awareness of the benefits of
insulation; 8
\8\ ORNL/Wilkes, #29, at 1; Greenstone/Smith, #32, at 1.
---------------------------------------------------------------------------
Giving consumers the basic thermal performance information
they need to compare insulation products and select those with the R-
value they want,9 at little or no cost; 10
\9\ Anderson, #08, at 2-3; McGarry, #10; Greenstone/Tranmer,
#20, at 1; PIMA, #30, at 2-3; Fi-Foil/Lippy, #42. See Raeth, #09;
ECI, #23.
\10\ ICAA/1, #17, at 1. See also Rock Wool Mfg./1, #06.
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Giving consumers R-value information in a uniform manner
that facilitates easy comparison of competing products; 11
\11\ Tierra, #12, at 1-2; Fi-Foil/Nowman, #15, at 1; England,
#18, at 1; PIMA, #30, at 3; Celotex, #35, at 1.
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Helping ensure that R-value claims are substantiated so
consumers receive what they are promised; 12
\12\ Porter, #03; Tierra, #12, at 1-2; England, #18, at 1;
Hamilton, #22, at 1. See Kettering, #07; Raeth, #09; ECI, #23;
NAIMA, #24, at 1.
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Helping consumers save energy (and heating and cooling
costs) by preventing misrepresentations about R-values of insulation
products,13 and by setting standards for the proper installation
of insulation products; 14
\13\ Porter, #03. See Rock Wool Mfg./1, #06.
\14\ See Rock Wool Mfg./1, #06.
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Saving consumers money by eliminating sales and marketing
practices that lead them to overinsulate or underinsulate; 15
\15\ CIMA, #19, at 1.
---------------------------------------------------------------------------
Improving the quality 16 and consistency 17 of
home insulation, encouraging the development of advanced
products,18 and preventing the sale of inferior products; 19
and
\16\ TN Tech, #26, at 1.
\17\ Greenstone/Tranmer, #20, at 1.
\18\ Id.
\19\ See Kettering, #07.
[[Page 13661]]
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Reducing the rate of depletion of our nation's limited
energy resources by helping consumers conserve energy
expenditures.20
\20\ ORNL/Wilkes, #29, at 1.
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In addition to the benefits described above, Greenstone/Smith
explained that utility companies have embraced the Rule and developed
their own energy savings programs that depend on the Rule to protect
consumers from fraudulent acts.21 Greenstone/Smith also stated
that state departments of consumer affairs have used the Rule as a
model in writing their laws, which has led to state enforcement actions
that generated publicity and educated consumers. Greenstone/Smith
further stated that consumers would be in a user-beware condition
without the Rule and that sellers would lower their ethical boundaries
and take advantage of naive consumers.22
\21\ Greenstone/Smith, #32, at 1.
\22\ Id. See also NAIMA, #24, at 1; ORNL/Wilkes, #29, at 2.
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Sixteen commenters addressed the costs the Rule imposes on
purchasers. Fifteen of these commenters stated that they did not
believe the Rule imposes significant costs on purchasers.23 Only
one, Benchmark, stated that the costs imposed by the Rule outweigh the
Rule's benefits.24 In brief, the commenters other than Benchmark
expressed the following views concerning costs the Rule imposes on
consumers:
\23\ Rock Wool Mfg./1, #06; Tierra, #12, at 2; Western, #14, at
1; Fi-Foil/Nowman, #15, at 1; ICAA/1, #17, at 1; England, #18, at 1;
CIMA, #19, at 1; Greenstone/Tranmer, #20, at 2; Hamilton, #22, at 1;
Celotex, #25, at 1; TN Tech, #26, at 1; ORNL/Wilkes, #29, at 2-3;
PIMA, #30, at 3, 9; Greenstone/Smith, #32, at 1; Clayville, #34, at
1.
\24\ Benchmark, #04.
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no cost; 25
\25\ Rock Wool Mfg./1, #06; ICAA/1, #17, at 1; CIMA, #19, at 1;
Hamilton, #22, at 1.
---------------------------------------------------------------------------
Minimal or insignificant cost,26 or small cost when
spread over volume of production; 27
\26\ Celotex, #25, at 1; TN Tech, #26, at 1; PIMA, #30, at 3, 9;
Clayville, #34, at 1.
\27\ Greenstone/Tranmer, #20, at 2; ORNL/Wilkes, #29, at 2-3.
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Very small cost imposed is offset by improved product
quality and the benefit-to-cost ratio is very large; 28
\28\ TN Tech, #26, at 1. See Greenstone/Tranmer, #20, at 2.
---------------------------------------------------------------------------
Any cost already has been born by manufacturers and is
embedded in product pricing; 29
\29\ Tierra, #12, at 2; Fi-Foil/Nowman, #15, at 1.
---------------------------------------------------------------------------
Required testing should already have been done so the only
additional cost is the Fact Sheet, which can be produced at minimal
expense; 30
\30\ Greenstone/Smith, #32, at 1.
---------------------------------------------------------------------------
Possibly has imposed cost, but not nearly the waste of
money that would have occurred without the Rule; 31 and
\31\ Western, #14, at 1.
---------------------------------------------------------------------------
Has saved consumers on cost.32
\32\ England, #18, at 1.
---------------------------------------------------------------------------
Based on the comments, the Commission determines that the Rule
provides substantial benefits to consumers, while imposing no
significant costs on them.
3. Benefits and Burdens or Costs to Firms
Ten comments addressed the benefits provided to firms covered by
the Rule.33 According to the comments, the Rule benefits firms by:
\33\ Porter, #03; Tierra, #12, at 1-2; Western, #14, at 1, but
see, at 2; England, #18, at 2; Greenstone/Tranmer, #20, at 3;
Celotex, #25, at 2; PIMA, #30, at 2, 4, 9; Greenstone/Smith, #32, at
1; Clayville, #34, at 1, 3. See NAIMA, #24, at 1.
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Creating a level playing field through standardized
guidelines for labeling, testing, and evaluation, which promote
legitimate competition and make it easier for honest manufacturers to
compete; 34
\34\ Porter, #03; Tierra, #12, at 1-2; Western, #14, at 1, but
see, at 2 (not much benefit for Western); Greenstone/Tranmer, #20,
at 3; Celotex, #25, at 2; Clayville, #34, at 3. See also NAIMA, #24,
at 1 (marketplace would be chaotic in its absence).
---------------------------------------------------------------------------
Providing a more even market place in which it is easier
for industry to attempt to regulate itself; 35
\35\ England, #18, at 2.
---------------------------------------------------------------------------
Enhancing competition by enabling suppliers to convey
truthfully and meaningfully the insulation properties of their
products; 36 and
\36\ PIMA, #30, at 2.
---------------------------------------------------------------------------
Providing guidelines for product testing and evaluation
and creating confidence in the residential buyer's mind.37
\37\ Id. at 4.
---------------------------------------------------------------------------
As pointed out in Part III.A.2, above, Greenstone/Smith stated that
individual utility companies have developed energy savings programs
that depend on the Rule to protect consumers from fraudulent
acts.38 According to the commenter, by encouraging consumers to
insulate homes, these programs benefit firms by generating an ever-
increasing demand for products covered by the Rule.
\38\ Greenstone/Smith, #32, at 1 .
---------------------------------------------------------------------------
Fourteen comments addressed the burdens or costs imposed on firms
covered by the Rule. Eleven of these stated that the Rule had not
imposed any significant costs on firms.39 Tierra stated merely
that any costs due to the Rule already were imbedded in the pricing of
the products.40 Fi-Foil/Nowman stated that the Rule had a
substantial economic impact on industry members originally because it
required redesigning and reprinting packaging and promotional materials
to meet the labeling requirements, but that these costs already had
been borne by manufacturers.41 Benchmark stated that the costs
imposed by the Rule outweigh its benefits.42
\39\ Rock Wool Mfg./1, #06 (not aware of any significant added
cost); Western, #14, at 2 (for it $0); ICAA/1, #17, at 1 (no
significant cost burden); England, #18, at 2 (none, because what
Rule requires should be done anyway); CIMA, #19, at 2 (few
incremental costs of compliance since requirements are based on
existing industry and government standards); Greenstone/Tranmer,
#20, at 3 (does not impose large financial burden); Hamilton, #22,
at 1 (do not think it has imposed additional costs); Celotex, #25,
at 2 (no significant burdens or costs since R-value data is
necessary for marketing, quality control, and research purposes);
PIMA, #30, at 4 (no significant burdens or costs, benefits clearly
outweigh any burdens or costs), at 9 (does not impose significant
burden or cost); Greenstone/Smith, #32, at 1 (required testing
should already have been done when Commission issued Rule and no
additional tests were required, only additional cost was Fact Sheet
which could be produced at minimal expense to manufacturer);
Clayville, #34, at 1 (doesn't believe the Rule has imposed any
excessive costs on manufacturers or contractors).
\40\ Tierra, #12, at 2.
\41\ Fi-Foil/Nowman, #15, at 1.
\42\ Benchmark, #04.
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Based on the comments, the Commission determines that the Rule
benefits firms by creating a level playing field that promotes
competition, by providing a market place in which industry can more
easily regulate itself, by providing guidelines to industry for product
testing and evaluation, and by creating consumer confidence. The
Commission also determines that the Rule does not impose significant
ongoing costs on firms.
B. Other Federal, State, or Local Laws or Regulations
Nine comments addressed the existence of other federal, state, or
local laws or regulations. None of the commenters was aware of any
conflicts with other federal, state, or local laws or
regulations.43 England stated that the Rule strengthens other
federal, state, and local laws and regulations.44 Celotex and PIMA
explained that the Rule is a consumer protection regulation, which does
not address issues such as building energy conservation standards that
are regulated elsewhere at the federal, state, and local levels.45
Greenstone/Smith stated that the Rule has been precedent-setting rather
than conflicting, and that
[[Page 13662]]
utility companies have embraced the Rule's requirements and developed
energy-saving programs that depend on the Rule to protect consumers
from fraudulent acts.46
\43\ Rock Wool Mfg./1, #06; Tierra, #12, at 3; Western, #14, at
3; England, #18, at 2; CIMA, #19, at 2; Greenstone/Tranmer, #20, at
4; Celotex, #25, at 2; PIMA, #30, at 5; Greenstone/Smith, #32, at 1.
\44\ England, #18, at 2 .
\45\ Celotex, #25, at 2; PIMA, #30, at 5.
\46\ Greenstone/Smith, #32, at 1.
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Based on the comments, the Commission determines that there is no
reason to believe that the Rule conflicts with other federal, state, or
local laws or regulations.
IV. Adoption of Current ASTM Standards
The Rule currently requires that the R-value of each home
insulation product be determined based on tests conducted according to
ASTM C 177-85, C 236-87, C 518-85, or C 976-82.47 It requires that
R-values based upon heat flux measurements under C 177-85 or C 518-85
be reported in accordance with ASTM standard practice C 1045-85. It
also requires that, for loose-fill cellulose, the tests be conducted at
the settled density determined under ASTM C 739-88 (``Standard
Specification for Cellulosic Fiber (Wood-Base) Loose-Fill Thermal
Insulation'').48
\47\ In citations of ASTM standards, the letter and first series
of numbers refer to the basic standard; the number following the
hyphen refers to the version of the standard (denoting the year in
which the version was adopted and published by ASTM).
\48\ This section discusses only the comments that recommended
the Commission revise the Rule concerning specific ASTM test
procedures and other standards that currently are required by the
Rule. It does not discuss the comments that recommended the
Commission adopt additional or different ASTM or other test
procedures or standards that are not currently required by the Rule.
See Part VI, infra.
---------------------------------------------------------------------------
Four comments discussed which versions of specified ASTM test
procedures or other standards should be required by the Rule. Celotex
and PIMA recommended that the Commission revise the Rule to require the
use of current versions of required ASTM standards that are
incorporated into the Rule. Specifically, they recommended that the
Commission amend the Rule to require use of the following versions of
ASTM standards: ASTM C 177-85 (1993), ASTM C 236-89 (1993), ASTM C 518-
91, ASTM C 976-90, ASTM C 1045-90.49 NAIMA recommended that the
Commission revise section 460.5(a)(2) to require settled density
testing of loose-fill cellulose according to C 739-91.50 No
comments opposed adoption of these current versions of the ASTM
standards.
\49\ Celotex, #25, at 3; PIMA, #30, at 5. Both comments stated
that the 1993 revisions to C 177-85 and C 236-89 (the year 1993 is
indicated in parentheses in the standards) were editorial only.
\50\ NAIMA, #24, at 2.
---------------------------------------------------------------------------
NAIMA pointed out that an alternative to referencing current
versions of ASTM standards would be to omit the specific version and
rely on the language in section 460.7 of the Rule, 16 CFR 460.7.51
Section 460.7 provides that updated, final ASTM test methods
automatically replace the old ones in the Rule 90 days after
publication by ASTM. Greenstone/Smith agreed with this approach.52
\51\ Id. at 7.
\52\ Greenstone/Smith, #32, at 3.
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ASTM was organized in 1898. A not-for-profit organization, it is
one of the largest voluntary standards-development organizations in the
world. ASTM's members (approximately 36,000 worldwide) include
producers, users, ultimate consumers, and those having a general
interest (including government and academia). Through 132 standards-
writing committees, ASTM publishes more than 9,500 standards each year.
Membership in ASTM is open to all interested parties concerned with the
fields in which ASTM is active.53 ASTM standards are developed
through a consensus-type process and are used voluntarily. They become
legally binding only when a government body references them in
regulations, or when they are cited in a contract. ASTM standards are
subject to revision at any time by the responsible technical committee
and must be reviewed every five years, and if not revised, either
reapproved or withdrawn.54 ASTM's C-16 Committee on Thermal
Insulation is the standards-writing committee responsible for virtually
all of the ASTM standards referenced in the R-value Rule.
\53\ 1995 Annual Book of ASTM Standards, Section 4, Volume 04.06
(Thermal Insulation; Environmental Acoustics), at iii.
\54\ Id. at iv.
---------------------------------------------------------------------------
Section 460.7 of the Rule provides for automatic incorporation into
the Rule of revisions to these ASTM test procedures. As part of this
automatic incorporation, the Commission originally cited in the Rule
only the basic test procedures and other standards, not the specific
version of each then in effect. Under section 460.7, when ASTM changed
a test procedure required by the Rule, the new version automatically
replaced the old one in the Rule 90 days after ASTM first published the
change.55 In 1990, the Commission amended the Rule to specify the
version of each ASTM test procedure that would be required in the
future. 55 FR 10053 (1990). The Commission explained that, because it
previously had taken no action to consider any of the revisions to the
required test procedures that ASTM had adopted since the Commission
promulgated the Rule, the Commission in effect had adopted the revised
procedures. Id. at 10054.
\55\ Under section 460.7, the Commission's staff or a person
affected by the change can petition the Commission during the 90-day
period not to adopt the change or to reopen the rulemaking
proceeding to consider it further.
---------------------------------------------------------------------------
The Office of the Federal Register (``OFR'') specifies additional
procedures that federal agencies must follow when they promulgate rules
requiring the use of private standards that are not printed in full in
the Code of Federal Regulations (``CFR'') (i.e., when they incorporate
private standards by reference). Section 51.1(f) of OFR's regulations
states that incorporation by reference is limited to the edition of the
publication that is approved by the Director of the Federal Register. 1
CFR 51.1(f). Section 51.9 of OFR's regulations requires that each
``incorporation by reference'' in a federal rule specifically identify
the standard to be incorporated, including the title, date, edition,
author, publisher, and identification number of the publication. 1 CFR
51.9.
Under Federal Register requirements, therefore, the Commission does
not have discretion to require compliance generally with the ``latest''
or ``current'' version of ASTM test procedures or other standards. If
ASTM adopts and publishes revised test procedures or other standards
required by the Rule, however, the Commission may update its
incorporation by reference of these standards by obtaining permission
for the incorporation by reference from the Director of the Federal
Register and publishing an amendment to the Rule that requires the use
of the revised standard in the future.
ASTM standards C 177-85, C 236-87, C 518-85, C 976-82, C 1045-85,
and C 739-88, which currently are specified in the Rule, have been
revised by ASTM since the Commission adopted those versions of the
standards in 1990.56 Because the Commission has taken no action to
consider any of the revised standards adopted by ASTM, and has received
no petitions to consider them, section 460.7 of the Rule has
authorized, but not required, use of the revised ASTM standards for
compliance with the Rule.
\56\ 55 FR 10053 (1990).
---------------------------------------------------------------------------
Based on the comments and the text of the revised versions of the
ASTM standards recommended by the commenters, the Commission believes
that these revisions to the versions of the standards currently
required by the Rule have been primarily technical changes or editorial
comments, and not significant, substantive revisions. The
[[Page 13663]]
Commission, therefore, amends the Rule to require use of the revised,
current versions of these standards that are published in volume 04.06,
section 4, of the 1995 Annual Book of ASTM Standards. Because the
revisions appear to be technical changes or editorial comments, not
significant, substantive revisions, the Commission determines that
these amendments are non-substantive under section 18(d)(2)(B) of the
FTC Act, 15 U.S.C. 57a(d)(2)(B).
The amendments require that all future tests by manufacturers or
others to substantiate R-value claims for home insulation products be
based on the revised standards. Manufacturers or others whose home
insulation products have not changed can continue to rely on tests
conducted according to the versions of the standards that were required
by the Rule at the time the tests were conducted. Under section 460.7
of the Rule, in the future the Commission will accept, but not require,
the use of a revised version of any of these standards 90 days after
ASTM adopts and publishes the revision. The Commission may, however,
reopen the rulemaking proceeding during the 90-day period or at any
later time to consider whether it should require use of the revised
procedure or reject it under section 460.5 of the Rule, 16 CFR 460.5.
V. Proposed Non-Substantive Amendment to Allow Use of an Additional
ASTM R-value Test Procedure
In the April 6, 1995 notice, the Commission also solicited comments
on the Petition from Ronald S. Graves, Research Staff Member, Materials
Analysis Group, at Martin Marietta Energy Systems, Inc.57 The
Petition requested that the Commission include an additional (fifth)
ASTM R-value test procedure (``ASTM C 1114-92--Standard Test Method for
Steady-State Thermal Transmission Properties by Means of the Thin-
Heater Apparatus''), as an approved test method for complying with
section 460.5(a) of the R-value Rule, 16 CFR 460.5(a). This test method
is under the jurisdiction of ASTM Committee C-16 on Thermal
Measurements (the ASTM Committee responsible for the other R-value test
procedures required by the R-value Rule), and is the direct
responsibility of ASTM Subcommittee C16.30 on Thermal Measurements. Mr.
Graves is the Chairman of the Thin Heater Task Group within C16.30 that
meets semiannually to maintain and keep ASTM C 1114 current.
\57\ 60 FR at 17493-94. Martin Marietta Energy Systems, Inc.,
operates Oak Ridge National Laboratory (``ORNL'') as a contractor
for the U.S. Department of Energy. The Petition, plus attachments,
has been placed on the public record of the R-value Rule, File No.
R811001, and can be inspected at the Commission's Public Reference
Room, Room 130, Sixth Street and Pennsylvania Avenue, NW,
Washington, DC.
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Based on the documentation submitted with the Petition, the
Commission stated its belief that the accuracy of the ASTM C 1114-92
test procedure compared favorably to that of other ASTM R-value test
procedures the Commission has adopted under the R-value Rule.58
The Commission, therefore, stated that it was considering adopting a
non-substantive amendment to section 460.5(a) of the Rule to include
ASTM C 1114-92 as an optional, but not required, test procedure for
determining the R-value of home insulation. Because the proposed
amendment would not impose any new obligations upon parties covered by
the Rule, or lessen the protections afforded consumers by the Rule, the
Commission stated that the proposed change appeared to be non-
substantive under section 18(d)(2)(B) of the FTC Act, 15 U.S.C.
57a(d)(2)(B). For these reasons, the Commission stated that it did not
have to solicit public comment or follow the rulemaking proceedings
that would be required for a substantive amendment to the Rule. On the
other hand, because the Commission was soliciting comments as part of
its regulatory review of the Rule, as a matter of discretion the
Commission determined to solicit comments on the Petition at the same
time.
\58\ The Commission noted that C 1114-92 had been adopted as an
official ASTM standard and, therefore, it appeared that the industry
recognized it as an accurate and appropriate test procedure.
---------------------------------------------------------------------------
Twelve comments addressed the proposed adoption of ASTM C 1114-92
as an optional R-value test procedure. Nine comments recommended that
the Commission adopt the test procedure or said that they had no
objections.59 Of these, Regal stated that the adoption of the test
procedure was ``appropriate.'' Celotex and PIMA stated that the test
procedure has shown excellent correlation to the R-value test
procedures currently required by the Rule. ORNL/Wilkes stated that the
test procedure is a test method that has proven minimal uncertainty,
high reproducibility, and broad applicability to a variety of existing
and advanced insulation materials.
\59\ Tierra, #12, at 1-3; Fi-Foil/Nowman, #15, at 1; Regal, #16,
at 1; England, #18, at 4; Hamilton, #22, at 3; Celotex, #25, at 6;
PIMA, #30, at 8; Fi-Foil/Lippy, #42; ORNL/Wilkes, #29, at 2.
---------------------------------------------------------------------------
Three comments expressed reservations about the proposed adoption
of ASTM C 1114-92. Rock Wool Mfg./1 agreed that the Commission's
proposal to adopt the test procedure would be appropriate, if the
Commission is assured that the results are comparable with other
required tests.60 Western stated that adding C 1114-92 may help
reduce burdens or costs imposed by the Rule,61 but later responded
specifically to the issue of adopting the test procedure with ``no
comment.'' 62 MRCA expressed concern that the test procedure would
replace ASTM tests C 177 and C 518, that only two pieces of equipment
currently are available to conduct the C 1114 test, that available test
equipment is proprietary, and that more labs should use the equipment
to obtain comparable test results before the FTC accepts the
procedure.63
\60\ Rock Wool Mfg./1, #06.
\61\ Western, #14, at 2.
\62\ Id. at 3.
\63\ MRCA, #31, at 1-2.
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The Commission has determined to adopt a non-substantive amendment
to allow use of ASTM C 1114-95 as an optional, but not required, test
method for determining the R-value of home insulation under section
460.5(a) of the R-value Rule.64 Based on the data submitted with
the Petition and the comments, the Commission believes that the
accuracy of the ASTM C 1114-95 test procedure compares favorably with
the other ASTM R-value test procedures the Commission has adopted under
the R-value Rule. Because the amendment imposes no new obligations upon
parties covered by the Rule (but merely recognizes the use of an
optional R-value test procedure), and because the accuracy of the test
procedure compares favorably to the test procedures already required by
the Rule, the Commission has determined that this amendment is non-
substantive under section 18(d)(2)(B) of the FTC Act, 15 U.S.C.
57a(d)(2)(B).
\64\ ASTM published revised version C 1114-95 of the standard in
August 1995, after the comment period ended. According to the
petitioner, the revised version contains merely technical,
housekeeping changes. The Commission, therefore, considers the
documentation in support of the Petition and the comments to apply
to revised version C 1114-95. Graves, #43.
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VI. Other Issues
In addition to the subjects discussed above, the comments raised
numerous other issues relating to the Rule. For example:
Whether the scope of the Rule should be expanded to cover
insulation sold for use in the commercial market, the thermal
efficiency of building systems (such as insulation used in structural
panels), or new products
[[Page 13664]]
(such as cellulose batts, cotton batts, cotton loose-fill, stabilized
cellulose);
Whether the Rule should require different or new
procedures or specify additional requirements for preparing test
specimens for certain types of insulation products (such as aging
cellular plastics insulations, determining the long-term density of
loose-fill mineral fiber insulations);
Whether the Rule should take into consideration additional
factors that can affect the thermal performance of specific products in
actual use (such as temperature differences, the effect of convection
during winter conditions); and
Whether the Rule should impose additional requirements on
manufacturers or installers to help consumers ensure that the requisite
amount of insulation has been installed in their homes.
Adopting the commenters' recommendations to cover, for example,
additional products and to create new Rule requirements would require
substantive amendments under section 18(d)(2)(B) of the FTC Act, 15
U.S.C. 57a(d)(2)(B). In addition, some of the comments suggested
requiring the use of specific proposed ASTM test procedures when ASTM
adopts them as final procedures. Because these test procedures are not
yet final ASTM standards, it is premature for the Commission to
consider requiring that they be used to determine the R-values of home
insulation products.
The Commission is continuing to review the issues raised by the
comments and the most efficient and effective methods of dealing with
them, which may not necessarily include further rulemaking. For
example, the Commission could bring enforcement actions against
specific companies whose practices are not covered by the Rule, but who
are engaging in unfair or deceptive acts or practices under section 5
of the FTC Act, 15 U.S.C. 45. Another option might be for the
Commission to provide affected industry members informal guidance
instead of adopting substantive amendments to the Rule. The Commission
will address these other issues in other notices or forums.
VII. Exemptions
Section 18(g)(2) of the FTC Act, 15 U.S.C. 57a(g)(2), authorizes
the Commission to exempt a person or class of persons from all or part
of a trade regulation rule if the Commission finds that application of
the rule is not necessary to prevent the unfair or deceptive acts or
practices to which the rule relates. Since the R-value Rule became
effective, the Commission, in response to petitions from industry
representatives, has granted exemptions from specific requirements of
the Rule to certain classes of sellers. The Commission granted these
exemptions after soliciting public comment.
Although the Commission published the exemptions in the Federal
Register, the exemptions are not cited in the text of the Rule in the
Code of Federal Regulations. To assist industry members in
understanding their responsibilities under the Rule, the Commission has
determined to amend the Rule to include a summary of the exemptions as
an Appendix to the Rule. These non-substantive amendments do not alter
the requirements of the Rule. They merely summarize the previously-
granted exemptions as an Appendix to the Rule for easier reference.
Industry members should review the decisions published in the Federal
Register where the Commission granted the exemptions for a more
complete description of the scope of the exemptions. The summaries in
the Appendix include the citations to those decisions.
A. Manufacturers of Perlite Insulation
The Commission granted the first exemption in response to a
petition from a trade association representing manufacturers of perlite
insulation products, 46 FR 22179 (1981). The petitioner requested that
the Commission exempt manufacturers of perlite insulation from sections
460.12(b)(2) and 460.13(c)(1) of the Rule, 16 CFR 460.12(b)(2),
460.13(c)(1), which require that they disclose on labels and fact
sheets the minimum weight per square foot of perlite insulation
products that is necessary to achieve a specific R-value.
The Rule's label and fact sheet disclosure requirements were based
on the fact that, for most insulation products, as the density
increases, the R-value per unit of thickness increases. The Rule,
therefore, requires that sellers of loose-fill insulations, including
perlite, disclose the minimum weight per square foot that is required
to achieve the density and thickness necessary for the claimed total R-
value. Unlike other insulation products, however, as the density of
most perlite insulation increases, the R-value per unit of thickness
decreases. Thus, if these perlite insulations are installed at
densities greater than the thicknesses and weights per square foot
listed on their labels and fact sheets, the consumer may not receive
the claimed R-values. The petitioner requested that the label and fact
sheet disclosure requirements be changed to require disclosure of
maximum weight per square foot.
The Commission exempted manufacturers of perlite insulation
products that have an inverse relationship between R-value and density
or weight per square foot from the requirements in sections
460.12(b)(2) and 460.13(c)(1) of the Rule that they disclose minimum
weight per square foot for R-values listed on labels and fact sheets.
The exemption is conditioned upon the alternative disclosure in labels
and fact sheets of the maximum weight per square foot for each R-value
listed. All other requirements of the Rule apply to sellers of these
perlite home insulation products.
B. Manufacturers of Rigid, Flat-Roof Insulation
The Commission granted the second exemption in response to
petitions filed by four manufacturers of rigid, flat-roof insulation
products and two trade associations representing such manufacturers, 46
FR 22180 (1981). One of the trade associations and all four
manufacturers requested an exemption from all requirements of the Rule
for rigid, flat-roof insulation products that are used in flat, built-
up roofs. The other trade association limited its request to an
exemption from the labeling requirements of section 460.12 of the Rule,
16 CFR 460.12.
The petitioners stated that more than 95 percent of the rigid,
flat-roof insulation boards sold were used in commercial or industrial
buildings and, therefore, were not covered by the Rule. They
acknowledged, however, that some of the products were used in multi-
family residential buildings, such as flat-roof apartments or
condominium buildings. The petitioners stated that manufacturers have
no way of knowing which products would be used in residential
applications. If manufacturers were required to label all products for
residential use according to the Rule, they would be required to assume
the unnecessary expense of labeling every package of insulation even
though only a small percentage would be used in residential
applications. Furthermore, since these products were used primarily in
large, multi-family, flat-roof buildings, petitioners asserted that the
labeling information was unnecessary because the product generally
would be selected by an architect or another professional, not the
ultimate consumer.
The Commission exempted manufacturers of rigid, flat-roof
insulation products that are used in flat, built-up roofs from the
requirement in
[[Page 13665]]
section 460.12 that all insulation products that might be used in
residential buildings be labeled with required R-value information. All
other requirements of the Rule apply to sellers of these products.
C. New Home Sellers
The Commission granted the third exemption in response to a
petition filed by a trade association representing new home sellers, 48
FR 31192 (1983). The petitioner requested that new home sellers be
exempted from certain requirements of sections 460.18 and 460.19 of the
Rule, 16 CFR 460.18, 460.19. Section 460.18 requires that
advertisements and other promotional materials that make certain claims
about a home insulation product include specific disclosures. Section
460.19 requires that ads and other promotional materials that claim
home insulation can cut fuel bills or fuel use (``energy savings
claims'') include specific disclosures, and that advertisers have a
reasonable basis for the claims and maintain records substantiating the
claims.
The Commission determined that certain disclosures in new home
advertisements and other promotional materials, which would have been
required by the Rule, were not necessary to prevent the unfair or
deceptive acts or practices to which the Rule relates. The Commission,
therefore, exempted new home sellers from:
(1) The requirement, under section 460.18(a), that they disclose
the type and thickness of the insulation when they make a
representation about the R-value of the insulation in a new home;
(2) the requirement that they disclose the R-value explanatory
statement under section 460.18(a) or the savings explanatory
statement under section 460.19(b), conditioned upon the new home
seller alternatively disclosing the appropriate explanatory
statement in the sales contract along with the disclosures required
by section 460.16, 16 CFR 460.16; 65
\65\ Under section 460.19(d), ads or other promotional materials
that otherwise would require both the R-value explanatory statement
under section 460.18(a) and the savings claim explanatory statement
under section 460.19(b) need only contain the savings claim
explanatory statement. This option applies under the exemption to
new home sellers who choose to make the explanatory statement in the
sales contract instead of in the ad or other promotional material.
---------------------------------------------------------------------------
(3) the requirement that they make the disclosures specified in
section 460.19(c) if they claim that insulation, along with other
products in a new home, will cut fuel bills or fuel use; and
(4) the requirement that they include the reference to fact
sheets when they must disclose the R-value explanatory statement or
the savings claim explanatory statement under sections 460.18(a) or
460.19(b), respectively.
These exemptions also apply to home insulation sellers other than
new home sellers (such as home insulation manufacturers) when they
participate with a new home seller to advertise and promote the sale of
new homes, provided that the primary thrust of the advertisement or
other promotional material is the promotion of new homes, and not the
promotion of the insulation product. All other requirements of the
Rule, including the section 460.19 substantiation and recordkeeping
requirements for energy savings claims made in ads and other
promotional materials, apply to new home sellers and those who
participate with a new home seller to advertise and promote the sale of
new homes or home insulation products.
VIII. Summary of Commission's Determinations
For the reasons set forth in this notice, the Commission: 66
(1) retains the R-value Rule; (2) adopts a non-substantive amendment to
section 460.5(a) of the Rule to allow the use of ASTM C 1114-95 as an
optional, but not required, test procedure to determine the R-value of
home insulation; (3) adopts non-substantive amendments to sections
460.5(a), 460.5(a)(2), 460.5(b), and 460.5(d)(1) of the Rule to require
the use of ASTM C 177-85 (1993), ASTM C 236-89 (1993), ASTM C 518-91,
ASTM C 976-90, ASTM C 1045-90, and ASTM C 739-91 to determine the R-
value of home insulation; (4) adopts a non-substantive amendment to add
an Appendix to the Rule, summarizing the exemptions from specific
requirements of the Rule that the Commission previously granted for
certain classes of persons covered by the Rule; and (5) adopts a non-
substantive amendment to revise section 460.10 to cross-reference the
Commission's enforcement policy statement for foreign language
advertising in 16 CFR 14.9 and to delete the current Appendix to the
Rule, which merely repeats the text of 16 CFR 14.9.
\66\ In addition to the amendments described in the text of this
notice, the Commission also adopts a non-substantive amendment to
section 460.10 and removes the current Appendix (``Enforcement
Policy Statement for Foreign Language Advertising''). Section 460.10
previously required compliance with the disclosure requirements
described in the Appendix. The Appendix simply reprinted 16 CFR
14.9. Amended section 460.10 refers directly to 16 CFR 14.9,
eliminating unnecessary duplication.
---------------------------------------------------------------------------
List of Subjects in 16 CFR Part 460
Advertising, Incorporation by reference, Insulation, Labeling,
Trade practices.
Text of Amendments
Accordingly, the Commission amends 16 CFR Part 460 to read as
follows:
PART 460--[AMENDED]
1. The authority citation for Part 460 is amended to read as
follows:
Authority: 15 U.S.C. 41 et seq.
2. In section 460.5, the introductory text, paragraph (a)
introductory text, paragraphs (a)(2) and (b), paragraph (d)
introductory text and paragraph (d)(1) are revised to read as follows:
Sec. 460.5 R-value tests.
R-value measures resistance to heat flow. R-values given in labels,
fact sheets, ads, or other promotional materials must be based on tests
done under the methods listed below. They were designed by the American
Society of Testing and Materials (ASTM). The test methods are:
(a) All types of insulation except aluminum foil must be tested
with ASTM C 177-85 (Reapproved 1993), ``Standard Test Method for
Steady-State Heat Flux Measurements and Thermal Transmission Properties
by Means of the Guarded-Hot-Plate Apparatus;'' ASTM C 236-89
(Reapproved 1993), ``Standard Test Method for Steady-State Thermal
Performance of Building Assemblies by Means of a Guarded Hot Box;''
ASTM C 518-91, ``Standard Test Method for Steady-State Heat Flux
Measurements and Thermal Transmission Properties by Means of the Heat
Flow Meter Apparatus;'' ASTM C 976-90, ``Standard Test Method for
Thermal Performance of Building Assemblies by Means of a Calibrated Hot
Box;'' or ASTM C 1114-95, ``Standard Test Method for Steady-State
Thermal Transmission Properties by Means of the Thin-Heater
Apparatus.'' The tests must be done at a mean temperature of 75 deg.
Fahrenheit. The tests must be done on the insulation material alone
(excluding any airspace). R-values (``thermal resistance'') based upon
heat flux measurements according to ASTM C 177-85 (Reapproved 1993) or
ASTM C 518-91 must be reported only in accordance with the requirements
and restrictions of ASTM C 1045-90, ``Standard Practice for Calculating
Thermal Transmission Properties from Steady-State Heat Flux
Measurements.'' These incorporations by reference were approved by the
Director of the Federal Register in accordance with 5 U.S.C. 552(a) and
1 CFR Part 51. Copies of the test procedures and standard practice may
be obtained from the American Society of Testing and Materials, 1916
Race Street, Philadelphia, PA 19103.
[[Page 13666]]
Copies may be inspected at the Federal Trade Commission, Public
Reference Room, Room 130, Sixth Street and Pennsylvania Ave., NW,
Washington, DC, or at the Office of the Federal Register, 800 North
Capital St., NW, suite 700, Washington, DC.
(1) * * *
(2) For loose-fill cellulose, the tests must be done at the settled
density determined under paragraph 8 of ASTM C 739-91, ``Standard
Specification for Cellulosic Fiber (Wood-Base) Loose-Fill Thermal
Insulation.'' This incorporation by reference was approved by the
Director of the Federal Register in accordance with 5 U.S.C. 552(a) and
1 CFR Part 51. Copies of the test procedure may be obtained from the
American Society of Testing and Materials, 1916 Race Street,
Philadelphia, PA 19103. Copies may be inspected at the Federal Trade
Commission, Public Reference Room, Room 130, Sixth Street and
Pennsylvania Ave., NW, Washington, DC, or at the Office of the Federal
Register, 800 North Capital St., NW, suite 700, Washington, DC.
* * * * *
(b) Aluminum foil systems with more than one sheet must be tested
with ASTM C 236-89 (Reapproved 1993) or ASTM C 976-90, which are
incorporated by reference in paragraph (a) of this section. The tests
must be done at a mean temperature of 75 deg. Fahrenheit, with a
temperature differential of 30 deg. Fahrenheit.
* * * * *
(d) For insulation materials with foil facings, you must test the
R-value of the material alone (excluding any air spaces) under the
methods listed in paragraph (a) of this section. You can also determine
the R-value of the material in conjunction with an air space. You can
use one of two methods to do this:
(1) You can test the system, with its air space, under ASTM C 236-
89 (Reapproved 1993) or ASTM C 976-90, which are incorporated by
reference in paragraph (a) of this section. If you do this, you must
follow the rules in paragraph (a) of this section on temperature, aging
and settled density.
* * * * *
3. Section 460.10 is revised to read as follows:
Sec. 460.10 How statements must be made.
All statements called for by this regulation must be made clearly
and conspicuously. Among other things, you must follow the Commission's
enforcement policy statement for clear and conspicuous disclosures in
foreign language advertising and sales materials, 16 CFR 14.9.
4. The ``Appendix to Part 460--Enforcement Policy Statement for
Foreign Language Advertising'' is removed.
5. A new Appendix is added, to read as follows:
Appendix to Part 460--Exemptions
Section 18(g)(2) of the Federal Trade Commission Act, 15 U.S.C.
57a(g)(2), authorizes the Commission to exempt a person or class of
persons from all or part of a trade regulation rule if the
Commission finds that application of the rule is not necessary to
prevent the unfair or deceptive acts or practices to which the rule
relates. In response to petitions from industry representatives, the
Commission has granted exemptions from specific requirements of 16
CFR Part 460 to certain classes of sellers. Some of these exemptions
are conditioned upon the performance of alternative actions. The
exemptions are limited to specific sections of Part 460. All other
requirements of Part 460 apply to these sellers. The exemptions are
summarized below. For an explanation of the scope and application of
the exemptions, see the formal Commission decisions in the Federal
Register cited at the end of each exemption.
(a) Manufacturers of perlite insulation products that have an
inverse relationship between R-value and density or weight per
square foot are exempted from the requirements in sections
460.12(b)(2) and 460.13(c)(1) that they disclose minimum weight per
square foot for R-values listed on labels and fact sheets. This
exemption is conditioned upon the alternative disclosure in labels
and fact sheets of the maximum weight per square foot for each R-
value required to be listed. 46 FR 22179 (1981).
(b) Manufacturers of rigid, flat-roof insulation products used
in flat, built-up roofs are exempted from the requirements in
section 460.12 that they label these home insulation products. 46 FR
22180 (1981).
(c) New home sellers are exempted from:
(1) the requirement in section 460.18(a) that they disclose the
type and thickness of the insulation when they make a representation
in an advertisement or other promotional material about the R-value
of the insulation in a new home;
(2) the requirement that they disclose in an advertisement or
other promotional material the R-value explanatory statement
specified in section 460.18(a) or the savings explanatory statement
specified in section 460.19(b), conditioned upon the new home
sellers alternatively disclosing the appropriate explanatory
statement in the sales contract along with the disclosures required
by section 460.16;
(3) the requirement that they make the disclosures specified in
section 460.19(c) if they claim that insulation, along with other
products in a new home, will cut fuel bills or fuel use; and
(4) the requirement that they include the reference to fact
sheets when they must disclose the R-value explanatory statement or
the savings claim explanatory statement under sections 460.18(a) or
460.19(b), respectively.
The exemptions for new home sellers also apply to home
insulation sellers other than new home sellers when they participate
with a new home seller to advertise and promote the sale of new
homes, provided that the primary thrust of the advertisement or
other promotional material is the promotion of new homes, and not
the promotion of the insulation product. 48 FR 31192 (1983).
By direction of the Commission.
Donald S. Clark,
Secretary.
[FR Doc. 96-7528 Filed 3-27-96; 8:45 am]
BILLING CODE 6750-01-P
Complete official Federal Register PDF
FR Doc. 96-7527 Paroling, Recommitting, and Supervising Federal Prisoners: Original Jurisdiction Cases
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Page 13763]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7527]
=======================================================================
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DEPARTMENT OF JUSTICE
Parole Commission
28 CFR Part 2
Paroling, Recommitting, and Supervising Federal Prisoners:
Original Jurisdiction Cases
AGENCY: Parole Commission, Justice.
ACTION: Final rule.
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SUMMARY: The U.S. Parole Commission is amending the voting quorum
required for initial parole decisions under 28 CFR 2.17. In addition,
the appeal from such decisions that is available to prisoners under 28
CFR 2.27 is replaced by a petition for reconsideration. These are the
procedures for deciding original jurisdiction cases, which involve high
profile and extremely serious offenders. The Commission has determined
that both initial decisions and petitions for reconsideration in these
cases are appropriately decided by a majority vote of the Commission.
These changes are necessary in view of the fact that the Commission is
downsizing, and only four Commissioners are currently holding office.
EFFECTIVE DATE: April 1, 1996.
FOR FURTHER INFORMATION CONTACT: Pamela A. Posch, Office of General
Counsel, 5550 Friendship Blvd., Chevy Chase, Maryland 20815, Telephone
(301) 492-5959.
SUPPLEMENTARY INFORMATION: This action changes the quorum of
Commissioner votes required to decide on original jurisdiction cases,
in keeping with the reduction in the number of U.S. Parole
Commissioners from six to four that will become effective April 1,
1996. The early effective date shown above has been ordered by the
Commission pursuant to 5 U.S.C. 553(d)(3), and is necessary to permit
the Commission to continue making its decisions within statutory
deadlines notwithstanding the reduction in the number of Commissioners
holding office. This is a procedural change only, and will not
implicate the merits of any prisoner's case for parole or affect the
way in which hearings are conducted. Hence, notice and public comment
is not required. See 5 U.S.C. 553(b)(A). The guidelines at 28 CFR 2.20
will continue to govern the Commission's decisions to grant, deny, and
revoke parole.
Implementation
This procedural rule change will apply to all original jurisdiction
cases decided under 28 CFR 2.17 or 28 CFR 2.27, after the effective
date shown above.
Executive Order 12866 and Regulatory Flexibility Statement
The U.S. Parole Commission has determined that this rule is not a
significant regulatory action for the purposes of Executive Order
12866, and the rule has, accordingly, not been reviewed by the Office
of Management and Budget. The rule will not have a significant economic
impact upon a substantial number of small entities, within the meaning
of the Regulatory Flexibility Act, 5 U.S.C. 605(b).
List of Subjects in 28 CFR Part 2
Administrative practice and procedure, probation and parole,
prisoners.
The Final Rule
Accordingly, the U.S. Parole Commission makes the following changes
to 28 CFR Part 2:
PART 2--[AMENDED]
(1) The authority citation for 28 CFR Part 2 continues to read as
follows:
Authority: 18 U.S.C. 4203(a)(1) and 4204(a)(6).
Sec. 2.17 [Amended]
(2) 28 CFR Part 2, Sec. 2.17(a) is amended by substituting the
words ``the concurrence of three votes (or a majority vote of
Commissioners holding office if such majority is less than three
Commissioners)'' for the words ``the concurrence of three votes''.
(3) 28 CFR Part 2, Sec. 2.17(c)(2) is amended by substituting the
words ``a petition for reconsideration'' for the words ``an appeal''.
(4) 28 CFR Part 2, Sec. 2.27 is revised to read as follows:
Sec. 2.27 Petition for reconsideration of original jurisdiction
decisions.
(a) A petition for reconsideration may be filed with the Commission
in cases decided under the procedure specified in Sec. 2.17 within
thirty days of the date of such decision. A form is provided for this
purpose. A petition for reconsideration will be reviewed at the next
regularly scheduled meeting of the Commission provided the petition is
received thirty days in advance of such meeting. Petitions received by
the Commission less than thirty days in advance of a regularly
scheduled meeting will be reviewed at the next regularly scheduled
meeting. The concurrence of three Commissioners (or a majority of
Commissioners holding office if such majority is less than three
Commissioners) shall be required to render a decision on a petition for
reconsideration. In case the required concurrence is not reached, the
previous decision shall stand. A decision under this rule shall be
final.
(b) Attorneys, relatives, and other interested parties who wish to
submit written information concerning a petition for reconsideration
should send such information to the National Appeals Board, United
States Parole Commission, 5550 Friendship Boulevard, Chevy Chase,
Maryland 20815. Petitions and all supporting material are to be
submitted thirty days in advance of the meeting at which such petitions
will be considered.
(c) If no petition for reconsideration is filed within 30 days of
the entry of a decision under Sec. 2.17, that decision shall stand as
the final decision of the Commission.
Dated: March 15, 1996.
Edward F. Reilly, Jr.,
Chairman, Parole Commission.
[FR Doc. 96-7527 Filed 3-27-96; 8:45 am]
BILLING CODE 4410-01-P
Complete official Federal Register PDF
FR Doc. 96-7494 Airworthiness Directives; Societe Nationale Industrielle Aerospatiale and Eurocopter France Model AS 350B, BA, B1, B2, and D, and Model AS 355E, F, F1, F2, and N Helicopters
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13655-13659]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7494]
=======================================================================
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 39
[Docket No. 95-SW-04-AD; Amendment 39-9552; AD 96-07-03]
Airworthiness Directives; Societe Nationale Industrielle
Aerospatiale and Eurocopter France Model AS 350B, BA, B1, B2, and D,
and Model AS 355E, F, F1, F2, and N Helicopters
AGENCY: Federal Aviation Administration, DOT.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This amendment adopts a new airworthiness directive (AD),
applicable to Societe Nationale Industrielle Aerospatiale and
Eurocopter France (Eurocopter France) Model AS 350B, BA, B1, B2, and D,
and Model AS 355E, F, F1, F2, and N helicopters, without an autopilot
installed, that requires a visual inspection to determine whether the
cyclic pitch change control rod (rod) end fittings were safetied, and
removal
[[Page 13656]]
and replacement of the rod if the rod end fittings were not safetied.
This amendment is prompted by a manufacturer's report that some of the
rod end fittings had not been safetied at the factory. The actions
specified by this AD are intended to prevent loss of tightening torque
on the adjustment nuts of the rod, shifting of the neutral point of the
cyclic stick, reduction in the amount of available movement of the
cyclic stick in the roll axis, and subsequent reduction in the
controllability of the helicopter.
EFFECTIVE DATE: Effective May 2, 1996.
FOR FURTHER INFORMATION CONTACT: Mr. Richard Monschke, Aerospace
Engineer, FAA, Rotorcraft Directorate, Rotorcraft Standards Staff, 2601
Meacham Blvd., Fort Worth, Texas 76137, telephone (817) 222-5116, fax
(817) 222-5961.
SUPPLEMENTARY INFORMATION: A proposal to amend part 39 of the Federal
Aviation Regulations (14 CFR part 39) to include an airworthiness
directive (AD) that is applicable to Eurocopter France Model AS 350B,
BA, B1, B2, and D, and Model AS 355E, F, F1, F2, and N helicopters,
without an autopilot installed, was published in the Federal Register
on November 1, 1995 (60 FR 55491). That action proposed to require a
visual inspection to confirm that the rod end fittings are safetied,
and removal and replacement of the rod, if necessary.
Eurocopter France has issued Eurocopter Service Bulletin No. 01.38,
dated June 26, 1994, for the Model AS 355 series helicopters, and
Eurocopter Service Bulletin No. 01.42, dated June 28, 1994, for the
Model AS 350 series helicopters, which specifies a visual inspection to
determine whether the rod end fittings have been safetied;
reinstallation of the forward lower fairing if the rod end fittings
have been safetied, and removal and replacement of the rod with an
airworthy rod and reinstallation of the forward lower fairing if the
rod end fittings have not been safetied. The Direction Generale De
L'Aviation Civile, which is the airworthiness authority for France,
classified this service bulletin as mandatory and issued AD 94-179-
051(B) and AD 94-180-069(B), both dated August 3, 1994, in order to
assure the continued airworthiness of these helicopters in France.
Interested persons have been afforded an opportunity to participate
in the making of this amendment. No comments were received on the
proposal or the FAA's determination of the cost to the public. However,
a note has been inserted at the end of paragraph (c) to alert the
reader that a Eurocopter Service Bulletin has been issued that pertains
to the requirements of this AD. The FAA has determined that air safety
and the public interest require the adoption of the rule with the noted
change.
The FAA estimates that 498 helicopters of U.S. registry will be
affected by this AD, that it will take approximately one-fourth of a
work hour per helicopter to inspect the rod end fittings, and 1 work
hour to remove and reinstall the rod, if necessary, and that the
average labor rate is $60 per work hour. Required parts will be
provided by the manufacturer. Based on these figures, the total cost
impact of the AD on U.S. operators is estimated to be $37,350.
The regulations adopted herein will not have substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government. Therefore, in
accordance with Executive Order 12612, it is determined that this final
rule does not have sufficient federalism implications to warrant the
preparation of a Federalism Assessment.
For the reasons discussed above, I certify that this action (1) is
not a ``significant regulatory action'' under Executive Order 12866;
(2) is not a ``significant rule'' under DOT Regulatory Policies and
Procedures (44 FR 11034, February 26, 1979); and (3) will not have a
significant economic impact, positive or negative, on a substantial
number of small entities under the criteria of the Regulatory
Flexibility Act. A final evaluation has been prepared for this action
and it is contained in the Rules Docket. A copy of it may be obtained
from the Rules Docket at the location provided under the caption
ADDRESSES.
List of Subjects in 14 CFR Part 39
Air transportation, Aircraft, Aviation safety, Safety.
Adoption of the Amendment
Accordingly, pursuant to the authority delegated to me by the
Administrator, the Federal Aviation Administration amends part 39 of
the Federal Aviation Regulations (14 CFR part 39) as follows:
PART 39--AIRWORTHINESS DIRECTIVES
1. The authority citation for part 39 continues to read as follows:
Authority: 49 USC 106(g), 40113, 44701.
Sec. 39.13 [Amended]
2. Section 39.13 is amended by adding a new airworthiness directive
to read as follows:
AD 96-07-03 Societe Nationale Industrielle Aerospatiale and
Eurocopter France: Amendment 39-9552. Docket No. 95-SW-04-AD.
Applicability: Model AS 350B, BA, B1, B2, and D, and Model AS
355E, F, F1, F2, and N helicopters, with cyclic pitch change control
rod, part number (P/N) 704A34-113-279, installed, and without an
autopilot installed, certificated in any category.
Note 1: This AD applies to each helicopter identified in the
preceding applicability provision, regardless of whether it has been
modified, altered, or repaired in the area subject to the
requirements of this AD. For helicopters that have been modified,
altered, or repaired so that the performance of the requirements of
this AD is affected, the owner/operator must use the authority
provided in paragraph (d) to request approval from the FAA. This
approval may address either no action, if the current configuration
eliminates the unsafe condition, or different actions necessary to
address the unsafe condition described in this AD. Such a request
should include an assessment of the effect of the changed
configuration on the unsafe condition addressed by this AD. In no
case does the presence of any modification, alteration, or repair
remove any helicopter from the applicability of this AD.
Compliance: Required as indicated, unless accomplished
previously.
To prevent loss of tightening torque on the adjustment nuts of the
cyclic pitch change control rod, shifting of the neutral position of
the cyclic stick, reduction in the amount of available movement of the
cyclic stick in the roll axis, and subsequent reduction in the
controllability of the helicopter, accomplish the following:
(a) Within 100 hours time-in-service (TIS) after the effective date
of this AD, remove the forward lower fairing and visually inspect the
cyclic pitch change control rod (rod), P/N 704A34-113-279, to determine
whether the end fittings have been safetied (see Figure 1, Detail 1,
tabs bent around the adjustment nut).
(b) If the visual inspection indicates that the rod end fittings
have been safetied, reinstall the forward lower fairing.
(c) If the visual inspection indicates that the rod end fittings
have not been safetied (see Figure 1, Detail 2, tabs not bent around
the adjustment nut), accomplish the following in accordance with the
applicable maintenance manual:
(1) Immobilize the cyclic control.
(2) Remove the rod and replace it with an airworthy rod on which
the rod end fittings have been safetied.
(3) Reinstall the forward lower fairing.
[[Page 13657]]
(4) Verify proper operation of the cyclic control.
Note 2: Eurocopter Service Bulletin No. 01.38, dated June 26,
1994, for the Model AS 355 series helicopters, and Eurocopter
Service Bulletin No. 01.42, dated June 28, 1994, for the Model AS
350 series helicopters, pertain to this subject.
(d) An alternative method of compliance or adjustment of the
compliance time that provides an acceptable level of safety may be used
when approved by the Manager, Rotorcraft Standards Staff, FAA,
Rotorcraft Directorate. Operators shall submit their requests through
an FAA Principal Maintenance Inspector, who may concur or comment and
then send it to the Manager, Rotorcraft Standards Staff.
Note 3: Information concerning the existence of approved
alternative methods of compliance with this AD, if any, may be
obtained from the Rotorcraft Standards Staff.
BILLING CODE 4910-13-U
[[Page 13658]]
[GRAPHIC] [TIFF OMITTED] TR28MR96.000
BILLING CODE 4910-13-C
[[Page 13659]]
(e) Special flight permits may be issued in accordance with
sections 21.197 and 21.199 of the Federal Aviation Regulations (14 CFR
21.197 and 21.199) to operate the helicopter to a location where the
requirements of this AD can be accomplished.
(f) This amendment becomes effective on May 2, 1996.
Issued in Fort Worth, Texas, on March 20, 1996.
Daniel P. Salvano,
Manager, Rotorcraft Directorate, Aircraft Certification Service.
[FR Doc. 96-7494 Filed 3-27-96; 8:45 am]
BILLING CODE 4910-13-U
Complete official Federal Register PDF
FR Doc. 96-7491 Implementation of Global Priority Mail
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13775-13776]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7491]
-----------------------------------------------------------------------
POSTAL SERVICE
39 CFR Part 20
Implementation of Global Priority Mail
AGENCY: Postal Service.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: Global Priority Mail is a new international mail service
designed for correspondence and documents. Global Priority Mail items
receive priority handling in the United States and in destination
countries. Interim implementing regulations were published in the
Federal Register on March 17, 1995, 60 FR 14370, under the name
Worldpost Priority Letter. The Postal Service is adopting the interim
regulations as final, with a change in the name of the service to
Global Priority Mail and the addition of new acceptance points.
EFFECTIVE DATE: March 25, 1996.
FOR FURTHER INFORMATION CONTACT:
Jay Thabet (202) 268-6095.
SUPPLEMENTARY INFORMATION: On March 17, 1995, the Postal Service
published in the Federal Register (60 FR 14370) interim regulations
implementing WORLDPOST Priority Letter and requested comments. Comments
were due on or before April 17, 1995. On April 10, 1995, (60 FR 18009),
the Postal Service published a notice correcting certain ZIP Code areas
in which WORLDPOST Priority Letter was available.
WORLDPOST Priority Letter service is an expedited airmail service
providing fast, reliable, and economical delivery of items mailable as
letters. Although a WORLDPOST Priority Letter item will travel in the
normal airmail stream between the United States and the destination
country, the item will receive priority handling in the United States
and in the destination country. In the United States, after the item is
deposited, the Postal Service will transport it in a dedicated stream
to the appropriate gateway for dispatch. Upon arrival in the
destination country, the item will also receive priority handling.
Service is available only in certain ZIP Code areas in the United
States and only to certain countries.
The Postal Service received one comment on the interim regulations.
That comment suggested that the service be made available to additional
ZIP Code areas in the Northern New Jersey area. This suggestion has
been found to
[[Page 13776]]
be feasible and ZIP Code areas in the Northern New Jersey area will be
added.
Based on its experience in the pilot, the Postal Service is making
two other changes. First, the name of the service is being changed to
Global Priority Mail. Second, the sizes of the envelopes are being
increased slightly. The small envelope will increase from 5 inches by
8\7/8\ inches to 6 inches by 10 inches. The large envelope will
increase from 9 inches by 11\1/2\ inches to 9\1/2\ inches by 12\1/2\
inches.
The Postal Service adopts the following amendments to the
International Mail Manual, which is incorporated by reference in the
Code of Federal Regulations. See 39 CFR 20.1.
List of Subjects in 39 CFR Part 20
International postal service, Foreign relations.
PART 20--[AMENDED]
1. The authority citation for 39 CFR part 20 continues to read as
follows:
Authority: 5 U.S.C. 552(a); 39 U.S.C. 401, 404, 407, 408.
2. Chapter 2 of the International Mail Manual is amended by
revising part 226 to read as follows:
2 CONDITIONS FOR MAILING
* * * * *
226 Global Priority Mail
226.1 General
226.11 Definition
Global Priority Mail is an expedited airmail letter service
providing fast, reliable, and economical delivery of all items
mailable as letters. Global Priority Mail items receive priority
handling in the United States and in destination countries. Service
is available only to destination countries identified in 226.2, from
post offices identified in 226.3. Global Priority Mail items must be
mailed in special envelopes provided for this purpose by the Postal
Service.
226.12 Permissible Items
All items admitted in letters (see 221.1) are accepted in Global
Priority Mail as long as the contents fit securely into the Global
Priority Mail envelopes provided by the Postal Service. Global
Priority Mail items may contain dutiable merchandise unless the
country of destination prohibits dutiable merchandise in letters
(see 224.51). However, Global Priority Mail items that contain
dutiable merchandise might experience delay in delivery caused by
customs handling.
226.13 Addressing
See 122. All items must bear the complete delivery address of
the addressee and the full name (no abbreviations) of the
destination country.
226.2 Availability
Global Priority Mail service is available only to the following
countries:
------------------------------------------------------------------------
Western Europe Pacific Rim Canada
------------------------------------------------------------------------
Belgium......................... Australia......... Canada.
France.......................... Hong Kong......... ..................
Germany......................... Japan............. ..................
Great Britain*.................. New Zealand....... ..................
Netherlands, The................ Singapore......... ..................
Norway.......................... Taiwan............ ..................
Sweden.......................... .................. ..................
------------------------------------------------------------------------
* Includes all points in England, Scotland, Wales, Northern Ireland,
Guernsey, Jersey, and the Isle of Man.
226.3 Mailing Locations
226.31 Acceptance Offices and Pickup Service Locations
Global Priority Mail service is available only through the
designated post offices listed in 226.32. Global Priority Mail items
must not be accepted or deposited in areas not listed in 226.32.
226.32 Service Areas
Service is available only from the metropolitan areas as defined
by the ZIP Code ranges shown below. Within these service areas,
prepaid items may be given to carriers, deposited in Express Mail
collection boxes, or mailed at post offices, stations, and branches.
Pickup service is available.
------------------------------------------------------------------------
Metropolitan area ZIP Code service area
------------------------------------------------------------------------
Atlanta, GA......................... 300-303, 305, 306, 311.
Boston, MA.......................... 018-024.
Dallas/Ft. Worth, TX................ 750-754, 760-762, 764.
Los Angeles, CA..................... 900-918, 926-928.
Miami, FL........................... 330-334, 349.
New Jersey.......................... 070-089.
New York, NY........................ 068, 069, 100-108, 110-118.
Washington, DC...................... 200, 201, 203, 205, 20813-20815,
20817, 20850-20852, 20854, 20855,
20898, 20901, 20902, 20904,
20906, 20907, 20910-20912, 220-
223.
------------------------------------------------------------------------
226.4 Postage
226.41 Rates
Rates are based on size (either small or large) and destination
as follows:
------------------------------------------------------------------------
Envelope size
Destination -----------------
Small Large
------------------------------------------------------------------------
Western Europe........................................ $3.75 $6.95
Pacific Rim........................................... 4.95 8.95
Canada................................................ 3.75 6.95
------------------------------------------------------------------------
226.42 Pickup Service
On-call and scheduled pickup service are available for Global
Priority Mail for a charge of $4.95 for each pickup stop, regardless
of the number of pieces picked up. Only one pickup fee is charged if
domestic or international Express Mail, domestic Priority Mail, or
domestic or international parcel post is picked up at the same time.
(See DMM D010 for standards for pickup service.)
226.43 Postage Payment Methods
Postage for Global Priority Mail may be paid by adhesive stamps,
postage meter and meter stamps, or, if presented at a post office,
postage validation imprinter (PVI) labels.
226.5 Packaging
Items must be placed in special Global Priority Mail envelopes
provided by the Postal Service. All items that cannot be adequately
protected by these envelopes should not be mailed using this
service. Envelopes must be sealed.
226.6 Size and Weight Limits
226.61 General
Two sizes of envelopes are available from the Postal Service for
mailing Global Priority Mail items. Postage rates are based on the
size of the envelope used, not the weight of the item. (See 226.41
for rates.)
226.62 Size Limits
Sizes of the required Postal Service-provided envelopes are:
a. Small size: 6 x 10 inches.
b. Large size: 9\1/2\ x 12\1/2\ inches.
226.63 Weight Limits
The Postal Service-provided envelopes are not intended to
accommodate items weighing more than several ounces. However, the
maximum weight for letter-class (LC) items is 4 pounds.
226.7 Customs Forms Required
If Global Priority Mail contains dutiable merchandise, the
sender must prepare a customs declaration and affix it to the
letter. See 123 for instructions. Certain nonpostal export forms may
be required as described in Chapter 5.
226.8 Special Services
Mailers may obtain certificates of mailing (see 310). No other
special services such as registry, insurance, restricted delivery,
return receipt, or recorded delivery are available.
* * * * * * *
A transmittal letter making the changes in the pages of the
International Mail Manual will be published and transmitted
automatically to subscribers. Notice of issuance of the transmittal
letter will be published in the Federal Register as provided by 39
CFR 20.3.
Stanley F. Mires,
Chief Counsel, Legislative.
[FR Doc. 96-7491 Filed 3-25-96; 4:51 pm]
BILLING CODE 7710-12-M
Complete official Federal Register PDF
FR Doc. 96-7435 Implementation of International Package Consignment Service
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13765-13775]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7435]
=======================================================================
-----------------------------------------------------------------------
POSTAL SERVICE
39 CFR Part 20
Implementation of International Package Consignment Service
AGENCY: Postal Service.
ACTION: Interim rule with request for comments.
-----------------------------------------------------------------------
SUMMARY: International Package Consignment Service (IPCS) is an
international mail service designed for companies sending merchandise
to other countries. The service was previously available only to Japan.
Canada and the United Kingdom (U.K.) are now being added as additional
destination countries. The countries that are included in the United
Kingdom are England, Scotland, Wales, Northern Ireland, Isle of Man,
and Channel Islands. To use IPCS, a customer is required to mail at
least 25,000 packages a year to Canada, or at least 10,000 packages a
year to the U.K., and agree to link its information systems with the
Postal Service's so that the Postal Service can extract certain
information about the contents of the customer's packages for customs
clearance and other purposes. Initially, two levels of service to
Canada and three levels of service to the U.K. will be offered to
customers. Interim regulations have been developed and are set forth
below for comment and suggested revision prior to adoption in final
form.
DATES: The interim regulations take effect March 28, 1996. Comments
must be received on or before May 31, 1996.
ADDRESSES: Written comments should be mailed or delivered to
International Package Consignment Service, U.S. Postal Service, 475
L'Enfant Plaza SW., Room EB4400, Washington, DC 20260-6500. Copies of
all written comments will be available for public inspection and
photocopying at the above address between 9 a.m. and 4 p.m., Monday
through Friday, after May 31, 1996.
FOR FURTHER INFORMATION CONTACT:
Mike Opiela (Canada) at the above address. Telephone: (202) 268-3860.
Tim Gribben (United Kingdom) at the above address. Telephone: (202)
268-3035.
SUPPLEMENTARY INFORMATION:
I. Introduction
One of the most important goals of the Postal Service's
international mission is the development of services that enhance the
ability of U.S. companies to do business in other countries. This
responsibility was delineated in 39 U.S.C. 403(b)(2) which makes it the
[[Page 13766]]
obligation of the Postal Service ``to provide types of mail service to
meet the needs of different categories of mail and mail users.'' IPCS
is designed to more closely meet the needs of customers who send
merchandise packages from the United States to multiple international
addressees by simplifying the process companies use to prepare their
packages for mailing and by reducing the costs those companies incur in
mailing merchandise to other countries.
IPCS benefits all users of the Postal Service because revenues
collected contribute to fixed costs, thereby decreasing the total
revenue that the Postal Service needs to recover from other services.
At the same time, IPCS makes it easier and more economical for
customers in the United States to export their products to
international markets.
In late 1994, implementation of IPCS to Japan (59 FR 65961 December
22, 1994), the Postal Service announced that, when feasible, it would
expand the service to other destination countries based on customer
requests. The Postal Service hereby expands IPCS by adding Canada and
the United Kingdom as destination countries for qualifying customers.
II. IPCS to Canada and the United Kingdom
A. Qualifying Criteria
A customer who wants to use IPCS to Canada or to the U.K. will be
required to enter into a service agreement with the Postal Service
providing for the following. First, the customer must commit to mail at
least 25,000 packages a year to Canada, or 10,000 packages a year to
the U.K. Second, the customer must designate the Postal Service as its
carrier of choice to Canada or the U.K. Third, the customer must agree
to link its information systems with the Postal Service's so that the
Postal Service and the customer can exchange data transmissions
concerning the customer's packages, and the Postal Service can extract,
on an as-needed basis, certain information about the package by
scanning the customer-provided barcode on each package.
In general, the information that must be made available to the
Postal Service includes: the order number; the package identification
number; the buyer's name and address; the recipient's name and address;
the total weight of the package; the total value of the package
contents; the number of items in the package; and, for each item in the
package, its SKU number, its value, and its country of origin. In
practice, this requirement means that the customer will have to begin
the necessary systems work by the time it begins using IPCS, and then
will have to assist the Postal Service in completing and maintaining
the information systems linkages. The Postal Service will use the
extracted information to prepare the necessary customs forms and
package labels, to accept the customer's mail and verify postage
payment automatically, and to provide user-friendly tracking and
tracing.
In addition to these required commitments, which must appear in all
IPCS service agreements, arrangements between the Postal Service and
the customer that are technical in nature also may appear in the IPCS
service agreement. For instance, the service agreement may describe the
electronic data interface (EDI) or proprietary file format that will be
used to transmit data between the customer and the Postal Service, as
well as the frequency and schedule of transmissions. Similarly, the
service agreement may describe the formats and frequencies for any
exception and performance reports that the Postal Service will provide
to the customer.
B. Processing and Acceptance
Because of efficiencies created by the Postal Service's ability to
process all IPCS mail to Canada or the U.K. at a facility designed for
that purpose, as well as general operational and managerial
considerations, the Postal Service has determined that, in general, all
IPCS mail to Canada or the U.K. should be processed at, and dispatched
from, a dedicated IPCS facility.
If the plant at which the customer's ICPS packages originate is
located within 500 miles of an IPCS Processing Facility, the Postal
Service will verify and accept the packages at the customer's plant and
transport them to the processing facility according to a schedule
agreed upon by the Postal Service and the customer.
If the customer's plant is located more than 500 miles from the
processing facility, two options are available. In Option One, the
customer must present the packages to the Postal Service for
verification at the customer's plant and transport them as a drop
shipment to an IPCS processing facility according to a schedule agreed
upon by the Postal Service and the customer. Option Two allows
customers to avoid transporting the packages to an IPCS Processing
Facility by performing some of the package processing that the Postal
Service would otherwise perform. With this option, the Postal Service
will provide one or more specially-designed computer workstations to be
installed at the customer's plant. The computer workstation(s) and
USPS-developed software will be integrated with the customer's order
processing data system and will be operated by the customer's
employees. As individual orders are processed for shipment, this
workstation will prepare and generate all required customs declarations
and international mail dispatch tags and forms. Since the
workstation(s) is (are) integrated into the process, and may even
replace other customer functions, no increase is anticipated in order
processing and mail preparation time. When the mail is ready for
dispatch, it will be verified and accepted on site by USPS personnel
and transported by the Postal Service to a designated Air Exchange
Office or directly to an entry point for forwarding and delivery
according to a schedule agreed upon by the Postal Service and the
customer. Under Option Two, the customer saves the cost of transporting
the packages to an IPCS Processing Facility, and the Postal Service
saves the cost of processing and sorting individual packages.
C. Customs Forms
Normally, all necessary Canadian and U.K. customs forms will be
automatically generated by the Postal Service computer workstations.
Packages mailed to Canada or the U.K. through an IPCS facility will not
be required to bear customs forms when they are tendered to the Postal
Service. The Postal Service will verify, accept, and transport these
packages to a designated IPCS processing facility. After scanning the
customer-printed barcode on each package and correlating it with the
package-specific information transmitted by the customer, the Postal
Service will print the necessary customs forms and then affix them to
the customer's packages as part of the processing operation at the IPCS
Processing Facility. However, during the interim period in which the
Postal Service and the customer are working together to establish the
information systems linkages to enable the Postal Service to accomplish
this, customers may be required to prepare the necessary customs forms
on their own and affix the forms to the packages before tendering them
to the Postal Service. In those cases where the computer workstations
are located at the customer's plant and operated by customer employees,
the USPS computer workstations will print the customs forms, and the
customer will be required to affix these forms to the appropriate
packages as instructed by
[[Page 13767]]
the Postal Service prior to verification and acceptance of the mail.
D. Customs Clearance
The Postal Service has developed the Customs Pre-Advisory System
(CPAS) as part of IPCS processing. This electronic system collects
package-specific data to satisfy customs requirements as packages are
processed using the USPS computer workstations located at either an
IPCS facility or the customer's plant. The system electronically
advises the USPS delivery agent and customs of the contents of each
package mailed. Since this advisory information arrives before the
mail, CPAS facilitates and simplifies customs clearance. Electronic
pre-notification of the package contents and automatic preparation of
required customs declarations assures the fastest clearance through
Canadian or U.K. customs and reduces costs for the customer and the
Postal Service. To use CPAS, recipients of merchandise must designate
the Postal Service and its customs broker as their agents for customs
clearance.
E. Delivery Options
(1) Canada
The Postal Service will initially offer two delivery options to
Canada. The two options initially available will be Air Courier Service
and Ground Courier Service. The weight limit for packages under both
options will be 66 pounds, and both options will provide tracking and
tracing.
Air Courier Service will be the fastest option. The Postal Service
will transport Air Courier Service packages from the customer's plant
or from the designated IPCS processing facility to Canada overnight
where they will receive expeditious customs clearance and be released
to the delivery agent. From there, the packages will receive courier
service throughout Canada and be delivered to major population centers
overnight. Normal delivery times will be two to three days from
dispatch from the customer's plant to final delivery. Insurance up to
$500 is included at no additional cost.
Ground Courier Service will offer overnight transportation to
Canada and ground transportation to final destination in Canada. Ground
Courier Service will receive the same expeditious customs clearance as
Air Courier Service and normal delivery times for 95 percent of all
Canadian addresses will be three to six days after dispatch from the
customer's plant, depending on the location of final destination. (For
addresses in the Maritimes and extreme northern territories where
distance and poor roads affect transportation, delivery times could be
as long as eight days.) Insurance will be available at an additional
cost.
The Postal Service intends to develop and test a third delivery
option for possible implementation at a later date. This third option,
if successfully tested and implemented, will offer reduced rates,
without tracking and tracing, but with proof of delivery provided. The
Postal Service requests comments from customers regarding the need for
the third option.
(2) United Kingdom
The Postal Service will offer three levels of service to the U.K.
Premium, Standard, and Economy. The weight limit for all three delivery
options is 66 pounds, the maximum length is 60 inches, and the maximum
length and girth combined is 108 inches.
Premium Service will be the fastest option and will provide
tracking and tracing and insurance up to $500 at no additional cost.
The Postal Service will transport Premium packages to the U.K. by air.
Once a package is dispatched from the customer's facility, it should
clear customs and be delivered in the U.K. by close of business on the
third working day.
Standard Service will be the next fastest delivery option and will
provide tracking and tracing and insurance up to $500 at no additional
cost. The Postal Service will transport Standard packages to the U.K.
by air. Once a package is dispatched from the customer's facility, it
should clear customs and be delivered in the U.K. by close of business
on the fourth working day.
Economy Service will be the slowest delivery option and will
provide tracking and tracing to the point of entry into the U.K's.
domestic mail stream. Insurance will be available at an additional
cost. The Postal Service will transport Economy packages to the U.K. by
air. Once a package is dispatched from the customer's facility, it
should clear customs and be delivered in the U.K. by close of business
on the fifth or sixth working day.
F. Rates
(1) Canada
The base rates for the two delivery options currently available for
Canada are set forth below. These rates may be reduced by one or more
of the three annual discounts, depending on how many packages the
customer mails to Canada through IPCS in a twelve month period.
For each delivery option, the Postal Service will charge the base
rates, in 1-pound increments, for the first 100,000 packages mailed by
the customer during a 12-month period. Once the customer has mailed
100,000 packages, postage for the customer's next 400,000 packages will
be discounted by 3 percent from the base rates. Packages mailed through
either of the two delivery options will count toward the customer
meeting the 100,000 package threshold.
Once the customer has mailed 500,000 packages during a 12-month
period, postage for the customer's next 500,000 packages will be
discounted at 4 percent from the prior tier discounted schedule.
Finally, a third level of Discount at 5 percent will apply for all
packages mailed in excess of 1 million during the 12-month period.
Again, packages mailed through either of the two delivery options will
count toward the customer's meeting the 500,000 and 1,000,000 package
thresholds.
International Package Consignment Service to Canada
----------------------------------------------------------------------------------------------------------------
Base rates < 100k Volume discounts
-------------------------------------------------------------------------------
Pounds 101k-500k 3.00% 501k-1m 4.00% >1m 5.00%
Air Ground -----------------------------------------------------------
Air Ground Air Ground Air Ground
----------------------------------------------------------------------------------------------------------------
1............................. 10.15 8.55 9.85 8.29 9.45 7.96 8.98 7.56
2............................. 11.09 9.37 10.76 9.09 10.33 8.72 9.81 8.29
3............................. 12.74 10.92 12.36 10.60 11.86 10.17 11.27 9.66
4............................. 14.38 11.93 13.95 11.57 13.39 11.10 12.73 10.55
5............................. 16.03 12.95 15.55 12.56 14.93 12.06 14.18 11.46
[[Page 13768]]
6............................. 17.55 13.98 17.03 13.56 16.35 13.02 15.53 12.37
7............................. 19.19 14.93 18.61 14.48 17.87 13.90 16.98 13.20
8............................. 20.83 15.85 20.20 15.38 19.39 14.76 18.42 14.03
9............................. 22.46 16.80 21.79 16.29 20.92 15.64 19.87 14.86
10............................ 24.10 17.72 23.37 17.19 22.44 16.51 21.32 15.68
11............................ 25.55 18.55 24.78 17.99 23.79 17.27 22.60 16.41
12............................ 27.17 19.49 26.36 18.91 25.30 18.15 24.04 17.25
13............................ 28.81 20.45 27.95 19.84 26.83 19.05 25.49 18.09
14............................ 30.44 21.40 29.52 20.76 28.34 19.93 26.92 18.93
15............................ 32.06 22.36 31.10 21.69 29.85 20.82 28.36 19.78
16............................ 33.68 23.86 32.67 23.14 31.37 22.21 29.80 21.10
17............................ 35.32 24.84 34.26 24.09 32.89 23.13 31.25 21.97
18............................ 36.95 25.81 35.84 25.03 34.40 24.03 32.68 22.83
19............................ 38.57 26.99 37.41 26.18 35.92 25.14 34.12 23.88
20............................ 40.19 27.97 38.99 27.13 37.43 26.05 35.56 24.74
21............................ 41.53 28.74 40.29 27.88 38.68 26.76 36.74 25.43
22............................ 43.15 29.71 41.85 28.82 40.18 27.67 38.17 26.28
23............................ 44.76 30.69 43.42 29.77 41.68 28.58 39.59 27.15
24............................ 46.37 31.66 44.98 30.71 43.18 29.48 41.02 28.01
25............................ 48.00 32.65 46.56 31.67 44.69 30.40 42.46 28.88
26............................ 49.61 33.61 48.12 32.61 46.20 31.30 43.89 29.74
27............................ 50.85 34.60 49.32 33.56 47.35 32.22 44.98 30.61
28............................ 52.83 35.57 51.25 34.50 49.20 33.12 46.74 31.46
29............................ 54.46 36.55 52.83 35.45 50.71 34.03 48.18 32.33
30............................ 56.07 37.52 54.39 36.39 52.21 34.94 49.60 33.19
31............................ 57.27 38.21 55.55 37.06 53.33 35.58 50.66 33.80
32............................ 58.87 39.17 57.10 37.99 54.82 36.47 52.08 34.65
33............................ 60.49 40.14 58.67 38.94 56.32 37.38 53.51 35.51
34............................ 62.09 41.11 60.22 39.87 57.81 38.28 54.92 36.36
35............................ 63.69 42.08 61.78 40.82 59.31 39.19 56.34 37.23
36............................ 65.29 43.04 63.33 41.75 60.80 40.08 57.76 38.08
37............................ 66.90 44.02 64.90 42.70 62.30 40.99 59.18 38.94
38............................ 68.50 45.33 66.45 43.97 63.79 42.21 60.60 40.10
39............................ 70.10 46.49 68.00 45.09 65.28 43.29 62.02 41.12
40............................ 71.70 47.64 69.55 46.21 66.77 44.36 63.43 42.14
41............................ 72.79 48.26 70.60 46.81 67.78 44.94 64.39 42.69
42............................ 74.38 49.23 72.15 47.75 69.26 45.84 65.80 43.55
43............................ 75.97 50.21 73.69 48.71 70.74 46.76 67.20 44.42
44............................ 77.56 51.57 75.23 50.03 72.22 48.02 68.61 45.62
45............................ 79.16 52.56 76.78 50.99 73.71 48.95 70.03 46.50
46............................ 80.16 53.13 77.75 51.54 74.64 49.48 70.91 47.00
47............................ 81.74 54.94 79.28 53.29 76.11 51.16 72.31 48.60
48............................ 83.31 56.77 80.81 55.06 77.58 52.86 73.70 50.22
49............................ 84.78 58.64 82.24 56.88 78.95 54.60 75.00 51.87
50............................ 86.48 60.96 83.89 59.13 80.53 56.76 76.51 53.92
51............................ 88.06 62.45 85.42 60.58 82.00 58.15 77.90 55.24
52............................ 89.65 63.97 86.96 62.05 83.48 59.57 79.31 56.59
53............................ 91.23 65.52 88.49 63.56 84.95 61.01 80.70 57.96
54............................ 92.82 67.08 90.04 65.06 86.43 62.46 82.11 59.34
55............................ 94.40 68.64 91.57 66.58 87.90 63.92 83.51 60.72
56............................ 95.28 69.28 92.42 67.20 88.73 64.51 84.29 61.29
57............................ 96.85 70.37 93.94 68.26 90.19 65.53 85.68 62.25
58............................ 98.43 71.48 95.48 69.34 91.66 66.56 87.07 63.24
59............................ 99.99 72.58 96.99 70.40 93.11 67.58 88.46 64.20
60............................ 101.57 74.18 98.53 71.96 94.59 69.08 89.86 65.62
61............................ 103.14 75.30 100.05 73.04 96.04 70.12 91.24 66.61
62............................ 104.72 76.40 101.58 74.11 97.51 71.14 92.64 67.59
63............................ 105.51 77.48 102.35 75.16 98.25 72.15 93.34 68.54
64............................ 107.07 78.55 103.85 76.19 99.70 73.15 94.71 69.49
65............................ 108.63 79.70 105.37 77.31 101.16 74.22 96.10 70.51
66............................ 110.19 80.85 106.88 78.42 102.61 75.29 97.48 71.52
----------------------------------------------------------------------------------------------------------------
[[Page 13769]]
(2) United Kingdom
The base rates for the three delivery options for the U.K. are set
forth below. For each delivery option, the Postal Service will charge
the base rates, in 1-pound increments, for the first 100,000 packages
mailed by the customer during a 12-month period. Once the customer has
mailed 100,000 packages, postage for the customer's next packages will
be reduced by 2.0% from the base rates. Packages mailed through any of
the three delivery options will count toward the customer's meeting the
100,000-package threshold.
International Package Consignment Service to United Kingdom
----------------------------------------------------------------------------------------------------------------
Base rates For volumes > 100,000
Pounds to: -----------------------------------------------------------------------
Premium Standard Economy Premium Standard Economy
----------------------------------------------------------------------------------------------------------------
1...................................... 13.87 11.17 9.95 13.59 10.95 9.75
2...................................... 15.21 12.46 11.19 14.90 12.21 10.97
3...................................... 16.54 13.75 12.43 16.21 13.47 12.18
4...................................... 17.88 15.04 13.67 17.52 14.73 13.39
5...................................... 19.21 16.32 14.91 18.83 16.00 14.61
6...................................... 20.55 17.61 16.15 20.14 17.26 15.82
7...................................... 21.88 18.90 17.39 21.44 18.52 17.04
8...................................... 23.71 20.18 18.63 23.24 19.78 18.25
9...................................... 25.08 21.47 19.87 24.58 21.04 19.47
10...................................... 26.63 22.76 21.11 26.09 22.30 20.68
11...................................... 28.00 24.05 22.35 27.44 23.57 21.90
12...................................... 29.37 25.33 23.59 28.79 24.83 23.11
13...................................... 30.96 26.62 24.82 30.34 26.09 24.33
14...................................... 32.34 27.91 26.06 31.70 27.35 25.54
15...................................... 33.96 29.20 27.30 33.28 28.61 27.76
16...................................... 35.35 30.48 28.54 34.64 29.87 27.97
17...................................... 36.99 31.77 29.78 36.25 31.13 29.19
18...................................... 38.66 33.06 31.02 37.88 32.40 30.40
19...................................... 40.61 34.35 32.26 39.80 33.66 63.62
20...................................... 42.04 35.63 33.50 41.20 34.92 32.83
21...................................... 43.47 36.92 34.74 42.60 36.18 34.05
22...................................... 44.90 38.21 35.98 44.00 37.44 35.26
23...................................... 46.33 39.49 37.22 45.40 38.70 36.48
24...................................... 47.76 40.78 38.46 46.81 39.97 37.69
25...................................... 49.19 42.07 39.70 48.21 41.23 38.91
26...................................... 50.62 43.36 40.94 49.61 42.49 40.12
27...................................... 53.44 44.64 42.18 52.37 43.75 41.34
28...................................... 54.91 45.93 43.42 53.81 45.01 42.55
29...................................... 56.38 47.22 44.66 55.25 46.27 43.77
30...................................... 57.85 48.51 45.90 56.69 47.54 44.98
31...................................... 59.31 49.79 47.14 58.13 48.80 46.20
32...................................... 60.78 51.08 48.38 59.57 50.06 47.41
33...................................... 62.25 52.37 49.62 61.01 51.32 48.63
34...................................... 63.72 53.65 50.86 62.45 52.58 49.84
35...................................... 65.19 54.94 52.10 63.88 53.84 51.06
36...................................... 66.66 56.23 53.34 65.32 55.10 52.27
37...................................... 68.13 57.52 54.58 66.76 56.37 53.48
38...................................... 69.59 58.80 55.82 68.20 57.63 54.70
39...................................... 72.45 60.09 57.06 71.00 58.89 55.91
40...................................... 73.94 61.38 58.30 72.46 60.15 57.13
41...................................... 75.44 62.67 59.54 73.93 61.41 58.34
42...................................... 76.94 63.95 60.77 75.40 62.67 59.56
43...................................... 78.44 65.24 62.01 76.87 63.94 60.77
44...................................... 79.93 66.53 63.25 78.33 65.20 61.99
45...................................... 81.43 67.82 64.49 79.80 66.46 63.20
46...................................... 82.93 69.10 65.73 81.27 67.72 64.42
47...................................... 84.42 70.39 66.97 82.74 68.98 65.63
48...................................... 85.92 71.68 68.21 84.20 70.24 66.85
49...................................... 87.42 72.96 69.45 85.67 71.51 68.06
50...................................... 88.91 74.25 70.69 87.14 72.77 69.28
51...................................... 90.41 75.54 71.93 88.60 74.03 70.49
52...................................... 91.91 76.83 73.17 90.07 75.29 71.71
53...................................... 93.41 78.11 74.41 91.54 76.55 72.92
54...................................... 94.90 79.40 75.65 93.01 77.81 74.14
55...................................... 96.40 80.69 76.89 94.47 79.07 75.35
56...................................... 97.90 81.98 78.13 95.94 80.34 76.57
57...................................... 99.39 83.26 79.37 97.41 81.60 77.78
58...................................... 100.89 84.55 80.61 98.87 82.86 79.00
59...................................... 102.39 85.84 81.85 100.34 84.12 80.21
60...................................... 103.89 87.13 83.09 101.81 85.38 81.43
61...................................... 105.38 88.41 84.33 103.28 86.64 82.64
62...................................... 106.88 89.70 85.57 104.74 87.91 83.86
63...................................... 108.38 90.99 86.81 106.21 89.17 85.07
64...................................... 109.87 92.27 88.05 107.68 90.43 86.29
[[Page 13770]]
65...................................... 111.37 93.56 89.29 109.14 91.69 87.50
66...................................... 112.87 94.85 90.53 110.61 92.95 88.72
----------------------------------------------------------------------------------------------------------------
III. Conclusion
Accordingly, the Postal Service hereby adopts IPCS to Canada and
the United Kingdom, on an interim basis, at the rates set forth in the
schedules above. Although 39 U.S.C. 407 does not require advance notice
and opportunity for submission of comments, and the Postal Service is
exempted by 39 U.S.C. 410(a) from the advance notice requirements of
the Administrative Procedure Act regarding proposed rulemaking (5
U.S.C. 553), the Postal Service invites interested persons to submit
written data, views, or arguments concerning this interim rule.
The Postal Service adopts the following amendments to the
International Mail Manual, which is incorporated by reference in the
Code of Federal Regulations. See 39 CFR 20.1.
List of Subjects in 39 CFR Part 20
International postal service, Foreign relations.
PART 20--[AMENDED]
1. The authority citation for 39 CFR part 20 continues to read as
follows:
Authority: 5 U.S.C. 552(a); 39 U.S.C. 401, 404, 407, 408.
2. Effective immediately, subchapter 620 of the International Mail
Manual, Issue 16, is amended as follows:
6 SPECIAL PROGRAMS
* * * * *
620 International Package Consignment Service
621 Description
621.1 General
International Package Consignment Service (IPCS) is a bulk mailing
system that provides fast, economical international delivery of
packages containing merchandise. IPCS is designed to make it easier and
less costly for mail-order companies to export goods. The Postal
Service provides IPCS on a destination country-specific basis pursuant
to the terms and conditions stipulated in 620 and the Individual
Country Listings.
* * * * *
621.3 Availability
IPCS is available only to destination countries identified in 620
and the Individual Country Listings.
622 Qualifying Customers
To qualify, a customer must enter into a service agreement
containing the commitments stipulated in 625.2 and must be able to meet
the general and destination country-specific preparation requirements
stipulated in 620 and the Individual Country Listings.
623 General
623.1 Special Services
The special services provided for in Chapter 3 are not available
for packages sent by IPCS unless specifically provided for in 620 or
the Individual Country Listings.
623.2 Customs Documentation
The requirements for customs forms vary by destination country as
stipulated in 620 and the Individual Country Listings.
623.3 Size and Weight Limits
Size and weight limits for packages sent by IPCS vary by
destination country as stipulated in 620 and the Individual Country
Listings.
623.41 Rates
Rates vary by destination country as stipulated in 620 and the
Individual Country Listings.
623.42 Postage Payment Method
Postage must be paid by permit imprint or any other Postal Service
approved method.
624 Preparation Requirements
624.1 General Requirements
* * * * *
624.2 Destination Country-Specific Requirements
Certain preparation requirements vary by destination country as
stipulated in 620 and the Individual Country Listings.
625 IPCS Service Agreements
* * * * *
625.2 Required Provisions
a. The customer's commitment to send at least 25,000 packages (or
10,000 to the United Kingdom) by IPCS during the next 12 months to the
specified destination country.
* * * * *
626 IPCS to Japan
* * * * *
Change 627 to 626.7 Customs Forms Required.
* * * * *
Change 628 to 626.8 Preparation Requirements.
* * * * *
Change 628.1 to 626.81 Express Service.
* * * * *
Change 628.11 to 626.811 Processing at JFK.
* * * * *
Change 628.12 to 626.812 Processing Mailer's Plant.
* * * * *
Change 628.2 to 626.82 Standard Air Service.
* * * * *
Change 628.3 to 626.83 Economy Air Service.
* * * * *
3. Effective immediately, chapter 6 of the International Mail
Manual, Issue 16, is amended by adding new section 627 as follows:
6 SPECIAL PROGRAMS
* * * * *
620 International Package Consignment Service
* * * * *
627 IPCS to Other Destination Countries
Information concerning IPCS for the following designated countries
is detailed in the Individual Country Listings (ICLs) section.
a. Canada.
b. Great Britain and Northern Ireland.
* * * * *
4. Effective immediately, the Individual Country Listing for Canada
in the International Mail Manual, Issue 16, is amended by adding the
following information, concerning International
[[Page 13771]]
Package Consignment Service, to the end of the listing.
International Package Consignment Service (IPCS)
Description
IPCS to Canada provides the customer with two delivery options and
with preparation by the Postal Service of the customs forms and
delivery labels required by Canada.
Delivery Options
Air Courier Service
Air Courier Service is the fastest option. The Postal Service will
transport Air Courier Service packages from the customer's plant or
from the designated IPCS processing facility to Canada overnight where
they will receive expeditious customs clearance and be released to the
delivery agent. From there, the packages will receive courier service
throughout Canada and be delivered to major population centers
overnight. Normal delivery times will be two to three days from
dispatch to final delivery.
Ground Courier Service
Ground Courier Service will offer overnight transportation to
Canada and ground transportation to final destination in Canada. It
will receive the same expeditious customs clearance as Air Courier
Service and normal delivery times for 95 percent of all Canadian
addresses will be three to six days after dispatch from the customer's
plant, depending on the location of final destination. (For addresses
in the Maritimes and extreme northern territories where distance and
poor roads affect transportation, delivery times could be as long as
eight days.)
Processing and Acceptance
Within 500 Miles of an IPCS Processing Facility
If the plant at which the customer's ICPS packages originate is
located within 500 miles of an IPCS processing facility, the Postal
Service will verify and accept the packages at the customer's plant and
transport them to the IPCS processing facility according to a schedule
agreed upon by the Postal Service and the customer.
More than 500 Miles from an IPCS Processing Facility
If the customer's plant from which the IPCS packages will originate
is located more than 500 miles from an IPCS processing facility, the
customer can choose one of two processing options.
Option One: The customer will be required to present the packages
to the Postal Service for verification at the customer's plant and
transport them as a drop shipment to an IPCS processing facility
according to a schedule agreed upon by the Postal Service and the
customer.
Option Two: The customer will process the packages using Postal
Service-provided computer system workstations and sort and prepare the
packages as required by the Postal Service. Then, the Postal Service
verifies and accepts the packages at the customer's plant and
transports them by truck to the nearest air mail facility according to
a schedule agreed upon by the Postal Service and the customer. From the
air mail facility, the Postal Service dispatches the IPCS packages to
Canada, bypassing an IPCS processing facility.
Required Package Specific Information
Requirements are the same as those detailed in Section 626.3.
Insurance and Indemnity
Air Courier Service
Packages sent through Air Courier Service are insured against loss,
damage, or rifling at no additional cost. Indemnity will be paid by the
Postal Service as provided in DMM S500. However, packages are not
insured against delay in delivery. Neither indemnity payments nor
postage refunds will be made in event of delay.
Ground Courier Service
Packages sent through Economy Service may be insured at an
additional cost. See 320.
Postage
General
The base rates for the two currently available options are set
forth below. These rates may be reduced by one or more of the three
additive annual discounts depending on how many packages the customer
mails to Canada using either of the two IPCS delivery options in a
twelve month period.
Base Rates
The Postal Service will charge the base rates, in 1-pound
increments, for the first 100,000 packages mailed by the customer
during a 12-month period.
Rate Reductions
------------------------------------------------------------------------
Number of packages Percent discount
------------------------------------------------------------------------
Up to 100,000............................. Base Rate.
100,001 to 500,000........................ 3% off base rates.
500,001 to 1,000,000...................... 4% off previously discounted
rates.
1,000,001 and over........................ 5% off previously discounted
rates.
------------------------------------------------------------------------
International Package Consignment Service To Canada
----------------------------------------------------------------------------------------------------------------
Base rates < 100k Volume discounts
-------------------------------------------------------------------------------
Pounds 101k-500k 3.00% 501k-1m 4.00% >1m 5.00%
Air Ground -----------------------------------------------------------
Air Ground Air Ground Air Ground
----------------------------------------------------------------------------------------------------------------
1.............................. 10.15 8.55 9.85 8.29 9.45 7.96 8.98 7.56
2.............................. 11.09 9.37 10.76 9.09 10.33 8.72 9.81 8.29
3.............................. 12.74 10.92 12.36 10.60 11.86 10.17 11.27 9.66
4.............................. 14.38 11.93 13.95 11.57 13.39 11.10 12.73 10.55
5.............................. 16.03 12.95 15.55 12.56 14.93 12.06 14.18 11.46
6.............................. 17.55 13.98 17.03 13.56 16.35 13.02 15.53 12.37
7.............................. 19.19 14.93 18.61 14.48 17.87 13.90 16.98 13.20
8.............................. 20.83 15.85 20.20 15.38 19.39 14.76 18.42 14.03
9.............................. 22.46 16.80 21.79 16.29 20.92 15.64 19.87 14.86
10.............................. 24.10 17.72 23.37 17.19 22.44 16.51 21.32 15.68
11.............................. 25.55 18.55 24.78 17.99 23.79 17.27 22.60 16.41
12.............................. 27.17 19.49 26.36 18.91 25.30 18.15 24.04 17.25
13.............................. 28.81 20.45 27.95 19.84 26.83 19.05 25.49 18.09
14.............................. 30.44 21.40 29.52 20.76 28.34 19.93 26.92 18.93
[[Page 13772]]
15.............................. 32.06 22.36 31.10 21.69 29.85 20.82 28.36 19.78
16.............................. 33.68 23.86 32.67 23.14 31.37 22.21 29.80 21.10
17.............................. 35.32 24.84 34.26 24.09 32.89 23.13 31.25 21.97
18.............................. 36.95 25.81 35.84 25.03 34.40 24.03 32.68 22.83
19.............................. 38.57 26.99 37.41 26.18 35.92 25.14 34.12 23.88
20.............................. 40.19 27.97 38.99 27.13 37.43 26.05 35.56 24.74
21.............................. 41.53 28.74 40.29 27.88 38.68 26.76 36.74 25.43
22.............................. 43.15 29.71 41.85 28.82 40.18 27.67 38.17 26.28
23.............................. 44.76 30.69 43.42 29.77 41.68 28.58 39.59 27.15
24.............................. 46.37 31.66 44.98 30.71 43.18 29.48 41.02 28.01
25.............................. 48.00 32.65 46.56 31.67 44.69 30.40 42.46 28.88
26.............................. 49.61 33.61 48.12 32.61 46.20 31.30 43.89 29.74
27.............................. 50.85 34.60 49.32 33.56 47.35 32.22 44.98 30.61
28.............................. 52.83 35.57 51.25 34.50 49.20 33.12 46.74 31.46
29.............................. 54.46 36.55 52.83 35.45 50.71 34.03 48.18 32.33
30.............................. 56.07 37.52 54.39 36.39 52.21 34.94 49.60 33.19
31.............................. 57.27 38.21 55.55 37.06 53.33 35.58 50.66 33.80
32.............................. 58.87 39.17 57.10 37.99 54.82 36.47 52.08 34.65
33.............................. 60.49 40.14 58.67 38.94 56.32 37.38 53.51 35.51
34.............................. 62.09 41.11 60.22 39.87 57.81 38.28 54.92 36.36
35.............................. 63.69 42.08 61.78 40.82 59.31 39.19 56.34 37.23
36.............................. 65.29 43.04 63.33 41.75 60.80 40.08 57.76 38.08
37.............................. 66.90 44.02 64.90 42.70 62.30 40.99 59.18 38.94
38.............................. 68.50 45.33 66.45 43.97 63.79 42.21 60.60 40.10
39.............................. 70.10 46.49 68.00 45.09 65.28 43.29 62.02 41.12
40.............................. 71.70 47.64 69.55 46.21 66.77 44.36 63.43 42.14
41.............................. 72.79 48.26 70.60 46.81 67.78 44.94 64.39 42.69
42.............................. 74.38 49.23 72.15 47.75 69.26 45.84 65.80 43.55
43.............................. 75.97 50.21 73.69 48.71 70.74 46.76 67.20 44.42
44.............................. 77.56 51.57 75.23 50.03 72.22 48.02 68.61 45.62
45.............................. 79.16 52.56 76.78 50.99 73.71 48.95 70.03 46.50
46.............................. 80.16 53.13 77.75 51.54 74.64 49.48 70.91 47.00
47.............................. 81.74 54.94 79.28 53.29 76.11 51.16 72.31 48.60
48.............................. 83.31 56.77 80.81 55.06 77.58 52.86 73.70 50.22
49.............................. 84.78 58.64 82.24 56.88 78.95 54.60 75.00 51.87
50.............................. 86.48 60.96 83.89 59.13 80.53 56.76 76.51 53.92
51.............................. 88.06 62.45 85.42 60.58 82.00 58.15 77.90 55.24
52.............................. 89.65 63.97 86.96 62.05 83.48 59.57 79.31 56.59
53.............................. 91.23 65.52 88.49 63.56 84.95 61.01 80.70 57.96
54.............................. 92.82 67.08 90.04 65.06 86.43 62.46 82.11 59.34
55.............................. 94.40 68.64 91.57 66.58 87.90 63.92 83.51 60.72
56.............................. 95.28 69.28 92.42 67.20 88.73 64.51 84.29 61.29
57.............................. 96.85 70.37 93.94 68.26 90.19 65.53 85.68 62.25
58.............................. 98.43 71.48 95.48 69.34 91.66 66.56 87.07 63.24
59.............................. 99.99 72.58 96.99 70.40 93.11 67.58 88.46 64.20
60.............................. 101.57 74.18 98.53 71.96 94.59 69.08 89.86 65.62
61.............................. 103.14 75.30 100.05 73.04 96.04 70.12 91.24 66.61
62.............................. 104.72 76.40 101.58 74.11 97.51 71.14 92.64 67.59
63.............................. 105.51 77.48 102.35 75.16 98.25 72.15 93.34 68.54
64.............................. 107.07 78.55 103.85 76.19 99.70 73.15 94.71 69.49
65.............................. 108.63 79.70 105.37 77.31 101.16 74.22 96.10 70.51
66.............................. 110.19 80.85 106.88 78.42 102.61 75.29 97.48 71.52
----------------------------------------------------------------------------------------------------------------
Size and Weight Limits
All Air Courier and Ground Courier Service packages must meet the
following size and weight limits:
Size Limits
a. Minimum length and width: large enough to accommodate the
necessary labels and customs forms on the address side.
b. Maximum length: 60 inches.
c. Maximum length and girth combined: 108 inches.
Weight Limit
Maximum weight: 66 pounds.
Customs
Customs Forms
Normally all necessary Canadian customs forms will be automatically
generated by the Postal Service computer workstations. Packages mailed
to Canada through an IPCS facility will not be required to bear customs
forms when they are tendered to the Postal Service. The Postal Service
will verify, accept, and transport these packages to a designated IPCS
processing facility. After scanning the customer-printed barcode on
each package and correlating it with the package-specific information
transmitted by the customer, the Postal
[[Page 13773]]
Service will print the necessary customs forms and then affix them to
the customer's packages as part of the processing operation at the IPCS
processing facility. However, during the interim period in which the
Postal Service and the customer are working together to establish the
information systems linkages to enable the Postal Service to accomplish
this, the customer may be required to prepare the necessary customs
forms on its own and affix the forms to the packages before tendering
them to the Postal Service. In those cases where the computer
workstations are located at the customer's plant and operated by
customer employees, the USPS computer will print the customs forms, and
the customer will be required to affix these forms to the appropriate
packages as instructed by the Postal Service prior to verification and
acceptance of the mail.
Customs Clearance
The Postal Service has developed the Customs Pre-Advisory System
(CPAS) as part of IPCS processing. This electronic system collects
package-specific data to satisfy customs requirements as packages are
processed using the USPS computer workstations located at either an
IPCS facility or the customer's plant. The system electronically
advises the USPS delivery agent and Canadian Customs of the contents of
each package mailed. Since this advisory information arrives before the
mail, CPAS facilitates and simplifies customs clearance. Electronic
pre-notification of the package contents and automatic preparation of
required customs declarations assures the fastest clearance through
Canadian Customs and reduces costs for the customer and the Postal
Service.
Preparation Requirements
Air Courier Service
Every package sent through Air Courier Service must bear a label
identifying it as an Air Courier Service package. The customer is not
normally required to affix this label. The Postal Service prints the
necessary label and affixes it to the Air Courier Service package.
However, during the interim period in which the Postal Service and the
customer are establishing the information systems linkages to enable
the Postal Service to accomplish this, the customer is required to
affix an alternative label as instructed by the Postal Service to every
Air Courier Service package.
Ground Courier Service
There are no Canada-specific preparation requirements for packages
sent through Ground Courier Service. Packages weighing 1 pound or less
must bear the Small Packet marking (see 264.21).
* * * * *
5. Effective immediately, the Individual Country Listing for the
Great Britain and Northern Ireland in the International Mail Manual,
Issue 16, is amended by adding the following information, concerning
International Package Consignment Service, to the end of the listing.
International Package Consignment Service (IPCS)
Description
IPCS to the United Kingdom (U.K.) provides the customer with three
delivery options and with preparation by the Postal Service of the
customs and delivery labels required by the British Post Office.
Delivery Options
Premium Service
The Postal Service will transport Premium packages to the U.K. by
air. Once a package is dispatched from the customer's facility, it
should clear Customs and be delivered in the U.K. by close of business
on the third working day. The customer can track packages through
delivery and reports on delivery performance are furnished to the
customer in the formats and at the frequencies agreed upon by the
Postal Service and the customer.
Standard Service
The Postal Service will transport Standard packages to the U.K. by
air. Once a package is dispatched from the customer's facility, it
should clear Customs and be delivered by close of business on the
fourth working day. The customer can track packages through delivery
and reports on delivery performance are furnished to the customer in
the formats and at the frequencies agreed upon by the Postal Service
and the customer.
Economy Service
The Postal Service will transport Economy packages to the U.K. by
air. Once a package is dispatched from a customer's facility, it should
clear Customs and be delivered by close of business the fifth or sixth
working day. Tracking and tracing is available to the point of entry
into the U.K. domestic mail stream.
Processing and Acceptance
Within 500 Miles of an IPCS Processing Facility
If the plant at which the customer's ICPS packages originate is
located within 500 miles of an IPCS processing facility, the Postal
Service will accept the packages at the customer's plant and transport
them by truck to the IPCS processing facility according to a schedule
agreed upon by the Postal Service and the customer.
More than 500 Miles from an IPCS Processing Facility
If the customer's plant from which the IPCS packages will originate
is located more than 500 miles from an IPCS processing facility, the
customer can choose one of two processing options.
Option One: The customer will be required to present the packages
to the Postal Service for verification at the customer's plant and
transport them as a drop shipment to an IPCS processing facility
according to a schedule agreed upon by the Postal Service and the
customer.
Option Two: The customer will process the packages using Postal
Service-provided computer system workstations and sort and prepare the
packages as required by the Postal Service. Then, the Postal Service
accepts the packages at the customer's plant and transports them by
truck to the nearest air mail facility according to a schedule agreed
upon by the Postal Service and the customer. From the air mail
facility, the Postal Service dispatches the IPCS packages to the U.K.,
bypassing an IPCS processing facility.
Required Package-Specific Information
Requirements are the same as those detailed in Section 626.3.
Insurance and Indemnity
Premium and Standard Services
Packages sent through the Premium or Standard Services are insured
against loss, damage, or rifling at no additional cost. Indemnity will
be paid by the Postal Service as provided in DMM S500. However, Premium
and Standard packages are not insured against delay in delivery.
Neither indemnity payments nor postage refunds will be made in event of
delay.
Economy Service
Packages sent through Economy Service may be insured at an
additional cost. See 320.
[[Page 13774]]
Postage
General
The base rates for the three available delivery options are set
forth below. These rates may be reduced by an annual discount depending
on how many packages the customer mails to the U.K. using any of the
three IPCS delivery options in a twelve month period.
Base Rates
The Postal Service will charge the base rates, in 1-pound
increments, for the first 100,000 packages mailed by the customer
during a 12-month period.
Rate Reductions
------------------------------------------------------------------------
Number of packages Percent discount
------------------------------------------------------------------------
Up to 100,000............................. Base Rate.
100,001 and over.......................... 2%.
------------------------------------------------------------------------
International Package Consignment Service
----------------------------------------------------------------------------------------------------------------
Base rates For volumes > 100,000
Pounds to: -----------------------------------------------------------------------
Premium Standard Economy Premium Standard Economy
----------------------------------------------------------------------------------------------------------------
1...................................... 13.87 11.17 9.95 13.59 10.95 9.75
2...................................... 15.21 12.46 11.19 14.90 12.21 10.97
3...................................... 16.54 13.75 12.43 16.21 13.47 12.18
4...................................... 17.88 15.04 13.67 17.52 14.73 13.39
5...................................... 19.21 16.32 14.91 18.83 16.00 14.61
6...................................... 20.55 17.61 16.15 20.14 17.26 15.82
7...................................... 21.88 18.90 17.39 21.44 18.52 17.04
8...................................... 23.71 20.18 18.63 23.24 19.78 18.25
9...................................... 25.08 21.47 19.87 24.58 21.04 19.47
10...................................... 26.63 22.76 21.11 26.09 22.30 20.68
11...................................... 28.00 24.05 22.35 27.44 23.57 21.90
12...................................... 29.37 25.33 23.59 28.79 24.83 23.11
13...................................... 30.96 26.62 24.82 30.34 26.09 24.33
14...................................... 32.34 27.91 26.06 31.70 27.35 25.54
15...................................... 33.96 29.20 27.30 33.28 28.61 27.76
16...................................... 35.35 30.48 28.54 34.64 29.87 27.97
17...................................... 36.99 31.77 29.78 36.25 31.13 29.19
18...................................... 38.66 33.06 31.02 37.88 32.40 30.40
19...................................... 40.61 34.35 32.26 39.80 33.66 63.62
20...................................... 42.04 35.63 33.50 41.20 34.92 32.83
21...................................... 43.47 36.92 34.74 42.60 36.18 34.05
22...................................... 44.90 38.21 35.98 44.00 37.44 35.26
23...................................... 46.33 39.49 37.22 45.40 38.70 36.48
24...................................... 47.76 40.78 38.46 46.81 39.97 37.69
25...................................... 49.19 42.07 39.70 48.21 41.23 38.91
26...................................... 50.62 43.36 40.94 49.61 42.49 40.12
27...................................... 53.44 44.64 42.18 52.37 43.75 41.34
28...................................... 54.91 45.93 43.42 53.81 45.01 42.55
29...................................... 56.38 47.22 44.66 55.25 46.27 43.77
30...................................... 57.85 48.51 45.90 56.69 47.54 44.98
31...................................... 59.31 49.79 47.14 58.13 48.80 46.20
32...................................... 60.78 51.08 48.38 59.57 50.06 47.41
33...................................... 62.25 52.37 49.62 61.01 51.32 48.63
34...................................... 63.72 53.65 50.86 62.45 52.58 49.84
35...................................... 65.19 54.94 52.10 63.88 53.84 51.06
36...................................... 66.66 56.23 53.34 65.32 55.10 52.27
37...................................... 68.13 57.52 54.58 66.76 56.37 53.48
38...................................... 69.59 58.80 55.82 68.20 57.63 54.70
39...................................... 72.45 60.09 57.06 71.00 58.89 55.91
40...................................... 73.94 61.38 58.30 72.46 60.15 57.13
41...................................... 75.44 62.67 59.54 73.93 61.41 58.34
42...................................... 76.94 63.95 60.77 75.40 62.67 59.56
43...................................... 78.44 65.24 62.01 76.87 63.94 60.77
44...................................... 79.93 66.53 63.25 78.33 65.20 61.99
45...................................... 81.43 67.82 64.49 79.80 66.46 63.20
46...................................... 82.93 69.10 65.73 81.27 67.72 64.42
47...................................... 84.42 70.39 66.97 82.74 68.98 65.63
48...................................... 85.92 71.68 68.21 84.20 70.24 66.85
49...................................... 87.42 72.96 69.45 85.67 71.51 68.06
50...................................... 88.91 74.25 70.69 87.14 72.77 69.28
51...................................... 90.41 75.54 71.93 88.60 74.03 70.49
52...................................... 91.91 76.83 73.17 90.07 75.29 71.71
53...................................... 93.41 78.11 74.41 91.54 76.55 72.92
54...................................... 94.90 79.40 75.65 93.01 77.81 74.14
55...................................... 96.40 80.69 76.89 94.47 79.07 75.35
56...................................... 97.90 81.98 78.13 95.94 80.34 76.57
57...................................... 99.39 83.26 79.37 97.41 81.60 77.78
58...................................... 100.89 84.55 80.61 98.87 82.86 79.00
59...................................... 102.39 85.84 81.85 100.34 84.12 80.21
60...................................... 103.89 87.13 83.09 101.81 85.38 81.43
[[Page 13775]]
61...................................... 105.38 88.41 84.33 103.28 86.64 82.64
62...................................... 106.88 89.70 85.57 104.74 87.91 83.86
63...................................... 108.38 90.99 86.81 106.21 89.17 85.07
64...................................... 109.87 92.27 88.05 107.68 90.43 86.29
65...................................... 111.37 93.56 89.29 109.14 91.69 87.50
66...................................... 112.87 94.85 90.53 110.61 92.95 88.72
----------------------------------------------------------------------------------------------------------------
Size and Weight Limits
All packages must meet the following size and weight limits:
Size Limits
a. Minimum length and width: large enough to accommodate the
necessary customs/delivery label on the address side.
b. Maximum length: 60 inches.
c. Maximum length and girth combined: 108 inches.
Weight Limit
Maximum weight: 66 pounds.
Customs
Customs Forms
Normally all necessary U.K. customs forms will be automatically
generated by the Postal Service computer workstations. Packages mailed
to the U.K. through an IPCS processing facility will not be required to
bear customs forms when they are tendered to the Postal Service. The
Postal Service will verify, accept, and transport these packages to a
designated IPCS processing facility. After scanning the customer-
printed barcode on each package and correlating it with the package-
specific information transmitted by the customer, the Postal Service
will print the necessary customs forms and then affix them to the
customer's packages as part of the processing operation at the IPCS
Processing Facility. However, during the interim period in which the
Postal Service and the customer are working together to establish the
information systems linkages to enable the Postal Service to accomplish
this, the customer may be required to prepare the necessary customs
forms on its own and affix the forms to the packages before tendering
them to the Postal Service. In those cases where the computer
workstations are located at the customer's plant and operated by
customer employees, the USPS computer workstations will print the
customs forms, and the customer will be required to affix these forms
to the appropriate packages as instructed by the Postal Service prior
to verification and acceptance of the mail.
Customs Clearance
The Postal Service has developed the Customs Pre-Advisory System
(CPAS) as part of IPCS processing. This electronic system collects
package-specific data to satisfy customs requirements as packages are
processed using the USPS computer workstations located at either an
IPCS facility or the customer's plant. The system electronically
advises the USPS delivery agent and Customs in the U.K. of the contents
of each package mailed. Since this advisory information arrives before
the mail, CPAS facilitates and simplifies customs clearance. Electronic
pre-notification of the package contents and automatic preparation of
required customs declarations assures the fastest clearance through
U.K. Customs and reduces costs for the customer and the Postal Service.
Preparation Requirements
Every package sent through Premium, Standard or Economy Service
must bear a label identifying it as a Premium, a Standard or an Economy
Service package. The customer is not normally required to affix this
label. The Postal Service prints the necessary label and affixes it to
the package. However, during the interim period in which the Postal
Service and the customer are establishing the information systems
linkages to enable the Postal Service to accomplish this, the customer
is required to affix an alternative label as instructed by the Postal
Service to every package.
Stanley F. Mires,
Chief Counsel, Legislative.
[FR Doc. 96-7435 Filed 3-27-96; 8:45 am]
BILLING CODE 7710-12-P
Complete official Federal Register PDF
FR Doc. 96-7410 Procedural Rules
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13764-13765]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7410]
=======================================================================
-----------------------------------------------------------------------
NATIONAL LABOR RELATIONS BOARD
29 CFR Part 102
Procedural Rules
AGENCY: National Labor Relations Board.
ACTION: Final Rule.
-----------------------------------------------------------------------
SUMMARY: The National Labor Relations Board is revising its rules that
govern charges for responding to requests for information made pursuant
to the Freedom of Information Act, 5 U.S.C. 552 (``FOIA''). The
revisions are being adopted in order to bring these charges into line
with the current costs to the Agency for processing such requests. The
intended effect of the revisions is to permit the Agency to charge
requesters rates that reflect the actual current costs for processing
FOIA requests and for duplicating responsive documents.
EFFECTIVE DATE: April 29, 1996.
FOR FURTHER INFORMATION CONTACT:
John J. Toner, Executive Secretary, 1099 14th Street, N.W. Room 11602,
Washington, D.C. 20570-0001, Telephone: (202) 273-1934.
SUPPLEMENTARY INFORMATION: Section 102.117(d)(2)(i) of the National
Labor Relations Board's Rules and Regulations, 29 CFR 102.117(d)(2)(i),
sets forth the rates to be charged to persons requesting information
from the
[[Page 13765]]
Agency pursuant to the Freedom of Information Act, 5 U.S.C. 552
(``FOIA''). These rates were last revised more than seven years ago,
since which time our actual costs have increased.
Section 102.117(d)(2)(i) is being revised to set forth new rates
which are based on the following calculations:
The typical clerical employee who works on the processing of a FOIA
request is a GS-6, step 3. The present rate for that grade and step is
$10.70 per hour. Adding the cost to the Agency for benefits (budgeted
at 17.5%) brings the total rate to $12.50 per hour, or $3.10 per
quarter-hour.
The typical professional employee who works on the processing of a
FOIA request is a GS-14, step 5. The present rate for that grade and
step is $31.50 per hour. Adding the cost to the Agency for benefits
(budgeted at 17.5%) brings the total rate to $37.00 per hour, or $9.25
per quarter-hour.
The current cost of reproducing documents is $0.12 per page, up
from $0.10 per page the last time the regulations were revised.
All other direct costs for responding to a FOIA request are to be
billed at their actual cost to the Agency, as presently set forth in
subsection 102.117(d)(2)(i)(D). That subsection is being revised,
however, to explicitly provide that such actual costs shall include,
where applicable, the cost of conducting computer searches for
information and for providing information in electronic format.
Accordingly, subsection (d)(2)(i) of Sec. 102.117 is being revised
to reflect the foregoing changes in the costs for processing a FOIA
request.
On a related subject, we have revised downwards our estimate of the
cost of processing a check in payment of a FOIA fee from $11.00 to
$5.00. Consequently, subsection (d)(iii)(A) of Sec. 102.117 is being
revised to provide that fees shall not be imposed on a requester when
the total charges are less than $5.00.
In all other respects, 102.117 remains unchanged.
Pursuant to section 605(b) of the Regulatory Flexibility Act (5
U.S.C. 601 et seq.), the NLRB certifies that this rule will not have a
significant impact on a substantial number of small businesses.
List of Subjects in 29 CFR Part 102
Administrative practice and procedure, Labor management relations.
Accordingly, 29 CFR part 102 is amended as follows:
PART 102--[AMENDED]
1. The authority citation for 29 CFR part 102 continues to read as
follows:
Authority: Section 6, National Labor Relations Act, as amended
(29 U.S.C. 151, 156). Section 102.117(c) also issued under section
552(a)(4)(A) of the Freedom of Information Act, as amended (5 U.S.C.
552(a)(4)(A)). Sections 102.143 through 102.155 also issued under
section 504(c)(1) of the Equal Access to Justice Act, as amended (5
U.S.C. 504(c)(1)).
2. Section 102.117(d)(2)(i) and (d)(2)(iii)(A) are revised to read
as follows:
Sec. 102.117 Board materials and formal documents available for public
inspection and copying; requests for described records; time limit for
response; appeal from denial of request; fees for document search,
duplication, and review; files and records not subject to inspection.
* * * * *
(d) * * *
(2) Persons requesting records from this Agency shall be subject to
a charge of fees for the full allowable direct costs of document
search, review, and duplicating, as appropriate, in accordance with the
following schedules, procedures, and conditions:
(i) Schedule of charges:
(A) For each one-quarter hour or portion thereof of clerical time--
$3.10
(B) For each one-quarter hour or portion thereof of professional
time--$9.25
(C) For each sheet of duplication (not to exceed 8\1/2\ by 14
inches) of requested records--$0.12
(D) All other direct costs of preparing a response to a request
shall be charged to the requester in the same amount as incurred by the
Agency. Such costs shall include, but not be limited to: certifying
that records are true copies; sending records to requesters or
receiving records from the Federal records storage centers by special
methods such as express mail; and, where applicable, the cost of
conducting computer searches for information and for providing
information in electronic format.
* * * * *
(iii)(A) In no event shall fees be imposed on any requester when
the total charges are less than $5.00, which is the Agency's cost of
collecting and processing the fee itself.
* * * * *
Dated, Washington, DC, March 21, 1996.
By Direction of the Board.
John J. Toner,
Executive Secretary, National Labor Relations Board.
[FR Doc. 96-7410 Filed 3-27-96; 8:45 am]
BILLING CODE 7545-01-P
Complete official Federal Register PDF
FR Doc. 96-7389 Payment of Internal Revenue Tax by Check or Money Order and Liability of Financial Institutions for Unpaid Taxes; Correction
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13762-13763]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7389]
-----------------------------------------------------------------------
DEPARTMENT OF THE TREASURY
26 CFR Part 301
[TD 8595]
RIN 1545-AI24
Payment of Internal Revenue Tax by Check or Money Order and
Liability of Financial Institutions for Unpaid Taxes; Correction
AGENCY: Internal Revenue Service, Treasury.
ACTION: Correction to final regulations.
-----------------------------------------------------------------------
SUMMARY: This document contains a correction to final regulations [TD
8595] which were published in the Federal Register for Friday, April
28, 1995 (60 FR 20899). The final regulations relate to payments with
respect to internal revenue taxes and internal revenue stamps by check
or money order.
EFFECTIVE DATE: April 28, 1995.
FOR FURTHER INFORMATION CONTACT: Robert A. Walker, (202) 622-3640 (not
a toll-free number).
[[Page 13763]]
SUPPLEMENTARY INFORMATION:
Background
The final regulations that are the subject of this correction are
under section 6311 of the Internal Revenue Code.
Need for Correction
As published, TD 8595 contains an error that is in need of
clarification.
Correction of Publication
Accordingly, the publication of final regulations which are the
subject of FR Doc. 95-10410, is corrected as follows:
On page 20899, column 3, in amendatory instruction ``Par. 2.'',
line 8, the amendatory language ``5. Adding paragraphs (d) and (e).''
is corrected to read ``5. Adding paragraph (d).''.
Cynthia E. Grigsby,
Chief, Regulations Unit, Assistant Chief Counsel (Corporate).
[FR Doc. 96-7389 Filed 3-27-96; 8:45 am]
BILLING CODE 4830-01-U
Complete official Federal Register PDF
FR Doc. 96-7388 Consolidated Groups and Controlled GroupsIntercompany Transactions and Related Rules; Correction
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Page 13762]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7388]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF THE TREASURY
Internal Revenue Service
26 CFR Part 1
[TD 8597]
RIN 1545-AT58
Consolidated Groups and Controlled Groups--Intercompany
Transactions and Related Rules; Correction
AGENCY: Internal Revenue Service, Treasury.
ACTION: Correction to final regulations.
-----------------------------------------------------------------------
SUMMARY: This document contains corrections to final regulations [TD
8597] which were published in the Federal Register for Tuesday, July
18, 1995 (60 FR 36671). The final regulations amend the intercompany
transaction system of the consolidated return regulations.
EFFECTIVE DATE: July 18, 1995.
FOR FURTHER INFORMATION CONTACT: Roy Hirschhorn of the Office of
Assistant Chief Counsel (Corporate), (202) 622-7770 (not a toll-free
number).
SUPPLEMENTARY INFORMATION:
Background
The final regulations that are the subject of these corrections are
under sections 1502 and 267 of the Internal Revenue Code.
Need for Correction
As published, TD 8597 contains errors that are in need of
correction.
Correction of Publication
Accordingly, the publication of the final regulations which are the
subject of FR Doc. 95-16973, is corrected as follows:
On page 36679, under amendatory instruction ``Par. 2.'', the first
column in the table is corrected by removing the reference to ``1.263A-
1T(b)(2)(vi)(B)'' and in the seven entries for ``1.263A- 1T'' correct
the number ``1.263A-1T'' to read ``1.263A-7T''.
Cynthia E. Grigsby,
Chief, Regulations Unit, Assistant Chief Counsel (Corporate).
[FR Doc. 96-7388 Filed 3-27-96; 8:45 am]
BILLING CODE 4830-01-U
Complete official Federal Register PDF
FR Doc. 96-7385 Exempt Chemical Preparations
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13689-13759]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7385]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF JUSTICE
Drug Enforcement Administration
21 CFR Part 1308
[DEA No. 148-I]
Exempt Chemical Preparations
AGENCY: Drug Enforcement Administration, Department of Justice.
ACTION: Interim Rule and Request for Comments.
-----------------------------------------------------------------------
SUMMARY: This interim rule amends the list of exempt chemical
preparations set forth in section 1308.24(i) of Title 21 of the Code of
Federal Regulations. This action is in response to DEA's periodic
review of the exempt chemical preparation list and of new applications
for exemptions which have been approved by DEA. This action is being
done by interim rule because prior notice is unnecessary. The list
contains preparations which have already been exempted from the
application of specific provisions of the Comprehensive Drug Abuse
Prevention and Control Act of 1970, and from certain Drug Enforcement
Administration Regulations.
EFFECTIVE DATE: March 28, 1996. Comments must be submitted on or before
May 28, 1996.
ADDRESSES: Comments and objections should be submitted to the Deputy
Assistant Administrator, Office of Diversion Control, Drug Enforcement
Administration, Washington, DC 20537; Attention: Federal Register
Representative/CCR.
FOR FURTHER INFORMATION CONTACT: Howard McClain, Jr., Chief, Drug &
Chemical Evaluation Section, Drug Enforcement Administration,
Washington, DC 20537, Telephone: (202) 307-7183.
SUPPLEMENTARY INFORMATION: The Controlled Substances Act as amended by
the Dangerous Drug Diversion Control Act of 1984 authorizes the
Attorney General in accordance with 21, U.S.C. 811 (g)(3)(B) to exempt
from specific provisions of the Act, a compound, mixture, or
preparation which contains any controlled substance, which is not for
administration to a human being or animal and which is packaged in such
form or concentration, or with adulterants or denaturants, so that, as
packaged, it does not present any significant potential for abuse. This
authority has been delegated to the Deputy Assistant Administrator,
Office of Diversion Control, Drug Enforcement Administration, 28 CFR
0.104.
The Deputy Assistant Administrator has received applications
pursuant to section 1308.23 of Title 21 of the Code of Federal
Regulations requesting approval of exempt status provided for in 21 CFR
1308.24. The Deputy Assistant Administrator has found that each of the
following preparations and mixtures is intended for laboratory,
industrial, educational, or special research purposes, is not intended
for general administration to man or animal, and either (a) contains no
narcotic controlled substances and is
[[Page 13690]]
packaged in such a form or concentration that the packaged quantity
does not present any significant potential for abuse, (b) contains
either a narcotic or non-narcotic controlled substance and one or more
adulterating or denaturing agents in such a manner, combination,
quantity, proportion, or concentration that the preparation or mixture
does not present any potential for abuse, or (c) the formulation of
such preparation or mixture incorporates methods of denaturing or other
means so that the controlled substance cannot in practice be removed,
and therefore the preparation or mixture does not present any
significant potential for abuse. The Deputy Assistant Administrator has
found that exemption of the following chemical preparations and
mixtures is consistent with the public health and safety as well as the
needs of the researchers, chemical analysts, and suppliers of these
products.
The listing of products in 21 CFR 1308.24(i) may exempt persons who
handle them from application of sections 302, 303, 305, 306, 307, 308,
309, 1002, 1003, and 1004 of the Act and section 1301.74 of the
regulations. The Deputy Assistant Administrator hereby certifies that
these matters will have no significant impact upon small businesses or
other entities within the meaning and intent of the Regulatory
Flexibility Act, 5 U.S.C. 601 et seq. Accordingly, the Deputy Assistant
Administrator certifies this action will have no impact on the ability
of small businesses to compete and he therefore determines that no
regulatory flexibility analysis is required.
This action has been analyzed in accordance with the principles and
criteria contained in Executive Order 12612, and it has been determined
that this matter does not have sufficient federalism implications to
require the preparation of a Federalism Assessment.
The Office of Management and Budget (OMB) has determined that
listings of exempt chemical preparations are exempt from centralized
review under Executive Order 12866.
List of Subjects in 21 CFR Part 1308
Administrative practice and procedure, Drug traffic control,
Narcotics, Prescription drugs.
Under the authority vested in the Attorney General by section
202(d) of the Act (21 U.S.C. 811 (g)(3)(B)) and delegated to the
Administrator of the Drug Enforcement Administration by regulations of
the Department of Justice (28 CFR Part 0.100), and redelegated to the
Deputy Assistant Administrator, Office of Diversion Control, Drug
Enforcement Administration, the Deputy Assistant Administrator hereby
amends 21 CFR Part 1308 as set forth below.
PART 1308--SCHEDULES OF CONTROLLED SUBSTANCES
1. The authority citation for 21 CFR part 1308 continues to read as
follows:
Authority: 21 U.S.C. 811, 812, 871(b) unless otherwise noted.
2. In Sec. 1308.24(i), the table is revised to read as follows:
Sec. 1308.24 Exempt Chemical Preparations.
* * * * *
(i) * * *
Exempt Chemical Preparations
----------------------------------------------------------------------------------------------------------------
Supplier Product name Form Date
----------------------------------------------------------------------------------------------------------------
Aalto Scientific, LTD.................. Therapeutic Drug Monitoring Vial: 5ml................ 4/09/91
Control Level I, II, III
Freeze Dried.
Abbott Laboratories.................... 125I Cholylglycyltyrosine Plastic Bottle: 20ml..... 4/07/78
Reagent Solution, No. 7816.
Abbott Laboratories.................... ADx Benzoylecgonine Fluorescein Bottle: 3.2 ml........... 12/02/86
Tracer Solution.
Abbott Laboratories.................... ADx Cannabinoids Fluorescein Bottle: 3.2ml............ 12/02/86
Tracer Solution.
Abbott Laboratories.................... ADx Cannabinoids Reagent Pack Reagent Pack: 50 tests... 12/02/86
(No. 9671-55).
Abbott Laboratories.................... ADx Cocaine Metabolite Vial: 3.2ml, Kit: 100 4/18/89
Fluorescein Tracer Solution, vials.
No. 9670-T, No. 9670T0013.
Abbott Laboratories.................... ADx Cocaine Metabolite Reagent 50 Test Unit............. 4/18/89
Pack, No. 9670-55.
Abbott Laboratories.................... ADx Opiates Fluorescein Tracer Vial: 3.2ml, Kit: 100 4/18/89
Solution, No. 9673-T, No. vials.
9673T0013.
Abbott Laboratories.................... ADx Opiates Reagent Pack, No. 50 Test Unit............. 4/18/89
9673-55.
Abbott Laboratories.................... ADx Propoxyphene Fluorescein Box: 100 bottles or less. 11/30/90
Tracer Solutions Item No.
9675T0011.
Abbott Laboratories.................... ADx Propoxyphene Reagent Pack Kit: 50 test............. 11/30/90
Item No.9675-55.
Abbott Laboratories.................... Advisor (4 Track); Code 9A18-21 Kit: 40 Discs............ 3/25/94
Abbott Laboratories.................... Advisor Cannabinoids Bulk Flasks: 6L, 4L, 2L, 1L, 4/10/92
Tracer No.76224. 500ml, 250ml, 200ml,
100ml; Bottles: 950ml,
500ml, 100ml, 50ml, 5ml;
Amp: 20ml, 10ml, 5ml,
2ml.
Abbott Laboratories.................... Advisor Card & Cover No.07A15.. Box: 2000 Cards.......... 4/10/92
Abbott Laboratories.................... Advisor Card & Tracer No.07A14. Box: 2000 Cards.......... 4/10/92
Abbott Laboratories.................... Advisor Card with Cover; Code # Box: 2000 Cards.......... 3/25/94
05B08.
Abbott Laboratories.................... Advisor Card with Tracer; Code Box: 2000 Cards.......... 3/25/94
# 05B07.
Abbott Laboratories.................... Advisor Cocaine Bulk Tracer (in- Flasks: 6L, 4L, 2L, 1L, 6/08/92
process) No.77458A. 500ml, 250ml, 200ml,
100ml; Bottles: 950ml,
500ml, 100ml, 50ml, 5ml;
Amp: 20ml, 10ml, 5ml,
2ml.
Abbott Laboratories.................... Advisor Cocaine Bulk Tracer Flasks: 6L, 4L, 2L, 1L, 4/10/92
No.77458. 500ml, 250ml, 200ml,
100ml; Bottles: 950ml,
500ml, 100ml, 50ml, 5ml;
Amp: 20ml, 10ml, 5ml,
2ml.
Abbott Laboratories.................... Advisor Controls, Code # 6A63- Kit: 2 Bottles........... 1/25/94
10.
Abbott Laboratories.................... Advisor Drug of Abuse Screening Kit: 10 Discs............ 4/10/92
System No.6A60-10.
Abbott Laboratories.................... Advisor Drug of Abuse Screening Kit: 40 Discs............ 4/10/92
System No.6A60-21.
[[Page 13691]]
Abbott Laboratories.................... Advisor Opiates Bulk Tracer (in- Flasks: 6L, 4L, 2L, 1L, 6/08/92
process) No.78692A. 500ml, 250ml, 200ml,
100ml; Bottles: 950ml,
500ml, 100ml, 50ml, 5ml;
Amp: 20ml, 10ml, 5ml,
2ml.
Abbott Laboratories.................... Advisor Opiates Bulk Tracer Flasks: 6L, 4L, 2L, 1L, 4/10/92
No.78692. 500ml, 250ml, 200ml,
100ml; Bottles: 950ml,
500ml, 100ml, 50ml, 5ml;
Amp: 20ml, 10ml, 5ml,
2ml.
Abbott Laboratories.................... Advisor Positive Control, Bulk, Carboy: 50, 45, 20, 10L; 1/25/94
Code # 82979. Flask: 6, 4, 2, 1L; 500,
250, 200, 125, 100,
50ml; Bottle: 8, 4, 2,
1L; 500, 250, 125, 50,
30, 10, 5ml.
Abbott Laboratories.................... Advisor Positive Control, Code Bottle: 5ml.............. 1/25/94
# 6A63P.
Abbott Laboratories.................... Advisor Positive Control, In- Box: 100 Bottles......... 1/25/94
Process, Code # 6A63P001.
Abbott Laboratories.................... Advisor Reaction Disc No.6A60B. Disc: 1 Card............. 4/10/92
Abbott Laboratories.................... Advisor Reaction Discs (4 Inner Carton: 20 Discs... 3/25/94
Track); Code # 9A18.
Abbott Laboratories.................... Advisor Reaction Discs No.6A60. Carton: 20 Discs......... 4/10/92
Abbott Laboratories.................... Amphetamine Bulk Calibrators, B- Carboy: 10L Flask: 6L, 10/09/85
F. 2L, 1L, 250ml, 200ml.
Abbott Laboratories.................... Amphetamine Bulk Controls, L Flask: 2 liter........... 12/09/85
and H.
Abbott Laboratories.................... Amphetamine Class Bulk 50L, 45L, 20L, 10L, 8L, 3/01/88
Calibrator B-F. 6L, 4L, 2L, 1L, 500ml,
250ml, 200ml, 125ml,
100ml, 50ml, 30ml, 20ml,
15ml, 10ml, 5ml, 2ml.
Abbott Laboratories.................... Amphetamine Class Bulk Control 50L, 45L, 20L, 10L, 8L, 3/01/88
L and H. 6L, 4L, 2L, 1L, 500ml,
250ml, 200ml, 125ml,
100ml, 50ml, 30ml, 20ml,
15ml, 5ml, .2ml.
Abbott Laboratories.................... Amphetamine Class Bulk Tracer: 50L, 45L, 20L, 10L, 8L, 3/01/88
No. 94699. 6L, 4L, 2L, 1L, 500ml,
250ml, 200ml, 125ml,
100ml, 50ml, 30ml, 20ml,
15ml, 10ml, 5ml, 2ml.
Abbott Laboratories.................... Amphetamine Class QC Primary B- Carboy: 10L Flask: 4L, 11/22/88
F, L, M, H No. 9667 (B-F, L, 2L, 1L, 500 ml, 250 ml,
M, H) QC. 200 ml, 100 ml Bottle:
5ml.
Abbott Laboratories.................... Amphetamine Class Stock Tracer: Bottle: 30 ml............ 3/01/88
No. 94700.
Abbott Laboratories.................... Amphetamine Stock Standard No. Carboy: 20L, 10L Flask: 11/22/88
97072, 97072 A-B. 4L, 2L, 1L, 500 ml, 250
ml, 200 ml, 100 ml
Bottle: 950ml, 500ml,
100ml, 5ml.
Abbott Laboratories.................... Amphetamine Stock Standard, No. Bottle: 125ml............ 9/30/85
97072.
Abbott Laboratories.................... Amphetamine/ Methamphetamine II 5 ML Vial................ 8/26/88
Controls (L, M, H) No. 1A99-L,
M, H.
Abbott Laboratories.................... Amphetamine/ Methamphetamine II Kit: 3 Vials............. 8/26/88
Controls No. 1A99-10.
Abbott Laboratories.................... Amphetamine/ Methamphetamine QC Carboy: 10L Flask: 4L, 11/22/88
Primary B-F, L, M, H No. 9668 2L, 1L, 500 ml, 250 ml,
(B-F, L, M, H) QC. 200 ml, 100 ml Bottle:
5ml.
Abbott Laboratories.................... Amphetamine/ Methamphetamine QC Bottle: 5 ml............. 11/10/87
Primary Standard Control M,
No. 9668-M.
Abbott Laboratories.................... Amphetamine/Metamphetamine QC Flasks: 1 liter, 250 ml, 11/10/87
Primary Bulk Control M, No. and 200 ml.
9668-M.
Abbott Laboratories.................... Amphetamine/Methamphetamine Carboy: 10L Flask: 4L, 11/22/88
(II) QC Primary B-F, L, M, H 2L, 1L, 500 ml, 250 ml,
No. 1A99 (B-F, L, M, H) QC. 200 ml, 100 ml Bottle:
5ml.
Abbott Laboratories.................... Amphetamine/Methamphetamine II Carboy: 20L, 10L, 6L, 2L, 7/14/89
Bulk Calibrator B, C, D, E, F; 1L, 250ml, 200ml.
No. 01A99-B, C, D, E, F.
Abbott Laboratories.................... Amphetamine/Methamphetamine II 50L, 45.5L, 20 L, 19L, 8/26/88
Bulk Calibrators B-F Code No. 13.25L, 13L, 10 L, 9.5L,
1A99 (B-F). 9L Carboy; 6 L, 4L, 2 L,
1 L, 250 ml, 200 ml
Flask.
Abbott Laboratories.................... Amphetamine/Methamphetamine II Carboy: 20L, 10L, Flask: 7/14/89
Bulk Control L, M, H, ; No. 6L, 2L, 1L, 250ml, 200ml.
01A99-L, M, H.
Abbott Laboratories.................... Amphetamine/Methamphetamine II 50L, 45.5L, 20 L, 19L, 8/26/88
Bulk Controls (L, M, H) Code 13.25L, 13L, 10 L, 9.5L,
No. 1A99 (L, M, H). 9L Carboy; 6 L, 4L, 2 L,
1 L, 250 ml, 200 ml
Flask.
[[Page 13692]]
Abbott Laboratories.................... Amphetamine/Methamphetamine II Carboy: 20L, 10L, Flask: 1/19/89
Bulk Controls, No. 1A99X, Y, Z. 6L, 2L, 1L, 250ml, 200ml.
Abbott Laboratories.................... Amphetamine/Methamphetamine II Carboys: 50, 45, 20, 10L; 6/12/95
Bulk Master Calibrator W, 3B27- Flasks: 6, 4, 2, 1L;
W. 500, 250, 200, 125, 100,
50ml.
Abbott Laboratories.................... Amphetamine/Methamphetamine II 5 ml Vial................ 8/26/88
Calibrators B-F No. 1A99 B-F.
Abbott Laboratories.................... Amphetamine/Methamphetamine II Kit: 100 vials........... 1/19/89
Control X, Y, Z; No. 1A99-02,
03, 04.
Abbott Laboratories.................... Amphetamine/Methamphetamine II Vial: 5ml................ 1/19/89
Control X, Y, Z; No. 1A99X, Y,
Z.
Abbott Laboratories.................... Amphetamine/Methamphetamine II Carboy: 20, 10L; Flask: 2/20/91
QC Primary 2-6 QT, NG, CO, PS 6, 4, 2, 1L, 500, 250,
No. 1A99 2-6 QT-QC & NG/CO/PS- 200, 100ml; Bottle: 950,
QC. 500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Amphetamine/Methamphetamine II Carboy: 20L, 10L; Flask: 10/25/91
QC Primary 8QT No. 1A998QT-QC. 6, 4, 2, 1L, 500, 250,
200, 100ml; Bottle: 950,
500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... AxSYM Amphetamine/ Bottle: 5ml.............. 6/12/95
Methamphetamine II Master
Calibrator 2.
Abbott Laboratories.................... AxSYM Amphetamine/ Kit: 2 Bottles, 5ml each. 6/12/95
Methamphetamine II Master
Calibrators, 3B27-30.
Abbott Laboratories.................... AxSYM Barbiturates II U Master Bottle: 5ml.............. 5/10/95
Calibrator 2.
Abbott Laboratories.................... AxSYM Barbiturates II U Master Kit: 2 Bottles........... 5/10/95
Calibrators.
Abbott Laboratories.................... AxSYM Benzodiazepines Master Bottle: 5ml.............. 5/10/95
Calibrator 2.
Abbott Laboratories.................... AxSYM Benzodiazepines Master Kit: 2 Bottles........... 5/10/95
Calibrators.
Abbott Laboratories.................... AxSYM Cannabinoids Fluorescin Bottles: 35, 20, 15ml; 6/02/94
Tracer; Code 3B28T0001. Box: 100 vials; Tray:
200vials.
Abbott Laboratories.................... AxSYM Cannabinoids Master Bottle: 5ml.............. 5/10/95
Calibrator 2.
Abbott Laboratories.................... AxSYM Cannabinoids Master Kit: 2 Bottles........... 5/10/95
Calibrators.
Abbott Laboratories.................... AxSYM Cannabinoids Reagent Pack Kit: 100 Tests........... 7/27/94
Abbott Laboratories.................... AxSYM Cocaine Metabolite Kit: 100 Tests........... 7/27/94
Reagent Pack.
Abbott Laboratories.................... AxSYM Cocaine Metabolite Bottles: 35, 20, 15ml; 6/02/94
Fluorescin Tracer Solution; Box: 100 vials; Tray:
Code 3B24T0001. 200 vials.
Abbott Laboratories.................... AxSYM Cocaine Metabolite Master Bottle: 5ml.............. 5/10/95
Calibrator 2.
Abbott Laboratories.................... AxSYM Cocaine Metabolite Master Kit: 2 Bottles........... 5/10/95
Calibrators.
Abbott Laboratories.................... AxSYM Methadone Master Bottle: 5ml.............. 6/12/95
Calibrator 2.
Abbott Laboratories.................... AxSYM Methadone Master Kit: 2 Bottles, 5ml each. 6/12/95
Calibrators, 3B31-30.
Abbott Laboratories.................... AxSYM Opiates Fluorescin Tracer Bottles: 35, 20, 15ml; 6/02/94
Solution; Code 3B25T0001. Box: 100 vials; Tray:
200 vials.
Abbott Laboratories.................... AxSYM Opiates Master Calibrator Bottle: 5ml.............. 5/10/95
2.
Abbott Laboratories.................... AxSYM Opiates Master Kit: 2 Bottles........... 5/10/95
Calibrators.
Abbott Laboratories.................... AxSYM Opiates Reagent Pack..... Kit: 100 Tests........... 7/27/94
Abbott Laboratories.................... AxSYM Phencyclidine Master Bottle: 5ml.............. 6/12/95
Calibrator 2.
Abbott Laboratories.................... AxSYM Phencyclidine Master Kit: 2 Bottles, 5ml each. 6/12/95
Calibrators, 3B26-30.
Abbott Laboratories.................... AxSYM Phenobarbital Calibrator Vial: 5ml................ 1/25/94
B, Code # 7A70-B.
Abbott Laboratories.................... AxSYM Phenobarbital Calibrator Vial: 5ml................ 1/25/94
C, Code # 7A70-C.
Abbott Laboratories.................... AxSYM Phenobarbital Calibrator Vial: 5ml................ 1/25/94
D, Code # 7A70-D.
Abbott Laboratories.................... AxSYM Phenobarbital Calibrator Vial: 5ml................ 1/25/94
E, Code 7A70-E.
Abbott Laboratories.................... AxSYM Phenobarbital Calibrator Vial: 5ml................ 1/25/94
F, Code 7A70-F.
Abbott Laboratories.................... AxSYM Phenobarbital Calibrators Kit: 6 Vials............. 1/25/94
(B-F), Code # 7A70-01.
Abbott Laboratories.................... AxSYM Phenobarbital Control H, Vial: 10ml............... 1/25/94
Code # 7A70-H.
Abbott Laboratories.................... AxSYM Phenobarbital Control M, Vial: 10ml............... 1/25/94
7A70-M.
Abbott Laboratories.................... AxSYM Phenobarbital Controls Kit: 3 Vials............. 1/25/94
(L, M, H), Code # 7A70-L.
Abbott Laboratories.................... Barbital Buffer, 0.06 M; Plastic Bottle: 2.5ml.... 4/07/78
Reagent Solution No. 7824.
Abbott Laboratories.................... Barbiturate II U Control L, M, Bottle: 5 ml............. 10/17/89
H; No. 9669 L, M, H-11.
Abbott Laboratories.................... Barbiturates Bulk Calibrator B- Carboy: 50L, 45.5L, 20L, 7/01/88
F; No. 9669 B-F. 19L, 13.25L, 13L, 10L,
9.5L, 9L, 6L, 4L, 2L,
1L, 250ml, 200ml.
Abbott Laboratories.................... Barbiturates Bulk Control L, H; Carboy: 50L, 45.5L, 20L, 7/01/88
No. 9669 L, H. 19L, 13.25L, 13L, 10L,
9.5, 9L, 6L, 4L, 2L, 1L,
250ml, 200ml.
Abbott Laboratories.................... Barbiturates Bulk Controls, No. Carboy: 20L, 10L, Flask: 1/19/89
9669X, Y, Z. 6L, 2L, 1L, 250ml, 200ml.
Abbott Laboratories.................... Barbiturates Control X, Y, Z; Vial: 5ml................ 1/19/89
No. 9669X, Y, Z.
Abbott Laboratories.................... Barbiturates II QC Primary NG, Carboy: 20, 10L; Flask: 2/20/91
CO, PS; No. 9669 NG/CO/PS-11- 6, 4, 2, 1L, 500, 250,
QC. 200, 100ml; Bottle: 950,
500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
[[Page 13693]]
Abbott Laboratories.................... Barbiturates II U Bulk Carboy: 50L, 45.5L, 20L, 10/17/89
Calibrators B-F; No. 9669 B-F- 19L, 13.25L, 13L, 10L,
05. 9.5L, 9L, 6L, 4L, 2L,
1L, Flask: 250ml, 200ml.
Abbott Laboratories.................... Barbiturates II U Bulk Controls Carboy: 50L, 45.5L, 20L, 10/17/89
L, M, H; No. 9669 L, M, H-11. 19L, 13.25L, 13L, 10L,
9.5L, 9L, 6L, 4L, 2L,
1L, Flask: 250ml, 200ml.
Abbott Laboratories.................... Barbiturates II U Bulk Master Carboys: 50, 45, 20, 10L; 5/10/95
Calibrator W. Flasks: 6, 4, 2, 1L;
500, 250, 200, 125, 100,
50ml.
Abbott Laboratories.................... Barbiturates II U Calibrators B- Bottle: 5 ml............. 10/17/89
F; No. 9669 B-F-05.
Abbott Laboratories.................... Barbiturates II U Controls L, Kit: 3 vials............. 10/17/89
M, H; No. 9661-11.
Abbott Laboratories.................... Barbiturates II U QC Primary B- Carboy: 10L, Flask: 4L, 10/17/89
F; No. 9669 B-F-05 QC. 2L, 1L, 500ml, 250ml,
200ml, 100ml, Bottle:
950ml, 500ml, 100ml, 5ml.
Abbott Laboratories.................... Barbiturates II U QC Primary L, Carboy: 10L, Flask: 4L, 10/17/89
M, H; No. 9669 L, M, H-11 QC. 2L, 1L, 500ml, 250ml,
200ml, 100ml, Bottle:
950ml, 500ml, 100ml, 5ml.
Abbott Laboratories.................... Barbiturates QC Primary B-F, L, Carboy: 10L Flask: 4L, 11/22/88
M, H No. 9669 (B-F, L, M, H) 2L, 1L, 500 ml, 250 ml,
QC. 200 ml, 100 ml Bottle: 5
ml.
Abbott Laboratories.................... Barbiturates QC Primary Bulk Flasks: 1 liter, 250 ml, 11/10/87
Control M, No. 9669-M. and 200 ml.
Abbott Laboratories.................... Barbiturates QC Primary Bottle: 5 ml............. 11/10/87
Standard Control M, No. 9669-M.
Abbott Laboratories.................... Barbiturates QC Primary X, No. Carboy: 10L, Flask: 4L, 6/05/89
9669X-QC. 2L, 1L, 500ml, 250ml,
200ml, 100ml, Bottle:
5ml.
Abbott Laboratories.................... Barbiturates Serum Bulk Carboy, Flask, Bottle or 1/03/89
Calibrator B-F, No. 9679 B-F. Ampule: 50, 45, 20, 10,
8, 6, 4, 2, 1-(L); 500,
250, 200, 125, 100, 50,
30, 20, 15, 10, 5, 2-
(ml).
Abbott Laboratories.................... Barbiturates Serum Bulk Control Carboy: 20L, 10L, Flask: 1/03/89
L, M, H; No. 9676 L, M, H. 6L, 2L, 1L, 250ml, 200ml.
Abbott Laboratories.................... Barbiturates Serum Calibrators Kit: 6 vials............. 1/03/89
B-F, No. 9679-01.
Abbott Laboratories.................... Barbiturates Serum Calibrators Bottle: 5ml.............. 1/03/89
B/F, No. 9679 B/F.
Abbott Laboratories.................... Barbiturates Serum Controls L, Bottle: 5ml.............. 1/03/89
M, H; No. 9679 L, M, H.
Abbott Laboratories.................... Barbiturates Serum Controls L, Kit: 3 vials............. 1/03/89
M, H; No. 9679-10.
Abbott Laboratories.................... Barbiturates Serum QC Primary B- Carboy: 10L, Flask: 4L, 1/03/89
F, L, M, H; No. 9679 (B-F, L, 2L, 1L, 500ml, 250ml,
M, H)-QC. 200ml, 100ml, Bottle:
5ml.
Abbott Laboratories.................... Benzodiazepine Serum QC Primary Carboy: 10L Flask: 4L, 11/22/88
B-F, L, M, H No. 9682 (B-F, L, 2L, 1L, 500 ml, 250 ml,
M, H)-QC. 200 ml, 100 ml Bottle: 5
ml.
Abbott Laboratories.................... Benzodiazepines Bulk Calibrator Carboy: 50L, 45.5L, 20L, 7/18/88
No. 9674 B-F. l9.5L, 19L, 13.25L, 13L,
10L, 9L, 6L, 4L, 2L, 1L,
250ml, 200ml.
Abbott Laboratories.................... Benzodiazepines Bulk Control L, Carboy: 50L, 45.5L, 20L, 7/18/88
H No. 9674 L, H. 19L, 13.25zl, 13L, 10L,
9.5, 9L, 6L, 4L, 2L, 1L,
250ml, 200ml,.
Abbott Laboratories.................... Benzodiazepines Bulk Master Carboys: 50, 45, 20, 10L; 5/10/95
Calibrator W. Flasks: 6, 4, 2, 1L;
500, 250, 200, 125, 100,
50ml.
Abbott Laboratories.................... Benzodiazepines QC Primary Bulk Flasks: 1 liter, 250 ml, 11/10/87
Control M, No. 9674-M. and 200 ml.
Abbott Laboratories.................... Benzodiazepines QC Primary Bulk Flasks: 1 liter, 250 ml, 11/10/87
Control M, No. 9674-M. and 200 ml.
Abbott Laboratories.................... Benzodiazepines QC Primary NG, Carboy: 20, 10L; Flask: 2/20/91
CO, PS No. 9674NG/CO/PS-QC. 6, 4, 2, 1L, 500, 250,
200, 100ml; Bottle: 950,
500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Benzodiazepines QC Primary, B- Carboy: 10L Flask: 4L, 11/22/88
F, L, M, H No. 9674 (B-F, L, 2L, 1L, 500 ml, 250 ml,
M, H) QC. 200 ml, 100 ml Bottle:
5ml.
Abbott Laboratories.................... Benzodiazepines Serum Bulk Carboy: 10 liter; Flask: 12/07/87
Calibrators B-F: Code No. 9682 6 liter, 2 liter.
B-F.
Abbott Laboratories.................... Benzodiazepines Serum Bulk Carboy: 20 liters, 10 5/02/88
Calibrators: No. 9682 B-F. liters; Flask: 6 liters,
2 liters, 1 liter.
[[Page 13694]]
Abbott Laboratories.................... Benzodiazepines Serum Bulk Carboy: 10 liter; Flask: 12/07/88
Controls L, M, & H: Code No. 6 liter, 2 liter.
9682 L, M, & H.
Abbott Laboratories.................... Benzodiazepines Serum Bulk Carboy: 20 liters, 10 5/02/88
Controls: No. 9682 L, M, H. liters; Flask: 6 liters,
2 liters, 1 liter, 250
ml, 200 ml.
Abbott Laboratories.................... Benzoylecgonine Stock Standard Carboy: 20L, 10L Flask: 11/23/88
No. 97182, 97182 A-B. 4L, 2L, 1L, 500 ml, 250
ml, 200 ml, 100 ml,
Bottle: 950ml, 500ml,
100ml, 5ml.
Abbott Laboratories.................... Benzoylecgonine Stock Standard, Bottle: 125ml............ 11/21/85
No. 97182.
Abbott Laboratories.................... CG RIA Diagnostic Kit No. 7815. Kit: 100 tests........... 4/07/78
Abbott Laboratories.................... Cannabinoids--GS Bulk Controls, Carboy: 20L, 10L, Flask: 1/19/89
No. 3897X, Y, Z. 6L, 2L, 1L, 250ml, 200ml.
Abbott Laboratories.................... Cannabinoids--GS Control X, Y, Kit: 100 vials........... 1/19/89
Z; No. 3897-02, 03, 04.
Abbott Laboratories.................... Cannabinoids--GS Control X, Y, Vial: 5ml................ 1/19/89
Z; No. 3897X, Y, Z.
Abbott Laboratories.................... Cannabinoids Bulk Calibrators B- Carboy: 50L, 45.5L, 20L, 10/24/86
F, No. 9671 (B02-F02). 19L, 13.25L, 13L, 10L,
9.5L, 9L Flask: 6L, 4L,
2L, 1L, 250ml, 200ml.
Abbott Laboratories.................... Cannabinoids Bulk Controls L, Carboy: 50L, 45.5L, 20L, 10/24/86
M, H; No. 9671 (L11, M11H11). 19L, 13.25L, 13L, 10L,
9.5L, 9L Flask: 6L, 4L,
2L, 1L, 250ml, 200ml.
Abbott Laboratories.................... Cannabinoids Bulk Master Carboys: 50, 45, 20, 10L; 5/10/95
Calibrator W. Flasks: 6, 4, 2, 1L;
500, 250, 200, 125, 100,
50ml.
Abbott Laboratories.................... Cannabinoids Bulk Tracer (No. Carboy: 50L, 45.5L, 20L, 10/27/86
94192). 19L, 13.25L, 13L, 10L,
9.5L, 9L Flask: 6L, 4L,
2L, 1L, 250ml, 200ml.
Abbott Laboratories.................... Cannabinoids Bulk Tracer; Code Sizes: 50, 45, 20, 10, 8, 6/02/94
3B28T. 6, 4, 2, 1L; 500, 250,
200, 125, 100, 50, 35,
30, 20, 15, 10, 5ml;
Ampules: 50, 20, 15, 10,
5, 2ml.
Abbott Laboratories.................... Cannabinoids QC Primary 2-6 QT, Carboy: 20, 10L; Flask: 2/20/91
NG, CO, PS No. 9671-11 2-6 QT- 6, 4, 2, 1L, 500, 250,
QC & NG/CO/PS-QC. 200, 100ml; Bottle: 950,
500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Cannabinoids QC Primary 8QT No. Carboy: 20, 10L; Flask: 10/25/91
9671-11 8QT-QC. 6, 4, 2, 1L, 500, 250,
200, 100ml; Bottle: 950,
500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Cannabinoids QC Primary NBS, B- Carboy: 10L, Flask: 4L, 12/27/88
F, L, M, H; No. 9671-02[NBS, B- 2L, 500ml, 250ml, 100ml,
F]-QC; No. 9671-11[L, M, H]-QC. 200ml, Bottle: 5ml.
Abbott Laboratories.................... Cannabinoids QC Primary NBS, B- Carboy: 10L, Flask: 4L, 12/27/88
F, L, M, H; No. 9671 (NBS, B- 2L, 1L, 500ml, 250ml,
F, L, M, H)-QC. 200ml, 100ml, Bottle:
5ml.
Abbott Laboratories.................... Cannabinoids Stock Standard Bottle: 125 ml........... 6/19/87
(94568).
Abbott Laboratories.................... Cannabinoids Stock Standard Bottle: 125 ml........... 10/24/86
(No. 94193).
Abbott Laboratories.................... Cannabinoids Stock Standard Carboy: 20L, 10L, Flask: 12/27/89
10mcg/ml-No. 94568, 5mcg/ml- 4L, 2L, 1L, 500ml,
NO. 94568A, 1mcg/ml-No. 94568B. 250ml, 200ml, 100ml,
bottle: 950ml, 500ml,
100ml, 5ml.
Abbott Laboratories.................... Cannabinoids Stock Standard; Carboy: 20L, 10L, Flask: 12/27/88
10mcg/ml-No. 94193, 5mcg/ml- 4L, 2L, 1L, 500ml,
No. 94193A, 1mcg/ml-No. 94193B. 250ml, 200ml, 100ml,
bottle: 950ml, 500ml,
100ml, 5ml.
Abbott Laboratories.................... Cannabinoids Stock Tracer (No. Flasks: 6L, 4L, 2L, 1L, 10/27/86
94194). 500ml, 250ml, 200ml,
100ml; Bottles: 950ml,
500ml, 100ml, 50ml,
30ml, 5ml; Amp: 20, 10,
5, 2ml.
Abbott Laboratories.................... Cannabinoids--GS Bulk 20 L, 10 L Carboy; 6 L, 2 7/28/88
Calibrators B-F No. 3897 B-F. L, 1 L, 250 ml, 200 ml
Flask.
Abbott Laboratories.................... Cannabinoids--GS Bulk Controls 20 L, 10 L Carboy; 6 L, 2 7/28/88
(L, M, H) Code No. 3897 (L, M, L, 1 L, 250 ml, 200 ml
H). Flask.
Abbott Laboratories.................... Cannabinoids--GS Bulk Tracer 10 L Carboy; 6 L, 2 L 7/28/88
Code No. 95826. Flask.
Abbott Laboratories.................... Cannabinoids--GS Calibrators B- 5 ml Vial................ 7/28/88
F No. 3897 B-F.
Abbott Laboratories.................... Cannabinoids--GS Calibrators Kit: 6 Vials............. 7/28/88
No. 3897-01.
Abbott Laboratories.................... Cannabinoids--GS Controls (L, 5 ml Vial................ 7/28/88
M, H) No. 3897-L, M, H.
[[Page 13695]]
Abbott Laboratories.................... Cannabinoids--GS Controls No. Kit: 3 Vials............. 7/28/88
3897-10.
Abbott Laboratories.................... Cannabinoids--GS QC Primary Carboy: 10L, Flask: 4L, 12/27/88
NBS, B-F, L, M, H; No. 3897 2L, 1L, 500ml, 250ml,
(NBS, B-F, L, M, H)-QC. 200ml, 100ml, Bottle:
5ml.
Abbott Laboratories.................... Cannabinoids--GS Reagent Pack Kit: 100 Tests........... 7/28/88
100 Test No. 3897-20.
Abbott Laboratories.................... Cannabinoids--GS Reagent Pack Kit: 100 Tests........... 9/22/89
100 Test, No. 3897-19.
Abbott Laboratories.................... Cannabinoids--GS Tracer Code 5 ml Vial................ 7/28/88
No. 3897-T.
Abbott Laboratories.................... Cholylglycine Antiserum Plastic Bottle: 20ml..... 4/07/78
(Rabbit) Reagent Solution No.
7817.
Abbott Laboratories.................... Cocaine Metabolite Bulk Carboy: 9.5, 19 L........ 7/07/88
Calibrator B-F No. 9670 B-F.
Abbott Laboratories.................... Cocaine Metabolite Bulk Carboy: 20L, 10L; Flask: 10/28/85
Calibrator, B-F No. 9670. 6L, 4L, 2L, 1L, 250ml,
200ml.
Abbott Laboratories.................... Cocaine Metabolite Bulk Carboy: 9.5, 19 L........ 7/07/88
Controls L, H No. 9670-L, H.
Abbott Laboratories.................... Cocaine Metabolite Bulk Carboy: 20L, 10L, Flask: 10/28/85
Controls, L and H No. 9670. 6L, 4L, 2L, 1L, 250ml,
200ml.
Abbott Laboratories.................... Cocaine Metabolite Bulk Carboy: 20L, 10L, Flask: 1/19/89
Controls, No. 9670X, Y, Z. 6L, 2L, 1L, 250ml, 200ml.
Abbott Laboratories.................... Cocaine Metabolite Bulk Master Carboys: 50, 45, 20, 10L; 5/10/95
Calibrator W. Flasks: 6, 4, 2, 1L;
500, 250, 200, 125, 100,
50ml.
Abbott Laboratories.................... Cocaine Metabolite Bulk Tracer, Carboy: 50L, 45.5L, 20L, 10/30/85
No. 97075. 13.25L, 13L, 10L, 9L;
Flask: 6L, 4L, 2L, 1L,
250ml, 200ml.
Abbott Laboratories.................... Cocaine Metabolite Control X, Vial: 5ml................ 1/19/89
Y, Z; No. 9670X, Y, Z.
Abbott Laboratories.................... Cocaine Metabolite QC Primary 2- Carboy: 20, 10L; Flask: 2/20/91
6 QT, NG, CO, PS No. 9670 2-6 6, 4, 2, 1L, 500, 250,
QT-QC & NG/CO/PS-QC. 200, 100ml; Bottle: 950,
500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Cocaine Metabolite QC Primary 2- Carboy: 20, 10L; Flask: 10/28/91
6 QT-C, 8QT-C No. 9670 2-6 QTC- 6, 4, 2, 1L, 500, 250,
QC, 9670 8QTC-QC. 200, 100ml; Bottle: 950,
500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Cocaine Metabolite QC Primary Carboy: 20, 10L; Flask: 10/25/91
8QT No. 9670 8QT-QC. 6, 4, 2, 1L, 500, 250,
200, 100ml; Bottle: 950,
500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Cocaine Metabolite QC Primary B- Carboy: 10L; Flask: 4L, 11/23/88
F, L, M. H, No. 9670 (B-F, L, 2L, 1L, 500 ml, 250 ml,
M, H)-QC. 200 ml, 100 ml, Bottle:
5 ml.
Abbott Laboratories.................... Cocaine Metabolite QC Primary Flasks: 1 liter, 250 ml, 11/10/87
Bulk Control M, No. 9670-M. and 200 ml.
Abbott Laboratories.................... Cocaine Metabolite QC Primary Bottle: 5 ml............. 11/10/87
Standard Control M, No. 9670-M.
Abbott Laboratories.................... Cocaine Metabolite QC Primary Carboy: 10L; Flask: 4L, 6/05/89
X, No. 9670X-QC; Primary Z, 2L, 1L, 500ml, 250ml,
No. 9670Z-QC. 200ml, 100ml; Bottle:
5ml.
Abbott Laboratories.................... Cocaine Metabolite Stock Flasks: 6L, 4L, 2L, 1L, 10/30/85
Tracer, No. 97156. 500ml, 250ml, 200ml,
100ml; Bottles: 950ml,
500ml, 100ml, 50ml,
30ml, 5ml; Amp: 20, 10,
5, 2ml.
Abbott Laboratories.................... Codeine Metabolite Bulk Tracer; Sizes: 50, 45, 20, 10, 8, 6/02/94
Code 3B48T. 6, 4, 2, 1L; 500, 250,
200, 125, 100, 50, 35,
30, 20, 15, 10, 5ml;
Ampules: 50, 20, 15, 10,
5, 2ml.
Abbott Laboratories.................... High Multiconstituent (9) Stock Carboy: 50, 20, 10L; 7/02/91
Standard Cat. No. 92622. Flask: 6, 4, 2, 1L, 500,
250, 200, 100ml; Bottle:
950, 500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Low Multiconstituent (9) Stock Carboy: 50, 20, 10L; 7/02/91
Standard Cat. No. 92620. Flask: 6, 4, 2, 1L, 500,
250, 200, 100ml; Bottle:
950, 500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Low, Medium, High Carboy: 10, 20L; Flask: 10/06/89
Multiconstituent Stock 6, 4, 2, 1L, 500, 250,
Standards, No. 90967, 90968, 200, 100ml; Bottle: 950,
90969. 500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
[[Page 13696]]
Abbott Laboratories.................... Medium Multiconstituent (9) Carboy: 50, 20, 10L; 7/02/91
Stock Standard Cat. No. 92621. Flask: 6, 4, 2, 1L, 500,
250, 200, 100ml; Bottle:
950, 500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Methadone Bulk Calibrators (B- 20 L, 10 L Carboy; 6 L, 2 9/02/88
F) Code No. 9676 (B-F). L, 1 L, 250 ml, 200 ml
Flask.
Abbott Laboratories.................... Methadone Bulk Calibrators (L, 20 L, 10 L Carboy; 6 L, 2 9/02/88
M, H) Code No. 9676 (L, M, H). L, 1 L, 250 ml, 200 ml
Flask.
Abbott Laboratories.................... Methadone Bulk Master Carboys: 50, 45, 20, 10L; 6/12/95
Calibrator W, 3B31-W. Flasks: 6, 4, 2, 1L;
500, 250, 200, 125, 100,
50ml.
Abbott Laboratories.................... Methadone Bulk Stock Standard 10 L Carboy; 6 L, 2 L, 1 9/02/88
Code No. 95952. L Flask.
Abbott Laboratories.................... Methadone Calibrators B-F No. 5 ml Vial................ 9/02/88
9676 B-F.
Abbott Laboratories.................... Methadone Controls L, M, H No. 5 ml Vial................ 9/02/88
9676-L, M, H.
Abbott Laboratories.................... Methadone Controls No. 9676-10. Kit: 3 Vials............. 9/02/88
Abbott Laboratories.................... Methadone QC Primary NG, CO, PS Carboy: 20, 10L; Flask: 2/20/91
No. 9676 NG/CO/PS-QC. 6, 4, 2, 1L, 500, 250,
200, 100ml; Bottle: 950,
500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Methadone Stock Standard Code 1 L, 500 ml, 100 ml 9/02/88
No. 95720. Bottle.
Abbott Laboratories.................... Morphine Stock Standard, No. Vial: 125ml.............. 10/16/85
97291.
Abbott Laboratories.................... Morphine Stock Standard, No. Carboy: 20L, 10L Flask: 11/22/88
97291 A-B. 4L, 2L, 1L, 500 ml, 250
ml, 200 ml, 100 ml
Bottle: 950ml, 500ml,
100ml, 5ml.
Abbott Laboratories.................... Multiconstituent (9) QC Control Carboy: 50, 20, 10L; 7/02/91
H Cat. No. 92625. Flask: 6, 4, 2, 1L, 500,
250, 200, 100ml; Bottle:
950, 500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Multiconstituent (9) QC Control Carboy: 50, 20, 10L; 7/02/91
L Cat. No. 92623. Flask: 6, 4, 2, 1L, 500,
250, 200, 100ml; Bottle:
950, 500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Multiconstituent (9) QC Control Carboy: 50, 20, 10L; 7/02/91
M Cat. No. 92624. Flask: 6, 4, 2, 1L, 500,
250, 200, 100ml; Bottle:
950, 500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Multiconstituent Bulk Controls Carboy: 20L, 10L, Flask: 9/03/87
L, M, H (No. 9687-L, M, H). 10L, 6L, 4L, 2L, 1L,
250ml, 200ml.
Abbott Laboratories.................... Multiconstituent Control for Carboy: 20L, 10L, 19L, 10/06/89
Abused Drug Assays Bulk L, M, 9.5L, 6L, 4L, 1L, Flask:
H; No. 9687-L, M, H. 250ml, 200ml.
Abbott Laboratories.................... Multiconstituent Control for Vial: 5 ml............... 10/06/89
Abused Drug Assays L, M, H;
No. 9687-L, M, H.
Abbott Laboratories.................... Multiconstituent Control for Carboy: 10L, Flask: 4L, 10/06/89
Abused Drug Assays QC 2L, 1L, 500ml, 250ml,
Primaries L, M, H; No. 9687-L, 200ml, 100ml, Bottle:
H, H-QC.
FR Doc. 96-7385 Exempt Chemical Preparations
950ml, 500ml, 100ml, 5ml.
Abbott Laboratories.................... Nordiazepam Serum Bulk Stock Carboy: 10 liters; Flask: 5/02/88
Standard No. 94941. 6 liters, 2 liters, 1
liter.
Abbott Laboratories.................... Nordiazepam Serum Bulk Stock Carboy: 10 liter; Flask: 12/07/87
Standard: Code No. 94941. 6 liter, 2 liter.
Abbott Laboratories.................... Nordiazepam Serum Stock Carboy: 20L, 10L Flask: 11/22/88
Standard No. 94941, 94941 A, B. 4L, 2L, 1L, 500 ml, 250
ml, 200 ml, 100 ml
Bottle: 950 ml, 500 ml,
100 ml, 5 ml.
Abbott Laboratories.................... Nordiazepam Serum Stock Bottle: 125 ml........... 12/07/87
Standard: Code No. 94941.
Abbott Laboratories.................... Nordiazepam Serum Stock Bottle: 125 ml........... 5/02/88
Standard: No. 94941.
Abbott Laboratories.................... Nordiazepam Stock Standard No. Carboy: 20L, 10L Flask: 11/22/88
97757, 97757 A, B. 4L, 2L, 1L, 500 ml, 250
ml, 200 ml, 100 ml
Bottle: 950ml, 500ml,
100ml, 5ml.
Abbott Laboratories.................... Nordiazepam Stock Standard, No. Bottle: 125ml............ 4/21/86
97757.
Abbott Laboratories.................... Opiate Bulk Calibrators, B-F, Carboy: 50L, 45.5L, 20L, 5/07/86
No. 9673 B-F. 19L, 13.25L, 13L, 10L,
9.5L, 9L Flask: 6L, 4L,
2L, 1L, 250ml, 200ml.
[[Page 13697]]
Abbott Laboratories.................... Opiate Bulk Controls, L and H Carboy: 50L, 45.5L, 20L, 5/07/86
No. 9673 L and H. 19L, 13.25L, 13L, 10L,
9.5L, 9L Flask: 6L, 4L,
2L, 1L, 250ml, 200ml.
Abbott Laboratories.................... Opiates Bulk Controls, No. Carboy: 20L, 10L, Flask: 1/19/89
9673X, Y, Z. 6L, 2L, 1L, 250ml, 200ml.
Abbott Laboratories.................... Opiates Bulk Master Calibrator Carboys: 50, 45, 20, 10L; 5/10/95
W. Flasks: 6, 4, 2, 1L;
500, 250, 200, 125, 100,
50ml.
Abbott Laboratories.................... Opiates Bulk Tracer, No. 97458. Carboy: 50L, 45.5L, 20L, 5/07/86
19L, 13.25L, 13L, 10L,
9.5L, 9L Flask: 6L, 4L,
2L, 1L, 250ml, 200ml.
Abbott Laboratories.................... Opiates Bulk Tracer; Code # Sizes: 50, 45, 20, 10, 8, 6/02/94
3B25T. 6, 4, 2, 1L; 500, 250,
200, 125, 100, 50, 35,
30, 20, 15, 10, 5ml;
Ampules: 50, 20, 15, 10,
5, 2ml.
Abbott Laboratories.................... Opiates Control X, Y, Z; No. Vial: 5ml................ 1/19/89
9673X, Y, Z.
Abbott Laboratories.................... Opiates QC Primary (B-F, L, M, Carboy: 10L Flask: 4L, 11/22/88
H) QC No. 9673 (B-F, L, M, H) 2L, 1L, 500 ml, 250 ml,
QC. 200 ml, 100 ml Bottle:
5ml.
Abbott Laboratories.................... Opiates QC Primary 2-6 QT, NG, Carboy: 20, 10L; Flask: 2/20/91
CO, PS No. 9673 2-6 QT-QC & NG/ 6, 4, 2, 1L, 500, 250,
CO/PS-QC. 200, 100ml; Bottle: 950,
500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Opiates QC Primary 8QT No. 9673 Carboy: 20, 10L; Flask: 10/25/91
8QT-QC. 6, 4, 2, 1L, 500, 250,
200, 100ml; Bottle: 950,
500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Opiates QC Primary Bulk Control Flasks: 1 liter, 250 ml, 11/10/87
M, No. 9673-M. and 200 ml.
Abbott Laboratories.................... Opiates QC Primary Standard Bottle: 5 ml............. 11/10/87
Control M, No. 9673-M.
Abbott Laboratories.................... Opiates QC Primary X, No. 9673X- Carboy: 10L, Flask: 4L, 6/05/89
QC; Primary Y, No. 9673Y-QC; 2L, 1L, 500ml, 250ml,
PrimaryZ, No. 9673Z-QC. 200ml, 100ml, Bottle:
5ml.
Abbott Laboratories.................... Opiates Stock Tracer, No. 98718 Flasks: 6L, 4L, 2L, 1L, 5/07/86
500ml, 250ml, 200ml,
100ml; Bottles: 950ml,
500ml, 100ml, 50ml,
30ml, 5ml; Amp: 20, 10,
5, 2ml.
Abbott Laboratories.................... Phencyclidine Bulk Calibrator, Carboy: 50L, 45.5L, 20L, 3/21/86
B-F No. 9672 B-F. 13.25L, 13L, 10L, 9L
Flask: 6L, 4L, 2L, 1L,
250ml, 200ml.
Abbott Laboratories.................... Phencyclidine Bulk Control M, Carboy: 50L, 45.5L, 20L, 9/26/86
No. 9672 M. 13.25L, 13L, 10L, 9L
Flask: 6L, 4L, 2L, 1L,
250ml, 200ml.
Abbott Laboratories.................... Phencyclidine Bulk Controls, L Carboy: 50L, 45.5L, 20L, 3/21/86
and H No. 9672 L and H. 13.25L, 13L, 10L, 9L
Flask: 6L, 4L, 2L, 1L,
250ml, 200ml.
Abbott Laboratories.................... Phencyclidine Bulk Controls, Carboy: 20L, 10L, Flask: 1/19/89
No. 9672X, Y, Z. 6L, 2L, 1L, 250ml, 200ml.
Abbott Laboratories.................... Phencyclidine Bulk Master Carboys: 50, 45, 20, 10L; 6/12/95
Calibrator W, 3B26-W. Flasks: 6, 4, 2, 1L;
500, 250, 200, 125, 100,
50ml.
Abbott Laboratories.................... Phencyclidine Control X, Y, Z; Vial: 5ml................ 1/19/89
No. 9672X, Y, Z.
Abbott Laboratories.................... Phencyclidine QC Primary (B-F, Carboy: 10L Flask: 4L, 11/22/88
L, M, H) QC No. 9672 (B-F, L, 2L, 1L, 500 ml, 250 ml,
M, H) QC. 200 ml, 100 ml Bottle:
5ml.
Abbott Laboratories.................... Phencyclidine QC Primary 2-6 QT Carboy: 20, 10L; Flask: 2/20/91
NG, CO, PS No. 9672 2-6 QT-QC 6, 4, 2, 1L, 500, 250,
& NG/CO/PS-QC. 200, 100ml; Bottle: 950,
500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Phencyclidine QC Primary 8QT Carboy: 20, 10L; Flask: 10/25/91
No. 9672 8QT-QC. 6, 4, 2, 1L, 500, 250,
200, 100ml; Bottle: 950,
500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... Phencyclidine QC Primary X, No. Carboy: 10L, Flask: 4L, 6/05/89
9672X-QC; Primary Z, No. 9672Z- 2L, 1L, 500ml, 250ml,
QC. 200ml, 100ml, Bottle:
5ml.
[[Page 13698]]
Abbott Laboratories.................... Phencyclidine Stock Standard Carboy: 20L, 10L Flask: 11/22/88
No. 97158, 97158 A-B. 4L, 2L, 1L, 500 ml, 250
ml, 200 ml, 100 ml
Bottle: 950ml, 500ml,
100ml, 5ml.
Abbott Laboratories.................... Phencyclidine Stock Standard, Flask: 100ml, 200ml, 4/18/89
No. 95356. 250ml, 500ml, 1L, 2L,
4L, Bottle: 5ml, 100ml,
500ml, 950 ml, Carboys:
10L, 20L.
Abbott Laboratories.................... Phencyclidine Stock Standard, Bottle: 125ml............ 11/21/85
No. 97158.
Abbott Laboratories.................... Phenobarbital Bulk Calibrators Carboy: 50L, 45.5L, 19L, 6/16/88
No. 9500 B-F. 13.25L, 13L, 9.5L, 9L;
Flask: 6L, 4L, 2L, 1L,
250ml, 200ml.
Abbott Laboratories.................... Phenobarbital Bulk Controls No. Carboy: 50L, 45.5L, 19L, 6/16/88
9500 L, M, H. 13.25L, 13L, 9.5L, 9L;
Flask: 6L, 4L, 2L, 1L,
250ml, 200ml.
Abbott Laboratories.................... Phenobarbital Control L, Code # Vial: 10ml............... 1/25/94
7A70-L.
Abbott Laboratories.................... Phenobarbital Enzyme Inhibitor Vial: 2ml................ 1/20/84
Stock.
Abbott Laboratories.................... Phenobarbital QC Primary B-F, Carboy: 20, 10L; Flask: 1/04/91
L, M, H Item No. 9500B-F, L, 6, 4, 2, 1L, 500, 250,
M, H. 200, 100ml; Bottles:
950, 500, 100, 50, 5ml;
Ampules: 20, 10, 5, 2ml.
Abbott Laboratories.................... Phenobarbital Stock Solution 1 Plastic Bottle: 125 ml... 3/23/87
mg/ml Code No. 94312.
Abbott Laboratories.................... Phenobarbital Stock Solution 10 Plastic Bottle: 125 ml... 3/23/87
mg/ml Code No. 94313.
Abbott Laboratories.................... Phenobarbital Stock Standard Carboy: 50, 20, 10L; 1/04/91
500 ug/ml Item No. 99259. Flask: 6, 4, 2, 1L, 500,
250, 200, 100ml;
Bottles: 950, 500, 100,
50, 5ml; Ampules: 20,
10, 5, 2ml.
Abbott Laboratories.................... Phenobarbital Stock Standard Bottle: 1 liter.......... 8/12/82
Solution.
Abbott Laboratories.................... Polyethylene Glycol 8000, 16% Plastic Bottle: 300 ml, 9/21/77
Solution in 0.09 M Barbital 150 ml.
Buffer, No. 7541.
Abbott Laboratories.................... Polyethylene Glycol 8000, 18% Stainless Steel Tank: 3/09/88
Solution in 0.09M Barbital 1000 liters.
Buffer: No. 07602.
Abbott Laboratories.................... Progesterone Buffer No. 2242J.. Bottle: 30ml............. 3/11/92
Abbott Laboratories.................... Progesterone Buffer No. Box: 100 Bottles/30ml.... 3/11/92
2242J0001.
Abbott Laboratories.................... Progesterone Bulk Buffer No. Carboy: 50L, 25L, 20L, 5/11/92
12918. 19L, 15L, 13L, 10L, 9L;
Bottle: 950ml, 500ml,
100ml, 50ml, 30ml, 20ml;
Amp: 20ml, 10ml, 5ml,
2ml.
Abbott Laboratories.................... Progesterone Reagent Pack No. Kit: 4 Bottles........... 3/11/92
2242-20.
Abbott Laboratories.................... Propoxyphene Bulk Calibrator B- Carboys or Flasks: 50L, 11/30/90
F No. 9675 B-F. 45.5L, 20L, 19L, 13.25L,
13L, 10L, 9.5L, 9L, 6L,
4L, 2L, 1L, 250ml, 200ml.
Abbott Laboratories.................... Propoxyphene Bulk Control L, M, Carboys or Flasks: 50L, 11/30/90
H No. 9675 L, M, H. 45.5L, 20L, 19L, 13.25L,
13L, 10L, 9.5L, 9L, 6L,
4L, 2L, 1L, 250ml, 200ml.
Abbott Laboratories.................... Propoxyphene Bulk Tracer Item Carboys or Flasks: 50L, 11/30/90
No. 92003. 45.5L, 20L, 19L, 13.25L,
13L, 10L, 9.5L, 9L, 6L,
4L, 2L, 1L, 250ml, 200ml.
Abbott Laboratories.................... Propoxyphene Calibrators Item Kit: 5 vials............. 11/30/90
No. 9675-01.
Abbott Laboratories.................... Propoxyphene Calibrators Item Vial: 5ml................ 11/30/90
No. 9675B-F.
Abbott Laboratories.................... Propoxyphene Controls Item No. Kit: 3 vials............. 11/30/90
9675-10.
Abbott Laboratories.................... Propoxyphene Controls Item No. Vial: 5ml................ 11/30/90
9675L, M, H.
Abbott Laboratories.................... Propoxyphene QC Primary B-F, L, Carboy: 20, 10L Flasks: 11/30/90
M, H, Z Item No. 9675(B-F, L, 6, 4, 2, 1L, 500, 250,
M, H, Z)-QC. 200, 100ml Bottles: 950,
500, 100, 50, 5ml
Ampules: 20, 10, 5, 2ml.
Abbott Laboratories.................... Propoxyphene QC Primary NG, CO, Carboy: 20, 10L; Flask: 2/20/91
PS No. 9675 NG/CO/PS-QC. 6, 4, 2, 1L, 500, 250,
200, 100ml; Bottle:
950ml, 500, 100, 50,
5ml; Ampule: 20, 10, 5,
2ml.
Abbott Laboratories.................... Propoxyphene Stock Standard, Carboys: 20, 10L Flasks: 11/30/90
100 mcg/ml Item No. 92005. 6, 4, 2, 1L, 500, 250,
200, 100ml Bottles: 950,
500, 100, 50, 5ml
Ampules: 20, 10, 5, 2ml.
Abbott Laboratories.................... Propoxyphene Stock Tracer Item Bottle: 12ml............. 11/30/90
No. 92001.
Abbott Laboratories.................... Propoxyphene Tracer Item No. Bottles: 3.2ml, 5ml...... 11/30/90
9675-T.
[[Page 13699]]
Abbott Laboratories.................... Secobarbital Bulk Calibrator, B- Carboy: 20L, 10L, Flask: 3/21/86
F No. 9669. 6L, 4L, 2L, 1L, 250ml,
200ml.
Abbott Laboratories.................... Secobarbital Bulk Controls, L Carboy: 20L, 10L, Flask: 3/21/86
and H No. 9669. 6L, 4L, 2L, 1L, 250ml,
200ml.
Abbott Laboratories.................... Secobarbital Stock Standard Carboy: 20L, 10L, Flask: 1/03/89
1000mcg/ml-No. 90107, 500mcg/ 4L, 2L, 1L, 500ml,
ml-No. 90107A, 200mcg/ml-No. 250ml, 200ml, 100ml,
90107B. Bottle: 950ml, 500ml,
100ml, 5ml.
Abbott Laboratories.................... Secobarbital Stock Standard No. Carboy: 20L, 10L Flask: 11/22/88
97171, 97171 A, B. 4L, 2L, 1L, 500 ml, 250
ml, 200 ml, 100 ml
Bottle: 950 ml, 500 ml,
100 ml, 5 ml.
Abbott Laboratories.................... Secobarbital Stock Standard, Bottle: 125ml............ 11/21/85
No. 97171.
Abbott Laboratories.................... Spectrum Phenobarbital Bottle: 4ml.............. 10/03/85
Calibrator II-VI, Nos. 9755,
9757, 9759, 9761, 9763.
Abbott Laboratories.................... Spectrum Phenobarbital Control, Bottle: 4ml.............. 10/03/85
Nos. 9876, 9878, 9880. (L, M,
H).
Abbott Laboratories.................... TDx Amphetamine Class Kit containing 6 vials... 3/01/88
Calibrators 9667-01.
Abbott Laboratories.................... TDx Amphetamine Class Bottle: 5 ml............. 3/01/88
Calibrators B-F.
Abbott Laboratories.................... TDx Amphetamine Class Control L Bottle: 5 ml............. 3/01/88
and H.
Abbott Laboratories.................... TDx Amphetamine Class Controls Kit containing 2 vials... 3/01/88
9667-10.
Abbott Laboratories.................... TDx Amphetamine Class Reagent Kit containing 1 vial.... 3/01/88
Pack, No. 9667-60.
Abbott Laboratories.................... TDx Amphetamine Class Tracer Bottle: 5 ml............. 3/01/88
Solution, No. 9667T.
Abbott Laboratories.................... TDx Amphetamine/Methamphetamine Bottles: 4ml............. 8/23/85
Calibrator, No. 9668-01.
Abbott Laboratories.................... TDx Amphetamine/Methamphetamine Bottles: 4ml............. 8/23/85
Controls, No. 9668-10.
Abbott Laboratories.................... TDx Barbiturates Calibrators 5 ml Vial................ 7/01/88
No. 9669 B-F.
Abbott Laboratories.................... TDx Barbiturates Calibrators Kit: 5 Vials, 5 ml each.. 7/01/88
No. 9669-01.
Abbott Laboratories.................... TDx Barbiturates Calibrators, B- Bottle: 4 ml............. 10/08/85
F No. 9669.
Abbott Laboratories.................... TDx Barbiturates Control L, H 5 ml Vial................ 7/01/88
No. 9669 L, H.
Abbott Laboratories.................... TDx Barbiturates Control, L and Bottle: 4ml.............. 10/08/85
H No. 9669.
Abbott Laboratories.................... TDx Barbiturates Controls No. Kit: 2 Vials, 5 ml each.. 7/01/88
9669-10.
Abbott Laboratories.................... TDx Benzodiazepines Calibrator 5 ml Vial................ 7/18/88
No. 9674 B-F.
Abbott Laboratories.................... TDx Benzodiazepines Bottles: 4ml............. 4/21/86
Calibrators, No. 9674-01.
Abbott Laboratories.................... TDx Benzodiazepines Controls L, 5 ml Vial................ 7/18/88
H No. 9674 L, H.
Abbott Laboratories.................... TDx Benzodiazepines Controls L, Kit: 2 Vials, 5 ml each.. 7/18/88
H No. 9674-10.
Abbott Laboratories.................... TDx Benzodiazepines Controls, Bottles: 4ml............. 4/21/86
No. 9674-10.
Abbott Laboratories.................... TDx Benzodiazepines Serum Bottle: 4 ml............. 5/02/88
Calibrator No. 9682 B-F.
Abbott Laboratories.................... TDx Benzodiazepines Serum Bottle: 4ml, 5ml......... 12/07/88
Calibrators B-F: Code No. 9682
B-F.
Abbott Laboratories.................... TDx Benzodiazepines Serum Kit...................... 12/07/88
Calibrators: Code No. 9682-01.
Abbott Laboratories.................... TDx Benzodiazepines Serum Kit containing 6 vials... 5/02/88
Calibrators: No. 9682-01.
Abbott Laboratories.................... TDx Benzodiazepines Serum Bottle: 4 ml............. 12/07/87
Controls L, M, & H: No. 9682
L, M, H.
Abbott Laboratories.................... TDx Benzodiazepines Serum Bottle: 4 ml............. 5/02/88
Controls L, M, H: No. 9682 L,
M, H.
Abbott Laboratories.................... TDx Benzodiazepines Serum Kit...................... 12/07/88
Controls: Code No. 9682-10.
Abbott Laboratories.................... TDx Benzodiazepines Serum Kit containing 3 vials... 5/02/88
Controls: No. 9682-10.
Abbott Laboratories.................... TDx Cannabinoids Calibrators B- Bottles: 5 ml............ 10/24/86
F (No. 9671-01).
Abbott Laboratories.................... TDx Cannabinoids Controls L, M, Bottle: 5 ml............. 6/19/87
and H (9671-11).
Abbott Laboratories.................... TDx Cannabinoids Controls L, M, Bottles: 5 ml............ 10/24/86
H (No. 9671-10).
Abbott Laboratories.................... TDx Cannabinoids Fluorescein Bottle: 5 ml............. 10/27/86
Tracer Solution (No. 9671-T).
Abbott Laboratories.................... TDx Cannabinoids Reagent Pack 100 tests................ 10/27/86
(No. 9671-20).
Abbott Laboratories.................... TDx Cocaine Metabolite 5 ml Vial................ 7/07/88
Calibrator B-F No. 9670 B-F.
Abbott Laboratories.................... TDx Cocaine Metabolite Bottle: 4ml.............. 10/02/85
Calibrator, B-F No. 9670.
Abbott Laboratories.................... TDx Cocaine Metabolite Control 5 ml Vial................ 7/07/88
L, H No. 9670 L, H.
Abbott Laboratories.................... TDx Cocaine Metabolite Control, Bottle: 4ml.............. 10/02/85
L and H No. 9669.
Abbott Laboratories.................... TDx Cocaine Metabolite Controls Kit: 2 Vials, 5 ml each.. 7/07/88
No. 9670-10.
Abbott Laboratories.................... TDx Cocaine Metabolite Kit: 100 Vials, 5 ml Each 7/07/88
Fluorescein Tracer Solution
No. 9670 T0001.
Abbott Laboratories.................... TDx Cocaine Metabolite Box: 5 ml Vial........... 7/07/88
Fluorescein Tracer Solution
No. 9670-T.
Abbott Laboratories.................... TDx Cocaine Metabolite Reagent Reagent well: 5ml........ 10/02/85
Pack.
Abbott Laboratories.................... TDx Cocaine Metabolite Reagent Kit: 100 Tests........... 7/07/88
Pack No. 9670-20.
Abbott Laboratories.................... TDx Multiconstituent Controls Bottle: 5 ml............. 9/03/87
L, M, H (No. 9687-L, M, H).
Abbott Laboratories.................... TDx Opiates Calibrators B-F: Kit: 6 Vials............. 2/29/88
No. 9673-01.
Abbott Laboratories.................... TDx Opiates Calibrators, B-F 5 ml Vial................ 5/07/86
No. 9673.
Abbott Laboratories.................... TDx Opiates Controls L and H, Kit: 2 Vials............. 2/29/88
No. 9673-10.
Abbott Laboratories.................... TDx Opiates Controls L and H: Vial: 5 ml............... 2/29/88
No. 9673 L, H.
Abbott Laboratories.................... TDx Opiates Controls, L and H Vials: 5ml............... 5/07/86
No. 9673.
Abbott Laboratories.................... TDx Opiates Fluorescein Tracer Box: 10 Vials, 5 ml each. 7/08/88
Solution No. 9673 T0001.
Abbott Laboratories.................... TDx Opiates Fluorescein Tracer Vial: 5 ml............... 2/29/88
Solution: No. 9673-T.
Abbott Laboratories.................... TDx Opiates Reagent Pack No. Kit: 100 tests........... 5/07/86
9673-20, 100 tests.
[[Page 13700]]
Abbott Laboratories.................... TDx Phencyclidine Bulk 5 ml Vial................ 7/18/88
Calibrator B-F No. 9672 B-F.
Abbott Laboratories.................... TDx Phencyclidine Bulk Carboy: 9.5, 19 L........ 7/18/88
Calibrator B-F No. 9672 B-F.
Abbott Laboratories.................... TDx Phencyclidine Bulk Control Carboy: 9.5, 19 L........ 7/18/88
L, M, H No. 9672 L, M, H.
Abbott Laboratories.................... TDx Phencyclidine Calibrators, Bottle: 4ml.............. 10/09/85
B-F No. 9672.
Abbott Laboratories.................... TDx Phencyclidine Control M No. Bottle: 4ml.............. 9/26/86
9672.
Abbott Laboratories.................... TDx Phencyclidine Controls L, 5 ml Vial................ 7/18/88
M, H No. 9672 L, M, H.
Abbott Laboratories.................... TDx Phencyclidine Controls No. Kit: 3 Vials, 5 ml each.. 7/18/88
9672-10.
Abbott Laboratories.................... TDx Phencyclidine Controls, L Bottle: 4ml.............. 10/09/85
and H No. 9672.
Abbott Laboratories.................... TDx Phenobarbital Calibrator- Kit ctg: 6 vials......... 8/31/81
0.0, 5.0, 10.0, 20.0, 40.0,
and 80.0 mcg/ml.
Abbott Laboratories.................... TDx Phenobarbital Calibrators B- 5 ml Vial................ 6/16/88
F No. 9500 B-F.
Abbott Laboratories.................... TDx Phenobarbital Calibrators Kit: 6 Vials, 5 ml each.. 6/16/88
No. 9500-01 (9500 B-F).
Abbott Laboratories.................... TDx Phenobarbital Controls No. 5 ml Vial................ 6/16/88
9500 L, M, H.
Abbott Laboratories.................... TDx Phenobarbital Controls No. Kit: 3 Vials, 5 ml each.. 6/16/88
9500-10 (9500 L, M, H).
Abbott Laboratories.................... TDx Phenobarbital Controls- Kit ctg: 3 vials......... 8/31/81
15.0, 30.0, 50.0 mcg/ml.
Abbott Laboratories.................... TDx Propoxyphene Reagent Pack Kit: 100 tests........... 11/30/90
Item No. 9675-20.
Abbott Laboratories.................... TDx Systems Multiconstituent Kit: 6 Bottles........... 9/03/87
Controls for Abused Drug (No.
9687-10).
Abbott Laboratories.................... TDx or TDx/TDxFLx Propoxyphene Box: 100 bottles or less. 11/30/90
Fluorescein Tracer Solution
Item No. 9675T0001.
Abbott Laboratories.................... TDx, ADx Amphetamine Class Kit: 100 tests........... 3/01/88
Reagent Pack, No. 9667-20, No.
9667-55.
Abbott Laboratories.................... TDx/TDxFLx Propoxyphene Reagent Kit: 100 tests........... 11/30/90
Pack Item No. 9675-60.
Abbott Laboratories.................... Thyroxine Binding Globulin, Glass Bottle: 13ml. 4/22/76
Thyroxine I 125. Plastic Bottle: 250ml.
Abbott Laboratories.................... TrakPak Five Drug Control 2-6 Carboy: 20, 10L Flask: 6, 10/19/90
QT Nos. 92212-92216. 4, 2, 1L, 500, 250, 200,
100ml Bottle: 950, 500,
100, 50, 5ml Ampule: 20,
10, 5, 2ml.
Abbott Laboratories.................... TrakPak Five Drug Control 8QT Carboy: 20, 10L; FlaskL: 10/25/91
No. 93349. 6, 4, 2, 1L, 500, 250,
200, 100ml; Bottle: 950,
500, 100, 50, 5ml;
Ampule: 20, 10, 5, 2ml.
Abbott Laboratories.................... TrakPak Five Drug Control Stock Carboy: 20, 10L Flask: 6, 10/19/90
No. 92210. 4, 2, 1L, 500, 250, 200,
100ml Bottle: 950, 500,
100, 50, 5ml Ampule: 20,
10, 5, 2ml.
Abbott Laboratories.................... Trakpak Card w/Cover Code Box: 2000 cards w/cover.. 3/08/91
#01249.
Abbott Laboratories.................... Trakpak Card w/Tracers Code Box: 2000 cards.......... 3/08/91
#01248.
Abbott Laboratories.................... Trakpak Cocaine Tracer Code Flasks: 6, 4, 2, 1L, 500, 3/08/91
#92199. 250, 200, 100ml;
Bottles: 950, 500, 100,
50, 5ml; Ampules: 20,
10, 5, 2ml.
Abbott Laboratories.................... Trakpak Drug of Abuse Screening Kit: 40 cartridges....... 3/08/91
System (40 test kit) Code
#04A74.
Abbott Laboratories.................... Trakpak Negative Control Code Vial: 5ml................ 3/08/91
#04A74C.
Abbott Laboratories.................... Trakpak Opiates Tracer Code Flasks: 6, 4, 2, 1L, 500, 3/08/91
#92198. 250, 200, 100ml;
Bottles: 950, 5, 00,
100, 50, 5ml; Ampules:
20, 10, 5, 2ml.
Abbott Laboratories.................... Trakpak Reaction Cartridge Code Cartridge: 1 card........ 3/08/91
#04A74B.
Abbott Laboratories.................... Trakpak THC Tracer Code #92200. Flasks: 6, 4, 2, 1L, 500, 3/08/91
250, 200, 100ml;
Bottles: 950, 500, 100,
50, 5ml; Ampules: 20,
10, 5, 2ml.
Abbott Laboratories.................... X Systems Amphetamine/ Vial: 5 ml............... 7/14/89
Methamphetamine II Calibrator
B, C, D, E, F; No. 01A99-B, C,
D, E, F.
Abbott Laboratories.................... X Systems Amphetamine/ Kit: 6 vials............. 7/14/89
Methamphetamine II
Calibrators, No. 01A99-01.
Abbott Laboratories.................... X Systems Amphetamine/ Vial: 5 ml............... 7/14/89
Methamphetamine II Control L,
M, H; No. 01A99-L, M, H.
Abbott Laboratories.................... X Systems Amphetamine/ Kit: 3 vials............. 7/14/89
Methamphetamine II Controls,
No. 01A99-10.
Abbott Laboratories.................... X Systems Methadone Calibrators Bottle: 5ml.............. 5/15/92
B-F.
Abbott Laboratories.................... X Systems Methadone Calibrators Kit: 6 Bottles........... 5/12/92
B-F.
Abbott Laboratories.................... X Systems Methadone Controls L, Kit: 3 Bottles........... 5/15/92
M, H, No. 9676-10.
Abbott Laboratories.................... X Systems Methadone Controls L, Bottle: 5ml.............. 5/15/92
M, H; No. 9676 L, M, H.
Abbott Laboratories.................... XSYSTEMS Amphetamine/ Kit: 6 Vials............. 8/26/88
Methamphetamine II Calibrators
No. 1A99-06.
Abbott Laboratories.................... XSYSTEMS Barbiturates II U Kit: 6 vials............. 10/17/89
Calibrators , No. 9669-07.
Abbott Laboratories.................... XSYSTEMS Benzodiazepines Kit: 5 Vials, 5 ml each.. 7/18/88
Calibrators, No. 9674-02.
Abbott Laboratories.................... XSYSTEMS Cannabinoids Bottle: 5 ml............. 6/19/87
Calibrators, No. 9671-04.
[[Page 13701]]
Abbott Laboratories.................... XSYSTEMS Cocaine Metabolite Kit: 5 Vials, 5 ml each.. 7/07/88
Calibrators No. 9670-06.
Abbott Laboratories.................... XSYSTEMS Methadone Calibrators Kit: 6 Vials............. 9/02/88
No. 9676-02.
Abbott Laboratories.................... XSYSTEMS Multiconstituent Kit: 6 vials............. 10/06/89
Controls, No. 9687-12.
Abbott Laboratories.................... XSYSTEMS Opiates Calibrators, Vial: 5 ml............... 2/29/88
No. 9673-06.
Abbott Laboratories.................... XSYSTEMS Phencyclidine Kit: 5 Vials, 5 ml each.. 7/18/88
Calibrators, No. 9672-06.
Abbott Laboratories.................... d-Amphetamine (II) Bulk Stock 10 L Carboy; 6 L, 2 L, 1 8/26/88
Standard Code No. 95947. L Flask.
Abbott Laboratories.................... d-Amphetamine (II) Stock 1 L, 500 ml, 100 ml 8/26/88
Standard Code No. 95934. Bottle.
Abbott Laboratories.................... d-Amphetamine (II) Stock Carboy: 20L, 10L Flask: 11/22/88
Standard No. 95934, 95934 A-B. 4L, 2L, 1L, 500 ml, 250
ml, 200 ml, 100 ml
Bottle: 950ml, 500ml,
100ml, 5ml.
Adri/Technam........................... 3-Ortho-Carboxymethylmorphine.. Screw Cap Vial........... 5/03/73
Adri/Technam........................... 5-Ethyl-5-(1-Carboxy-n-propyl) Screw Cap Vial........... 5/03/73
Barbituric Acid.
Adri/Technam........................... 5-Ethyl-5-(1-Carboxy-n-propyl) Vaccine Vial: 10ml....... 5/03/73
Barbituric Acid-Bovine Serum
Albumin.
Adri/Technam........................... 5-Ethyl-5-(1-Carboxy-n-propyl) Vaccine Vial: 10ml....... 5/03/73
Barbituric Acid-Rabbit Serum
Albumin.
Adri/Technam........................... Barbiturate Standard........... Screw-cap vial: 10ml..... 7/17/76
Adri/Technam........................... Barbituric Acid Sensitized Red Vaccine Vial: 50ml....... 5/03/73
Blood Cells.
Adri/Technam........................... Benzoyl Ecgonine............... Screw-cap vial: 10ml..... 4/18/74
Adri/Technam........................... Benzoyl Ecgonine Sensitized Red Vaccine Vial: 50ml....... 5/03/73
Blood Cells.
Adri/Technam........................... Benzoyl Ecgonine Standard...... Screw-cap vial: 10ml..... 7/17/76
Adri/Technam........................... Benzoyl Ecgonine-BSA........... Vaccine Vial............. 7/21/75
Adri/Technam........................... Benzoyl Ecgonine-RSA........... Vaccine Vial............. 7/21/75
Adri/Technam........................... CMM-BSA and CMM-RSA Vaccine Vial: 10ml....... 5/03/73
(Carboxymethylmorphine Bovine
Serum Albumin or
Carboxymethylmorphine Rabbit
Serum Albumin).
Adri/Technam........................... Cannabuse Cannabidiol Standard. Disks: 25/package........ 5/03/85
Adri/Technam........................... Cannabuse Delta 8 THC Disks: 25/package........ 9/19/84
Carboxylic Acid Standard.
Adri/Technam........................... Cannabuse Delta 8 THC Vial: 6 ml............... 9/19/84
Carboxylic Acid Standard.
Adri/Technam........................... Cannabuse Delta 9 THC Vial: 6 ml............... 9/19/84
Carboxylic Acid Standard.
Adri/Technam........................... Cannabuse Delta 9 THC Disks: 25/package........ 9/19/84
Carboxylic Acid Standard.
Adri/Technam........................... Cannabuse Delta 9 THC Standard. Disks: 25/package........ 9/19/84
Adri/Technam........................... Cannabuse Delta 9 THC Standard. Vial: 6 ml............... 9/19/84
Adri/Technam........................... Drug Standards, Acid/Neutral Disks: 25/package........ 11/15/85
Mixture A and B.
Adri/Technam........................... Drug Standards, Basic Mixture A Disks: 25/package........ 11/15/85
and B.
Adri/Technam........................... Methadone Standard............. Screw-cap vial: 10ml..... 7/17/76
Adri/Technam........................... Morphine Sensitized Red Blood Vaccine Vial: 50ml....... 5/03/73
Cells.
Adri/Technam........................... Morphine Standard (in distilled Screw-cap vial: 10ml..... 7/17/77
water).
Adri/Technam........................... Tropinecarboxylic Acid Screw-cap Bottle: 10ml... 5/03/73
(ecgonine).
Alltech-Applied Science Laboratories... (D)-Norpseudoephedrine HCL..... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... 4-Chlorotestosterone........... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... 4-Methylaminorex............... Vial: 1 ml............... 6/16/89
Alltech-Applied Science Laboratories... 6-Acetylcodeine................ Vial: 1 ml............... 6/16/89
Alltech-Applied Science Laboratories... 6-Monoacetylmorphine HCl....... Vial: 1 ml............... 3/30/88
Alltech-Applied Science Laboratories... Allylisobutylbarbituric Acid... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Alphaprodine HCL............... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Alphenal....................... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Alprazolam..................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Amobarbital.................... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Amphetamine HCL................ Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Antidepressants Mix............ Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Aprobarbital................... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Barbital....................... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Barbiturates, Mixture 4........ Vial: 10ml............... 10/04/72
[[Page 13702]]
Alltech-Applied Science Laboratories... Benzoylecgonine Tetrahydrate... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Benzoylecgonine Tetrahydrate Amber Ampoule: 1ml....... 2/16/90
7.5ug, 50ug, 250ug.
Alltech-Applied Science Laboratories... Benzphetamine HCL.............. Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Boldenone...................... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Bromazepam..................... Vial: 1 ml............... 6/16/89
Alltech-Applied Science Laboratories... Butabarbital................... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Butethal....................... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Cannabidiol.................... Vial: 1 ml............... 3/30/88
Alltech-Applied Science Laboratories... Cannabinol..................... Vial: 1 ml............... 3/30/88
Alltech-Applied Science Laboratories... Chloral Hydrate................ Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Chlordiazepoxide HCL........... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Clonazepam..................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Clorazepate Dipotassium........ Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Clostebol...................... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Cocaethylene................... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Cocaine........................ Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Codeine........................ Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Cyclopentobarbital............. Vial: 1 ml............... 6/16/89
Alltech-Applied Science Laboratories... Delta-8-Tetrahydro-cannabinol.. Vial: 1 ml............... 3/30/88
Alltech-Applied Science Laboratories... Delta-9-Tetrahydrocannabinol... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Depressants, Mixture 3......... Vial: 10ml............... 10/04/72
Alltech-Applied Science Laboratories... Dextropropoxyphene HCL......... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Diacetylmorphine HCL........... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Diallybarbituric acid.......... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Diazepam....................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Diethylpropion HCL............. Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Dihydrocodeine................. Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Dimethyltryptamine............. Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Drostanolone................... Ampule: 2ml.............. 9/26/05
Alltech-Applied Science Laboratories... Drug Mix Four.................. Ampoule: 1 ml............ 11/03/86
Alltech-Applied Science Laboratories... Drug Mix One................... Ampoule: 1 ml............ 10/21/86
Alltech-Applied Science Laboratories... Drug Mix Three................. Ampoule: 1 ml............ 11/03/86
Alltech-Applied Science Laboratories... Drug Mix Two................... Ampoule: 1 ml............ 10/21/86
Alltech-Applied Science Laboratories... Ecgonine HCL................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Ecgonine Methyl Ester HCl...... Vial: 1 ml............... 3/30/88
Alltech-Applied Science Laboratories... Ethchlorvynol.................. Vial: 1ml................ 1/24/73
[[Page 13703]]
Alltech-Applied Science Laboratories... Ethinamate..................... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Ethylmorphine HCL.............. Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Fenfluramine HCL............... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Fentanyl....................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Flunitrazepam.................. Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Fluoxymesterone................ Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Flurazepam HCL................. Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... GC/MS Benzoylecgonine Kit: 3 vials............. 2/16/90
Calibration Standards Kit.
Alltech-Applied Science Laboratories... Glutethimide................... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Halazepam...................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Hexobarbital................... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Hydrocodone Bitartrate......... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Hydromorphone HCL.............. Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... L-Amphetamine HCl.............. Vial: 1 ml............... 6/16/89
Alltech-Applied Science Laboratories... L-Methamphetamine HCl.......... Vial: 1 ml............... 6/16/89
Alltech-Applied Science Laboratories... Levorphanol Tartrate........... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Lorazepam...................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Lysergic Acid.................. Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Lysergic Acid Diethylamide..... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Lysergic Acid N-(methylpropyl) Vial: 1ml................ 4/16/85
amide.
Alltech-Applied Science Laboratories... MDA HCl........................ Vial: 1 ml............... 3/30/88
Alltech-Applied Science Laboratories... MDE HCl........................ Vial: 1 ml............... 6/16/89
Alltech-Applied Science Laboratories... MDMA HCl....................... Vial: 1 ml............... 3/30/88
Alltech-Applied Science Laboratories... Medazepam...................... Vial: 1 ml............... 6/16/89
Alltech-Applied Science Laboratories... Meperidine HCL................. Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Mephobarbital.................. Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Meprobamate.................... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Mescaline...................... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Mesterolone.................... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Methadone HCL.................. Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Methamphetamine HCL............ Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Methandriol.................... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Methandrostenolone............. Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Methaqualone HCL............... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Metharbital.................... Vial: 1 ml............... 6/16/89
Alltech-Applied Science Laboratories... Methcathinone.................. Ampule: 2ml.............. 9/26/95
[[Page 13704]]
Alltech-Applied Science Laboratories... Methenolone.................... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Methohexital................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Methylphenidate................ Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Methyltestosterone............. Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Methyprylon.................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Mixture 1-Opiates.............. Vial: 1ml................ 10/04/72
Alltech-Applied Science Laboratories... Mixture 2-Stimulants........... Vial: 1ml................ 10/04/72
Alltech-Applied Science Laboratories... Mixture 3-Depressants.......... Vial: 1ml................ 10/04/72
Alltech-Applied Science Laboratories... Mixture 4-Barbiturates......... Vial: 1ml................ 10/04/72
Alltech-Applied Science Laboratories... Mixture 5-Kit of Vial: 1ml................ 10/04/72
Representatives.
Alltech-Applied Science Laboratories... Morphine....................... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... N-Ethylamphetamine............. Amber Ampoule: 1ml....... 2/16/90
Alltech-Applied Science Laboratories... N-Hydroxy-MDA.................. Amber Ampoule: 1ml....... 2/16/90
Alltech-Applied Science Laboratories... Nalorphine..................... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Nandrolone..................... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Nitrazepam..................... Vial: 1 ml............... 3/30/88
Alltech-Applied Science Laboratories... Norcocaine..................... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Norcodeine HCL................. Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Nordiazepam.................... Vial: 1 ml............... 3/30/88
Alltech-Applied Science Laboratories... Norethandrolone................ Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Normeperidine HCL.............. Vial: 1 ml............... 6/16/89
Alltech-Applied Science Laboratories... Normorphine.................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Opiates Mix #2................. Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Opiates, Mixture 1............. Vial: 10ml............... 10/04/72
Alltech-Applied Science Laboratories... Oxandrolone.................... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Oxazepam....................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Oxycodone HCL.................. Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Oxymesterone................... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Oxymetholone................... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Oxymorphone.................... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Oxymorphone HCL................ Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Paraldehyde.................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Pemoline....................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Pentazocine.................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Pentazocine HBr................ Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Pentobarbital.................. Vial: 1ml................ 1/24/73
[[Page 13705]]
Alltech-Applied Science Laboratories... Phencyclidine HCL.............. Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Phendimetrazine Bitartrate..... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Phenmetrazine HCl.............. Amber Ampoule: 1ml....... 2/16/90
Alltech-Applied Science Laboratories... Phenobarbital.................. Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Phentermine.................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Prazepam....................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Propylbenzoyl-ecgonine......... Vial: 1 ml............... 3/30/88
FR Doc. 96-7385 Exempt Chemical Preparations
Alltech-Applied Science Laboratories... Psilocybin..................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Psilocyn....................... Vial: 1 ml............... 11/06/87
Alltech-Applied Science Laboratories... Secobarbital................... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Spot Chek Test Mix 1-A-PPS..... Ampule: 2ml.............. 12/19/95
Alltech-Applied Science Laboratories... Spot Chek Test Mix 1A-M........ Ampule: 2ml.............. 12/19/95
Alltech-Applied Science Laboratories... Spot Chek Test Mix 1B-1........ Ampule: 2ml.............. 12/19/95
Alltech-Applied Science Laboratories... Spot Chek Test Mix 1B-2........ Ampule: 2ml.............. 12/19/95
Alltech-Applied Science Laboratories... Spot Chek Test Mix 1B-3........ Ampule: 2ml.............. 12/19/95
Alltech-Applied Science Laboratories... Spot Chek Test Mix 2A-A........ Ampule: 2ml.............. 12/19/95
Alltech-Applied Science Laboratories... Spot Chek Test Mix 2A-N........ Ampule: 2ml.............. 12/19/95
Alltech-Applied Science Laboratories... Spot Chek Test Mix 2B-B........ Ampule: 2ml.............. 12/19/95
Alltech-Applied Science Laboratories... Spot Chek Test Mix 2C-C........ Ampule: 2ml.............. 12/19/95
Alltech-Applied Science Laboratories... Stanolone...................... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Stanolone Valerate............. Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Stanolzolol.................... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Stimulants, Mixture 2.......... Vial: 10ml............... 10/04/72
Alltech-Applied Science Laboratories... Talbutal....................... Vial: 1 ml............... 6/16/89
Alltech-Applied Science Laboratories... Temazepam...................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... Testosterone................... Ampule: 2ml.............. 9/26/95
Alltech-Applied Science Laboratories... Thebaine....................... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Thiamylal...................... Vial: 1ml................ 1/24/73
Alltech-Applied Science Laboratories... Thiopental..................... Vial: 1 ml............... 6/16/89
Alltech-Applied Science Laboratories... Toxi Clean Test Mix............ Vial: 1 ml............... 3/30/88
Alltech-Applied Science Laboratories... Triazolam...................... Vial: 1ml................ 4/16/85
Alltech-Applied Science Laboratories... d3-Benzoylecgonine Tetrahydrate Amber Ampoule: 5ml....... 2/16/90
American Biological Technologies, Inc.. Dade Urine Chemistry Control, Glass Vial: 15ml......... 4/08/91
Level I & II.
American Monitor Corporation........... Qualify I...................... Glass Vial: 10ml......... 10/09/75
American Monitor Corporation........... Qualify II..................... Glass Vial: 10ml......... 10/09/75
Amerscham Corporation.................. [N-Methyl-3H]Lysergic Acid Vial: 5-7ml.............. 10/11/95
Diethylamide.
Amersham Corporation................... 5 Alpha-Dihydro[1, 2, 4, 5, 6, Vial: 6ml................ 4/02/91
7-3H]Testosterone Cat. No.
TRK.443.
[[Page 13706]]
Amersham Corporation................... 5 alpha-Dihydro[1 alpha, 2 Vial: 6ml................ 4/02/91
alpha(n)-3H] Testosterone Cat.
No. TRK.395.
Amersham Corporation................... 5 alpha-dihydro[1, 2, 4, 5, 6, Vial: 1ml................ 4/11/91
7-3H] Testosterone Reagent 4 T/
DHT RIA Kit.
Amersham Corporation................... Amerlex T-3 RIA Kit, IM 2000, Kit: 50 tests, 100 tests, 2/18/80
IM 2001, IM 2004. 400 tests.
Amersham Corporation................... Amerlex T-4 RIA Kit, IM 2010, Kit: 50 tests, 100 tests, 2/06/80
IM 2011, IM 2014. 400 tests.
Amersham Corporation................... Amerlex-M B-hCG Kit: 100 tests, 400 tests 6/19/85
Radioimmunoassay Kit IM 3091,
IM 3094.
Amersham Corporation................... Amerlex-M T3 RIA Kit, 1M.3001, Kit: 100 Tests 400 Tests. 8/27/86
1M.3004.
Amersham Corporation................... Amerlex-M T4 RIA Kit, 1M.3011, Kit: 100 Tests 400 Tests. 8/27/86
1M.3014.
Amersham Corporation................... Amerlite FSH Assay, Cat. Code Glass vial: 5.8ml, 5/30/89
LAN.0077, Cat. Code LAN.2077. 38.1ml, 240 tests, 144
tests.
Amersham Corporation................... Amerlite Rubella Antibody Glass vial: 5.8ml, 5/30/89
Assay, Cat. Code LAN.0200, 38.1ml, 240 tests, 144
Cat. Code LAN.2200. tests.
Amersham Corporation................... Amerlite TSH Assay, Cat. Code Glass vial: 5.8ml, 240 5/30/89
LAN.0001, Cat. Code LAN.2001. tests, 144 tests.
Amersham Corporation................... Amerlite TT3 Assay: Catalog Kit: 144 tests, 240 11/24/87
Code Lan. 0003, Lan. 1003, and tests, 480 tests.
Lan.2003.
Amersham Corporation................... Amerlite TT4 Assay: Catalog Kit: 144 tests, 240 11/24/87
Code Lan. 0002, Lan. 1002, tests, 480 tests.
Lan. 2002.
Amersham Corporation................... Codeine (N-methyl-C14) Custom Preparation....... 3/27/72
Hydrochloride.
Amersham Corporation................... Dihydrotestosterone Standard Vial: 5.5ml.............. 4/11/91
Reagnet 3 T/DHT RIA Kit.
Amersham Corporation................... Morphine (N-methyl-C14) Vial: 0.32 to 1.89mg..... 3/27/72
Hydrocloride No. CFA-363.
Amersham Corporation................... Pheno [2-14C] barbital Catalog Vial: 0.39 to 5.85mg..... 11/05/74
No. CFA 537.
Amersham Corporation................... Prolactin RIA Kit, IM 1060, Kit: 50 tests, 100 tests. 3/28/80
1061.
Amersham Corporation................... T-3 Uptake (MAA) Kit-IM 1020, Kit: 50 tests, 100 tests, 2/05/79
IM 1021, IM 1024. 400 tests.
Amersham Corporation................... Testosterone Standard Reagent 2 Vial: 5.5ml.............. 4/11/91
T/DHT RIA Kit.
Amersham Corporation................... Testosterone-3-(0- Vial: 1.2ml.............. 4/02/91
carboxymethyl)oximino-(2-
[125I] iodohistamine)10uCi,
25uCi Cat. No. IM.128.
Amersham Corporation................... Testosterone/ Kit: 200 assays.......... 4/11/91
dihydrotestosterone [3H] assay
system Cat. No. TRK-600.
Amersham Corporation................... [1(N)-3H] Hydromorphone TRQ Vial: 47.5-95 micrograms. 7/31/87
4729.
Amersham Corporation................... [1(n)-3H] Codeine, No. TRK 448. Ampule: 0.002mg to 2/26/74
0.015mg.
Amersham Corporation................... [1(n)-3H] Morphine, No. TRK-447 Vial: 0.002 mg to 0.015 2/26/74
mg.
Amersham Corporation................... [1, 2, 6, 7-3H] Testosterone Vial: 6ml................ 4/02/91
Cat. No. TRK.402.
Amersham Corporation................... [1, 7, 8(n)-3H]Dihydromorphine, Vial: 0.0008 mg to 0.008 2/26/74
No. TRK-450. mg.
Amersham Corporation................... [15, 16(n)-3H] Etorphine, Vial: 3.45 to 6.9 11/19/74
Catalog No. TRK 476. micrograms.
Amersham Corporation................... [15, 16(n)-3H] Etorphine Vial: 13.8 to 27.6 2/17/75
Catalog No. TRK 476. micrograms.
Amersham Corporation................... [17 alpha-methyl-3H] Mibolerone Vial: 6ml................ 4/02/91
Cat. No. TRK.764.
Amersham Corporation................... [2(n)-3H] Lysergic Acid Vial: 0.003mg to 0.04mg.. 5/22/74
Diethylamide, No. TRK. 461.
Amersham Corporation................... [2-14C] Diazepam Catalog No. Multidose Glass Vial: 9/28/77
CFA.591. 56mm x 25mm.
Amersham Corporation................... [3H]11-Ketotestosterone Cat. Vial: 5.7ml.............. 6/13/91
No. TRQ.5919.
Amersham Corporation................... [4-14C] Testosterone 50uCi, Vial: 6ml................ 4/02/91
250uCi Cat. No. CFA.129.
Amersham Corporation................... [N-methyl-3H] Diazepam Catalog Multidose Glass Vial: 9/28/77
Code: TRK.572. 56mm x 25mm.
Amersham Life Science.................. [125I] Iodo-Lysergic Acid Vial: 1.2ml.............. 11/22/95
Diethylamide.
Analytical Control Systems, Inc........ Benchmark I TDM Control 1L, 2M, Plastic Vial: 5ml per 10/02/91
3H. Vial; 1-120 Vials per
Bag.
Armed Forces Institute of Pathology.... 11-nor-9-carboxy-delta 8-THC in Glass Ampule: 1mg/ml, 1/25/82
Ethanol Ampules. 1ml, 5ml, 10ml.
Astral Medical Systems................. Barbital Buffer................ Plastic bag: 12.2g/bag... 5/01/85
Astral Medical Systems................. Barbital Lactate Buffer........ Plastic bag: 18g/bag..... 5/01/85
Astral Medical Systems................. Isoenzyme Buffer............... Plastic bag: 14g/bag..... 5/01/85
Astral Medical Systems................. Tris-Barbital Sodium Barbital Plastic bag: 18g/bag..... 5/01/85
Buffer.
Atochem North America, Inc............. M&T NiproTeq SB Additive....... Polypropylene Containers: 3/10/88
5 gallons, 55 gallons.
BHP Diagnostix, Inc.................... Kallestad TDM Multi-Calibrator- Kit: 7-3 ml Vials; 3 ml 8/18/88
Pilot Lot B-G. Vial.
BHP Diagnostix, Inc.................... Kallestad TDM Multi-Calibrator- 3ml, 6ml, 10ml, 30ml, 8/18/88
Pilot-Lot Phenobarbital. 50ml Vial.
BHP Diagnostix, Inc.................... Kodak Ektachem-DT Calibrator... Bottle: 6ml.............. 1/05/85
Baxter Diagnostics Inc................. Dade Moni-Trol Gold, Level 1X Kit: 55 Vials............ 8/31/94
Chemistry Control and
Carbonate Diluent 1.
Baxter Diagnostics Inc................. Dade Moni-Trol Gold, Level 1X Bottle: 18ml............. 8/31/94
and Level 2X Chemistry
Controls.
Baxter Diagnostics Inc................. Dade Moni-Trol Gold, Level 2X Kit: 55 Vials............ 8/31/94
Chemistry Control and
Carbonate Diluent 2.
Baxter Diagnostics Inc................. EXCEL-QC Level 1 Serum Bottle: 18ml............. 8/4/93
Chemistry Control.
Baxter Diagnostics Inc................. EXCEL-QC Level 1 and Level 2 Kit: 12 Bottles.......... 8/4/93
Serum Chemistry Control and
Carbonate Diluent 1 and 2.
[[Page 13707]]
Baxter Diagnostics Inc................. EXCEL-QC Level 2 Serum Bottle: 18ml............. 8/4/93
Chemistry Control.
Baxter Diagnostics Inc................. Paramax Phenobarbital Kit: 6 Glass Bottles; 6ml 7/7/93
Calibrator I, II, III, Cat. # each.
B-6109-11.
Baxter Diagnostics Inc................. Paramax Phenobarbital Glass Bottle: 6ml........ 7/7/93
Calibrator Level II.
Baxter Diagnostics Inc................. Paramax Phenobarbital Glass Bottle: 6ml........ 7/07/93
Calibrator Level III.
Bayer Corporation...................... Estradiol Antibody Conjugate R1 Bulk..................... 8/16/95
Bayer Corporation...................... Technicon Immuno 1 Estradiol Kit: 1 Cassette.......... 8/16/95
Reagents Kit No. T01-3595-51.
Beckman Instruments, Inc............... ARRAY 360 System: Drug Bottle: 3ml.............. 3/13/95
Calibrator.
Beckman Instruments, Inc............... ARRAY 360 System: Drug Control Bottle: 1ml.............. 3/13/95
Kit.
Beckman Instruments, Inc............... Beckman Buffer B-2............. Packet: 18.16 g.......... 4/24/71
Beckman Instruments, Inc............... Beckman ICS Drug Calibrators A, Vials: 5ml............... 10/29/80
B, C, D, and E.
Beckman Instruments, Inc............... Beckman ICS Drug Control Sera.. Kit containing: 6-1ml 11/11/80
bottles.
Beckman Instruments, Inc............... Beckman ICS Phenobarbital Vial: 5ml................ 10/29/80
Conjugate.
Beckman Instruments, Inc............... Beckman LD Buffer.............. Bottle: 14.3 grams....... 7/31/86
Beckman Instruments, Inc............... Beckman LD Buffer.............. Bottle: 14.3 grams....... 7/31/86
Beckman Instruments, Inc............... IFE Gel........................ Foil Packet: 1 Gel; Box: 1/22/96
10 Gels.
Beckman Instruments, Inc............... LD Gel......................... Foil Pack: 1 Gel; Box: 10 1/22/96
Gels.
Beckman Instruments, Inc............... Paragon Electrophoresis System: Plastic Tray: 3.5ml, Box: 5/19/89
Alkaline Phosphatase Isoenzyme 10 trays, Kit: 10 trays.
Electrophoresis (Isopal) Kit.
Beckman Instruments, Inc............... Paragon Electrophoresis System: Plastic Tray: 3.5ml, Box: 5/19/89
High Resolution 10 trays, Kit: 10 trays.
Electrophoresis (HRE) Kit.
Beckman Instruments, Inc............... Paragon Electrophoresis System: Plastic Tray: 3.5ml, Box: 5/19/89
Immunoelectrophoresis (IEP) 10 trays, Kit: 10 trays.
Kit.
Beckman Instruments, Inc............... Paragon Electrophoresis System: Plastic Tray: 3.5ml...... 7/31/86
Immunofixation Electrophoresis
(IFE) Kit.
Beckman Instruments, Inc............... Paragon Electrophoresis System: Plastic Tray: 3.5ml...... 7/31/86
Lactate Dehydrogenase
Isoenzyme Electrophoresis (LD)
Kit.
Beckman Instruments, Inc............... Paragon Electrophoresis System: Plastic Tray: 3.5 ml, 5/19/89
Lipoprotein Electrophoresis Box: 10 trays, Kit: 10
(LIPO) Kit. trays.
Beckman Instruments, Inc............... Paragon Electrophoresis System: Plastic Tray: 3.5ml...... 7/31/86
Protein Electrophoresis (SPE-
II) Kit.
Beckman Instruments, Inc............... Paragon Electrophoresis System: Plastic Tray: 3.5ml, Box: 5/19/89
Serum Protein Electrophoresis 10 trays, Kit: 10 trays.
(SPE) Kit.
Beckman Instruments, Inc............... SPE Gel........................ Foil Pack: 1 Gel; Box: 10 1/22/96
Gels.
Beckman Instruments, Inc............... Synchron CX Systems: CX Cartridge: 150 Tests..... 3/13/95
Amphetamines Reagent Kit.
Beckman Instruments, Inc............... Synchron CX Systems: CX Cartridge: 150 Tests..... 3/13/95
Barbiturates Reagent Kit.
Beckman Instruments, Inc............... Synchron CX Systems: CX Cartridge: 150 Tests..... 3/13/95
Benzodiazepine Reagent Kit.
Beckman Instruments, Inc............... Synchron CX Systems: CX Cartridge: 150 Tests..... 3/13/95
Cannabinoid 50ng and
Cannabinoid 100ng Reagent Kits.
Beckman Instruments, Inc............... Synchron CX Systems: CX DAT Bottle: 5ml.............. 3/13/95
High Urine Calibrator I.
Beckman Instruments, Inc............... Synchron CX Systems: CX DAT Bottle: 5ml.............. 3/13/95
High Urine Calibrator II.
Beckman Instruments, Inc............... Synchron CX Systems: CX DAT Bottle: 5ml.............. 3/13/95
High Urine Control I.
Beckman Instruments, Inc............... Synchron CX Systems: CX DAT Bottle: 5ml.............. 3/13/95
High Urine Control II.
Beckman Instruments, Inc............... Synchron CX Systems: CX DAT Low Bottle: 5ml.............. 3/13/95
Urine Calibrator I.
Beckman Instruments, Inc............... Synchron CX Systems: CX DAT Low Bottle: 5ml.............. 3/13/95
Urine Calibrator II.
Beckman Instruments, Inc............... Synchron CX Systems: CX DAT Low Bottle: 5ml.............. 3/13/95
Urine Control I.
Beckman Instruments, Inc............... Synchron CX Systems: CX DAT Low Bottle: 5ml.............. 3/13/95
Urine Control II.
Beckman Instruments, Inc............... Synchron CX Systems: CX Opiate Cartridge: 150 Tests..... 3/13/95
Reagent Kit.
Beckman Instruments, Inc............... Synchron CX Systems: CX Cartridge: 150 Tests..... 3/13/95
Phencyclidine Reagent Kit.
Beckman Instruments, Inc............... Synchron CX Systems: CX THC Bottle: 5ml.............. 3/13/95
Urine 20ng/ml, 75ng/ml, 125ng/
ml Controls.
Beckman Instruments, Inc............... Synchron CX Systems: CX THC Bottle: 5ml.............. 3/13/95
Urine 50ng/ml, 100ng/ml, 200ng/
ml Calibrators.
Beckman Instruments, Inc............... Synchron CX Systems: Cocaine Cartridge: 150 Tests..... 3/13/95
Metabolite Reagent Kit.
Beckman Instruments, Inc............... Synchron CX Systems: Methadone Cartridge: 150 Tests..... 3/13/95
Reagent Kit.
Beckman Instruments, Inc............... Synchron Control: Multilevel Plastic Bottle: 20ml; 5/13/91
Comprehensive Chemistry Kit: 6 bottles.
Control Serum Levels I, II,
III.
Beckman Instruments, Inc............... Triad LINK Comprehensive Custom Plastic Bottle: 20ml; 5/13/91
Unassayed Chemistry Control Box: 20 Bottles.
Serum Levels I, II, III.
Beckman Instruments, Inc............... Triad NYSPATH Comprehensive Plastic Bottle: 20ml; Box 5/13/91
Custom Unassayed Chemistry 20 Bottles.
Control Serum Levels I, II,
III.
Beckman Instruments, Inc............... Vigil PRx Multilevel Protein/ Plastic Bottle: 10ml; 5/13/91
Drug Control Serum Levels I, Kit: 6 Bottles.
II, III.
Becton Dickinson & Company............. IQ Immunochemistry System, Kit: 25 tests............ 6/30/87
Thyroid Stimulating Hormone
Catalog No. 3010.
Becton Dickinson & Company............. Neonatal T4 Tracer, Catalog Bottle: 125ml............ 1/15/92
#264015.
Becton Dickinson & Company............. T3 Tracer Solution Catalog No. Bottle: 125ml............ 9/27/78
237728.
Becton Dickinson & Company............. TSH [125I] Tracer, Catalog No. Clear vial: 10ml......... 9/04/86
259624.
Behring Diagnostics.................... IEP Buffer, 793001 pH 8.2...... Foil Pouch: 6.5 g........ 9/17/79
Behring Diagnostics.................... Immuno-tec II Agarose Plate, Foil Pouch: ``5.35'' x 9/17/79
839013, 850013. ``5.25''.
Behring Diagnostics Inc................ Emit 5B3 THC; Calibrators; 0, Vial: 10ml............... 12/14/95
50, 100, 200ng/ml.
[[Page 13708]]
Behring Diagnostics Inc................ Emit II 5B3 THC Assay.......... Kit: 2 Vials, 500ml each. 12/14/94
Bio-Metric Systems, Incorporated....... Cocaine-Enzyme Conjugate....... Vial: 250ml, 100ml, 50ml. 7/07/92
Bio-Metric Systems, Incorporated....... Cocaine-ImmunoPrime Modified Vial: 50ml, 10ml......... 7/07/92
Carrier.
Bio-Metric Systems, Incorporated....... Morphine-Enzyme Conjugate...... Vial: 250ml, 100ml, 50ml. 7/07/92
Bio-Metric Systems, Incorporated....... Morphine-ImmunoPrime Modified Vial: 50ml, 10ml......... 7/07/92
Carrier.
Bio-Metric Systems, Incorporated....... Phencyclidine-Enzyme Conjugate. Vial: 250ml, 100ml, 50ml. 7/07/92
Bio-Metric Systems, Incorporated....... Phencyclidine-ImmunoPrime Vial: 50ml, 10ml......... 7/07/92
Modified Carrier.
Bio-Metric Systems, Incorporated....... Tetrahydrocannabinol-Enzyme Vial: 250ml, 100ml, 50ml. 7/07/92
Conjugate.
Bio-Metric Systems, Incorporated....... Tetrahydrocannabinol- Vial: 50ml, 10ml......... 7/07/92
ImmunoPrime Carrier.
Bio-Rad Laboratories................... Benzodiazepines/Tricyclic Kit: 100 tests........... 2/08/90
Antidepressants by HPLC.
Bio-Rad Laboratories................... CoTube Estradiol Tracer........ Glass Bottle: 125ml...... 7/28/93
Bio-Rad Laboratories................... Dade Urine Chemistry Control Vial: 20 ml, 50 ml....... 1/05/88
Levels I AND II.
Bio-Rad Laboratories................... Dade Urine Toxiology Control... Vial: 50 ml.............. 1/05/88
Bio-Rad Laboratories................... Internal Standard.............. Amber vial: 30ml Flask: 2/08/90
200ml-2000ml.
Bio-Rad Laboratories................... Methadone/Methadone Metabolite 400 tests................ 9/17/90
Reagent Kit.
Bio-Rad Laboratories................... Quantaphase Thyroxine RIA-125I Plastic bottle: 60ml, 5/06/81
Tracer/Dissociating Reagent. 260ml.
Bio-Rad Laboratories................... Quantaphase Thyroxine RIA- Plastic bottle: 60ml, 5/06/81
Thyroxine Immunobeads. 260ml.
Bio-Rad Laboratories................... Quantimune Barbital Buffer..... Plastic Bottle: 1000ml, 5/31/78
250ml, 200ml.
Bio-Rad Laboratories................... Quantimune Radioimmunoassay T-4 Vial: 10 ml.............. 7/21/76
Tracer, Iodine-125.
Bio-Rad Laboratories................... Quantimune T-3 RIA Barbital Bottle: 220ml............ 9/24/82
Buffer.
Bio-Rad Laboratories................... Quantimune T-3 RIA Test Kit.... Kit: 500 tests, 100 tests 5/31/78
Bio-Rad Laboratories................... Quantimune T-4 RIA Kit......... Kit: 500 tests........... 7/01/77
Bio-Rad Laboratories................... Quantimune T-4 RIA Test Kit.... Kit: 5000 tests, 100 5/31/78
tests.
Bio-Rad Laboratories................... Quantimune Thyroxine Plastic Bottle with Screw 7/01/77
Radioimmunoassay Barbital cap: 1 liter.
Buffer.
Bio-Rad Laboratories................... Quantimune Thyroxine Glass Serum Vial: 10 ml.. 7/01/77
Radioimmunoassay T-4 125I
Tracer/Dissociating Agent.
Bio-Rad Laboratories................... REMEDI DPS Check Mix........... Vial: 20ml, Flask: 1L-10L 9/17/90
Bio-Rad Laboratories................... REMEDI DPS Internal Standard Vial: 20ml, Flask: 250ml- 9/17/90
Combination. 6000ml.
Bio-Rad Laboratories................... REMEDI DPS Internal Standard Vial: 20ml, Flask: 250ml- 9/17/90
One. 2500ml.
Bio-Rad Laboratories................... REMEDI DPS Internal Standard Vial: 20ml, Flask: 250ml- 9/17/90
Two. 5000ml.
Bio-Rad Laboratories................... REMEDI DPS Urine Calibrator.... Vial: 20ml, Flask: 1L-10L 9/17/90
Bio-Rad Laboratories................... Serum Calibrator 1............. Amber vial: 20ml 2/08/90
Polypropylene container:
20L.
Bio-Rad Laboratories................... Serum Calibrator 2............. Amber vial: 20ml 2/08/90
Polypropylene container:
20L.
Bio-Rad Laboratories................... Serum Calibrator for Box: 2 vials............. 2/08/90
Benzodiazepines/Tricyclics,
Contains 2.
Bio-Rad Laboratories................... T-4 Competitive Binding Bottle: 385 ml........... 7/21/76
Reagent, Iodine-125.
Bio-Rad Laboratories, (Chemical Barbital Buffer................ Vial: 10ml............... 7/21/76
Division).
Bio-Rad Laboratories, (Chemical Barbital Buffer Powder......... Plastic bottle: 250 ml... 9/09/77
Division).
Bio-Rad Laboratories, (Chemical Barbital Buffer Powder......... Plastic bottle: 250ml.... 7/21/76
Division).
Bio-Rad Laboratories, (Chemical Barbital Buffer-Dry Pack....... Packages: 9.11 g., 18.21 5/09/74
Division). g., 12.14 g.
Bio-Rad Laboratories, (Chemical Bio-Rad Electrophoresis Buffer. Bottle: 500ml............ 12/14/72
Division).
Bio-Rad Laboratories, (Chemical Electrophoresis Buffer, Dry- Package: 6.15 g.......... 12/14/72
Division). Pack.
Bio-Rad Laboratories, (Chemical Immunoelectrophoresis Barbital Dry-pack: 25.6 g......... 8/06/75
Division). Buffer I, pH 8.6.
Bio-Rad Laboratories, (Chemical Immunoelectrophoresis Barbital Dry-pack: 15.61 g........ 8/06/75
Division). Buffer II, pH 8.6.
Bio-Rad Laboratories, (Chemical Immunoelectrophoresis Barbital Dry-pack: 6.82 g......... 1/22/76
Division). Buffer III, pH 8.6.
Bio-Rad Laboratories, (Chemical Immunoelectrophoresis Barbital Dry-pack: 15.07 g........ 8/06/75
Division). Buffer III-a, pH 8.8.
[[Page 13709]]
Bio-Rad Laboratories, (Chemical Reagent No. 3.................. Bottle: 165 ml........... 12/14/72
Division).
Bio-Rad Laboratories, (Clinical Benzodiazepines/Tricyclics/ Polypropylene Container: 3/28/91
Division). Plasma Catecholamines (BZ/TCA/ 15L - 100L.
pCats) Serum Calibrators Bulk
Preparations.
Bio-Rad Laboratories, (Clinical Plasma Catecholamines by HPLC, Kit: 100 Test............ 3/28/91
Division). 100 Test.
Bio-Rad Laboratories, (Clinical Plasma Catecholamines by HPLC, Vial: 20 ml; Set: 6 vials 3/28/91
Division). Serum Calibrator Set, 1x6
vials.
Bio-Rad Laboratories, (ECS Division)... Benzo/TCA Control Levels I & II Vial: 10ml Box: 6 vials.. 3/20/91
Bio-Rad Laboratories, (ECS Division)... Blind Performance Specimen Set Kit: 5 bottles........... 9/14/90
Cat. #610.
Bio-Rad Laboratories, (ECS Division)... LYPHOCHEK Assayed Chemistry Vials: 10 ml each........ 4/13/88
Control Serum (Human) Levels I
and II.
Bio-Rad Laboratories, (ECS Division)... LYPHOCHEK Immunoassay Plus Vial: 10ml; Kit: 12 vials 9/14/90
Control Serum Levels 1-3.
Bio-Rad Laboratories, (ECS Division)... LYPHOCHEK Urine Toxicology Box: 10 vials; Vial: 50ml 9/14/91
Control-Confirm.
Bio-Rad Laboratories, (ECS Division)... LYPHOCHEK Urine Toxicology Vials: 20 ml each........ 4/13/88
Control-Law.
Bio-Rad Laboratories, (ECS Division)... LYPHOCHEK Urine Toxicology Box: 10 vials; Vial: 20ml 9/14/90
Control-Screen.
Bio-Rad Laboratories, (ECS Division)... Liquichek Therapeutic Drug Vial: 10ml............... 6/01/94
Monitoring Control (TDM),
Levels 1, 2, 3.
Bio-Rad Laboratories, (ECS Division)... Liquichek Unassayed Chemistry Vial: 20ml............... 6/01/94
Control (Human) Levels 1, 2.
Bio-Rad Laboratories, (ECS Division)... Lyphochek Immunoassay Control Vial: 10 ml.............. 9/24/87
Levels I, II, III.
Bio-Rad Laboratories, (ECS Division)... Lyphochek Quantitative Urine Vial: 20 ml, 50 ml....... 9/24/87
Control Levels I and II.
Bio-Rad Laboratories, (ECS Division)... Lyphochek Therapeutic Drug Vial: 10ml............... 8/20/84
Monitoring Control (TDM),
Levels I, II, III.
Bio-Rad Laboratories, (ECS Division)... Lyphochek Unassayed Chemistry Vial: 20 ml.............. 9/24/87
Control (Bovine) Levels I, II.
Bio-Rad Laboratories, (ECS Division)... Lyphochek Unassayed Chemistry Vial: 20ml............... 9/24/87
Control (Human) Levels I, II.
Bio-Rad Laboratories, (ECS Division)... Lyphochek Urine Toxicology Vial: 20ml............... 6/01/94
Screen-Low Control.
Bio-Rad Laboratories, (ECS Division)... Lypochek Fertility Control Vial: 10ml............... 6/01/94
Serum (Human) Levels 1, 2, 3.
Bio-Rad Laboratories, (ECS Division)... Positive for Amphetamines...... Bottle: 90ml............. 9/14/90
Bio-Rad Laboratories, (ECS Division)... Positive for Cocaine........... Bottle: 90ml............. 9/14/90
Bio-Rad Laboratories, (ECS Division)... Positive for Marihuana......... Bottle: 90ml............. 9/14/90
Bio-Rad Laboratories, (ECS Division)... Positive for Opiates........... Bottle: 90ml............. 9/14/90
Bio-Rad Laboratories, (ECS Division)... Positive for Phencyclidine..... Bottle: 90ml............. 9/14/90
Bio-Rad Laboratories, (ECS Division)... Urine Toxicology Control No. C- Amber Vial: 50ml......... 9/19/79
470-25.
Biochemical Diagnostics, Inc........... (DL) Methadone................. Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... (DL)-9-Carboxy-11-nor-Delta-9- Vial: 1ml; 200ml (In- 12/22/95
THC. house).
Biochemical Diagnostics, Inc........... Alprazolam..................... Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Amobarbital.................... Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Benzoylecgonine................ Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Butalbital..................... Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Chlordiazepoxide............... Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Codeine........................ Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... D-Amphetamine.................. Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... D-Methamphetamine.............. Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... D-Propoxyphene................. Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Detectabuse GC/MS Liquid Bottle: 50ml............. 10/31/95
Control Urine.
Biochemical Diagnostics, Inc........... Detectabuse Immunoassay Liquid Bottle: 20ml............. 10/31/95
Control Urine, Series I.
Biochemical Diagnostics, Inc........... Detectabuse Immunoassay Liquid Bulk: Up to 100L......... 1/02/96
Control Urine, Series I, II,
II, IV, V.
Biochemical Diagnostics, Inc........... Detectabuse Immunoassay Liquid Bottle: 20ml............. 10/31/95
Control Urine, Series II.
Biochemical Diagnostics, Inc........... Detectabuse Immunoassay Liquid Bottle: 20ml............. 10/31/95
Control Urine, Series III.
Biochemical Diagnostics, Inc........... Detectabuse Immunoassay Liquid Bottle: 20ml............. 10/31/95
Control Urine, Series IV.
Biochemical Diagnostics, Inc........... Detectabuse Immunoassay Liquid Bottle: 20ml............. 10/31/95
Control Urine, Series V.
Biochemical Diagnostics, Inc........... Diazepam....................... Vial: 1ml; 200ml (In- 12/22/95
house).
[[Page 13710]]
Biochemical Diagnostics, Inc........... Hydrocodone Bitartrate......... Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... LSD 25ug/ml.................... Vial: 1ml................ 12/22/95
Biochemical Diagnostics, Inc........... Meperidine..................... Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Methaqualone................... Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Morphine....................... Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Morphine-6-Glucuronide......... Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Nordiazepam.................... Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Oxazepam....................... Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Oxycodone...................... Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Oxymorphone.................... Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Pentobarbital.................. Vial: 1ml; 200 ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Phencyclidine.................. Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Phenobarbital.................. Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Phentermine.................... Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Secobarbital................... Vial: 1ml; 200ml (In- 12/22/95
house).
Biochemical Diagnostics, Inc........... Triazolam...................... Vial: 1ml; 200ml (In- 12/22/95
house).
Biodiagnostic International............ Liqui-Ura Toxic Control........ Vial: 5ml................ 3/11/85
Biopool International.................. Drugs of Abuse Controls GC/MS L- Kit: 6 Vials............. 1/04/94
2, L-3 and L-4.
Biopool International.................. Drugs of Abuse Controls GC/MS L- Vial: 12ml............... 1/04/94
2, L-3 and L-4.
Biopool International.................. Drugs of Abuse Controls L-2, L- Kit: 6 Vials............. 1/04/94
3 and L-4.
Biopool International.................. Drugs of Abuse Controls L-2, L- Vial: 12ml............... 1/04/94
3 and L-4.
Bioscientific Corp..................... ECA Buffer, Catalog No. ECA Plastic Packet: 18.0 g., 7/14/77
05805. 10 packets per box.
Bioscientific Corp/ECA................. Agarose Barbital Buffer CSB Vial: 7 drams............ 11/15/90
470182.
Bioscientific Corp/ECA................. Agarose Barbital Buffer ECA Vial: 12 drams; Box: 3 11/15/90
470182. vials.
Bioscientific Corp/ECA................. Agarose Barbital-EDTA Buffer Vial: 12 drams, Box: 3 11/15/90
ECA 470180. vials.
Bioscientific Corp/ECA................. ECA Buffer ECA 0320024......... Vial: 12 drams, Box: 12 11/15/90
vials.
Bioscientific Corp/ECA................. General Procedure Agarose Film Plastic Tray 4.5''x5'', 9/10/90
#ECA 470100. Kit: 10 trays.
Bioscientific Corp/ECA................. LD Agarose Gel #CSB 102........ Plastic Tray: 3''x5'', 9/10/90
Kit: 10 trays.
Bioscientific Corp/ECA................. Protein Agarose Gel #PSB 103... Plastic Tray 3''x5'', 9/10/90
Kit: 10 trays.
Biosite Diagnostics.................... Alprazolam Stock Solution, Vial: 2ml................ 5/26/92
31366.
Biosite Diagnostics.................... Alprazolam Threshold Control Flask: 250ml............. 5/26/92
Calibrators 2-6; 31446-31450.
Biosite Diagnostics.................... Amphetamine Enzyme Conjugate Vial: 100ml, 1.5ml....... 10/24/90
31111, Bulk Formulation.
Biosite Diagnostics.................... Amphetamine QC Control......... Vial: 5ml................ 10/29/91
Biosite Diagnostics.................... Amphetamine QC Control (Bulk).. Bottle: 0.5L-10L......... 10/29/91
Biosite Diagnostics.................... Barbiturate Conjugate.......... Plastic Bottles: 2ml-60 11/30/90
ml.
Biosite Diagnostics.................... Barbiturate Conjugate Control.. Vial: 0.5, 1, 2, 5, 15, 3/28/94
50ml.
Biosite Diagnostics.................... Barbiturate Derivative......... Vial: 8, 16, 32 ml....... 11/30/90
Biosite Diagnostics.................... Barbiturate Enzyme Conjugate Vial: 100ml, 1.5ml....... 10/24/90
31110, Bulk Formulation.
Biosite Diagnostics.................... Barbiturate QC Control......... Vial: 5ml................ 10/29/91
Biosite Diagnostics.................... Barbiturate QC Control (Bulk).. Bottle: 5L-10L........... 10/29/91
Biosite Diagnostics.................... Barbiturate Threshold Control Flask: 250ml............. 5/26/92
Calibrators 2-6; 31356-31360.
Biosite Diagnostics.................... Benzodiazepine Controls, 1-6 Vial: 50ml, 1.5ml........ 10/24/91
31088-31093, 7-11 31098-31102,
Bulk Formulation.
Biosite Diagnostics.................... Benzodiazepine QC Control 3.... Vial: 5ml................ 10/29/91
Biosite Diagnostics.................... Benzodiazepines QC Control 1... Vial: 5ml................ 10/29/91
Biosite Diagnostics.................... Benzodiazepines QC Control 1 Bottle: 0.5L-10L......... 10/29/91
(Bulk).
Biosite Diagnostics.................... Benzodiazepines QC Control 2... Vial: 5ml................ 10/29/91
Biosite Diagnostics.................... Benzodiazepines QC Control 2 Bottle: 0.5L-10L......... 10/29/91
(Bulk).
Biosite Diagnostics.................... Benzodiazepines QC Control 3 Bottle: 0.5L-10L......... 10/29/91
(Bulk).
Biosite Diagnostics.................... Benzoylecgonine Conjugate...... Plastic Bottles: 2ml-60 11/30/90
ml.
Biosite Diagnostics.................... Benzoylecgonine Conjugate II, Vial: 1.5ml.............. 3/14/91
III, IV, & V.
Biosite Diagnostics.................... Benzoylecgonine Conjugate II, Bottle: 5, 15, 30 & 60 ml 3/14/91
III, IV, & V Bulk.
Biosite Diagnostics.................... Benzoylecgonine Controls, 1-5 Vial: 50ml, 1.5ml........ 10/24/90
31041-31045, Bulk Formulation.
Biosite Diagnostics.................... Benzoylecgonine Enzyme Vial: 100ml, 1.5ml....... 10/24/90
Conjugate 31105, Bulk
Formulation.
Biosite Diagnostics.................... Benzoylecgonine Enzyme Vial: 1.5ml.............. 3/14/91
Conjugate II.
Biosite Diagnostics.................... Benzoylecgonine Standards, 1-6 Vial: 50ml, 1.5ml........ 10/24/90
31035-31040, Bulk Formulation.
Biosite Diagnostics.................... Benzoylecgonine Stock Solution. Vial: 3ml................ 6/01/95
Biosite Diagnostics.................... Benzoylecgonine Stock Solution, Vial: 2ml................ 5/26/92
31322.
Biosite Diagnostics.................... Benzoylecgonine Stock Solution, Bottle: 15-100ml......... 6/01/95
Bulk.
Biosite Diagnostics.................... Benzoylecgonine Threshold Flask: 250ml............. 5/26/92
Control Calibrators 2-6; 31341-
31345.
Biosite Diagnostics.................... Cocaine QC Control............. Vial: 5ml................ 10/29/91
Biosite Diagnostics.................... Cocaine QC Control (Bulk)...... Bottle: 0.5L-10L......... 10/29/91
Biosite Diagnostics.................... Conjugate (Intermediate)....... Vial: 2, 5, 15, 50, 60, 3/28/94
100, 250, 500, 1000,
2000ml.
[[Page 13711]]
Biosite Diagnostics.................... Conjugate Bead, Intervention... Bottle: 15, 50, 100, 250, 11/09/93
500, 1000, 2000ml.
Biosite Diagnostics.................... Conjugate Bead, TCA............ Bottle: 15, 50, 100, 250, 11/09/93
500, 1000, 2000ml.
Biosite Diagnostics.................... Conjugate Beads (Bulk)......... Bottles: 15, 50, 100, 11/30/90
250, 500, 1000, 2000ml.
Biosite Diagnostics.................... Conjugate Beads Triage MTD..... Vial: 15, 50, 100, 250, 3/28/94
500, 1000, 2000ml.
Biosite Diagnostics.................... Conjugate Beads Triage and MTD. Vial: 15, 50, 100, 250, 3/28/94
500, 1000, 2000ml.
Biosite Diagnostics.................... D-Amphetamine Stock Solution, Vial: 2ml................ 5/26/92
31323.
Biosite Diagnostics.................... D-Amphetamine Threshold Control Flask: 250ml............. 5/26/92
Calibrator, 31376.
Biosite Diagnostics.................... D-Methamphetamine Stock Vial: 2ml................ 5/26/92
Solution, 31324.
Biosite Diagnostics.................... D-Methamphetamine Threshold Flask: 250 ml............ 5/26/92
Control Calibrator, 31381.
Biosite Diagnostics.................... Drugs of Abuse Controls-Level Pack: 6 Vials; 5ml/vial.. 12/14/94
2, Positive.
Biosite Diagnostics.................... Drugs of Abuse Controls-Level Pack: 6 Vials; 5ml/vial.. 12/14/94
3, Hi-Positive.
Biosite Diagnostics.................... Estazolam TTC Stock Solution... Vial: 1ml................ 11/09/93
Biosite Diagnostics.................... Estazolam Threshold Control Vial: .25-1ml............ 11/09/93
Calibrators 2-6.
Biosite Diagnostics.................... Estazolam Threshold Control Vial: 5-20ml............. 11/09/93
Calibrators 2-6 Bulk
Formulation.
Biosite Diagnostics.................... Flurazepam Enzyme Conjugate Vial: 100ml, 1.5ml....... 10/24/90
31109, Bulk Formulation.
Biosite Diagnostics.................... Flurazepam Standards, 1-7 31081- Vial: 50ml, 1.5ml........ 10/24/90
31087, Bulk Formulation.
Biosite Diagnostics.................... Intervention Bead Solution..... Vial: 2, 5, 15, 50, 100, 3/28/94
250, 500ml.
Biosite Diagnostics.................... Intervention Conjugate (Bulk).. Bottled/Flask: .1L-4L.... 11/09/93
Biosite Diagnostics.................... Labeled Benzoylecgonine Plastic Bottles: 0.5, 1, 11/30/90
Conjugate. 2 & 5 L.
Biosite Diagnostics.................... Labeled Conjugate Mixture 13... Vial: 2, 5, 15, 50, 100, 3/28/94
250, 500ml.
Biosite Diagnostics.................... Labeled Conjugate Mixture 2.... Plastic Bottles: 10ml-1L. 11/30/90
Biosite Diagnostics.................... Labeled Conjugate Mixture 5.... Bottles: 2, 5, 15, 50, 10/29/91
100, 250, 500ml.
Biosite Diagnostics.................... Labeled Conjugate Mixture 7.... Bottle: 20L, 10L, 5L, 1L. 12/22/92
Biosite Diagnostics.................... Labeled Conjugate Mixture 9.... Plastic Bottles: 0.5, 1, 11/30/90
2 & 5 L.
Biosite Diagnostics.................... Labeled Morphine Conjugate..... Plastic Bottles: 0.5, 1, 11/30/90
2 & 5 L.
Biosite Diagnostics.................... Labeled TCA Conjugate.......... Bottled/Flask: 2, 5, 15, 11/09/93
50, 60, 100, 250, 260,
500, 1000, 2000ml.
Biosite Diagnostics.................... Labeled THC Conjugate.......... Plastic Bottles: 10ml-1L. 11/30/90
Biosite Diagnostics.................... Labeled THC Conjugate (Mixture Flask: 500, 250, 100, 50, 3/28/94
13). 15, 5, 2ml.
Biosite Diagnostics.................... Labeled THC Conjugate Mixture 4 Bottles: 2, 5, 15, 50, 10/29/91
100, 250, 500ml.
Biosite Diagnostics.................... Labeled Triage MTD Conjugate Vial: 2, 5, 15, 50, 60, 3/28/94
(Bulk). 100, 250, 260, 500ml.
Biosite Diagnostics.................... Lorazepam Enzyme Conjugate Vial: 100ml, 1.5ml....... 10/24/90
31108, Bulk Formulation.
Biosite Diagnostics.................... Lorazepam Standards, 1-4 31094- Vial: 50ml, 1.5ml........ 10/24/90
31097, Bulk Formulation.
Biosite Diagnostics.................... Lormetazepam Stock Solution.... Vial: 1ml................ 11/09/93
Biosite Diagnostics.................... Methadone Control.............. Vial: 2ml................ 12/22/92
Biosite Diagnostics.................... Methadone Standards 1-6........ Vial: 2ml, 50ml.......... 12/22/92
Biosite Diagnostics.................... Methadone Stock Solution....... Vial: 2ml, 50ml.......... 12/22/92
Biosite Diagnostics.................... Methamphetamine Enzyme Vial: 100ml, 1.5ml....... 10/24/90
Conjugate 31104, Bulk
Formulation.
Biosite Diagnostics.................... Methamphetamine QC Control..... Vial: 5ml................ 10/29/91
Biosite Diagnostics.................... Methamphetamine QC Control Bottle: 5L-10L........... 10/29/91
(Bulk).
Biosite Diagnostics.................... Morphine Conjugate............. Plastic Bottles: 2ml-60 11/30/90
ml.
Biosite Diagnostics.................... Morphine Control 3............. Vial: 2ml, 50ml.......... 12/22/92
Biosite Diagnostics.................... Morphine Controls, 1-5 31076- Vial: 50ml, 1.5ml........ 10/24/90
31080, Bulk Formulation.
Biosite Diagnostics.................... Morphine Enzyme Conjugate Vial: 100ml, 1.5ml....... 10/24/90
31107, Bulk Formulation.
Biosite Diagnostics.................... Morphine Standard 6, 31220 Bulk Vial: 1.5ml, 5-20ml; 3/14/91
Formulation. Flask: 20-50ml.
Biosite Diagnostics.................... Morphine Standards, 1-5 31071- Vial: 50ml, 1.5ml........ 10/24/90
31075, Bulk Formulation.
Biosite Diagnostics.................... Morphine Stock Solution, 31325. Vial: 2ml................ 5/26/92
Biosite Diagnostics.................... Opiate QC Control.............. Vial: 5ml................ 10/29/91
Biosite Diagnostics.................... Opiate QC Control (Bulk)....... Bottle: 05.L-10L......... 10/29/91
Biosite Diagnostics.................... Opiate Threshold Control Flask: 250ml............. 5/26/92
Calibrators 2-6; 31346-31350.
Biosite Diagnostics.................... PCP QC Control................. Vial: 5ml................ 10/29/91
Biosite Diagnostics.................... PCP QC Control (Bulk).......... Bottle: 0.5L-10L......... 10/29/91
Biosite Diagnostics.................... Phencyclidine Control 7 Bulk Vial: 5-20ml............. 11/09/93
Formulation.
Biosite Diagnostics.................... Phencyclidine Controls 5-6, Vial: 1.5ml, 5-20ml; 3/14/91
31255-31256 Bulk Formulation. Flask: 20-50ml.
Biosite Diagnostics.................... Phencyclidine Controls, 1-4 Vial: 50ml, 1.5ml........ 10/24/90
31010-31013, Bulk Formulation.
Biosite Diagnostics.................... Phencyclidine Enzyme Conjugate Vial: 100ml, 1.5ml....... 10/24/90
31103, Bulk Formulation.
[[Page 13712]]
Biosite Diagnostics.................... Phencyclidine Standard 7....... Vial: .25-1ml............ 11/09/93
Biosite Diagnostics.................... Phencyclidine Standards 1-4 Vial: 5
FR Doc. 96-7385 Exempt Chemical Preparations
0ml, 1.5ml........ 10/24/90
31006-31009, Bulk Formulation.
Biosite Diagnostics.................... Phencyclidine Standards 5-6, Vial: 1.5ml, 5-20 ml; 3/14/91
31253-31254 Bulk Formulation. Flask: 20-50ml.
Biosite Diagnostics.................... Phencyclidine Stock Solution, Vial: 2ml................ 5/26/92
31321.
Biosite Diagnostics.................... Phencyclidine Threshold Control Flask: 250ml............. 5/26/92
Calibrators 2-6; 31366-31370.
Biosite Diagnostics.................... Phenobarbital Controls, 1-8 Vial: 50ml, 1.5ml........ 10/24/90
31063-31070, Bulk Formulation.
Biosite Diagnostics.................... Phenobarbital Standards, 1-8 Vial: 50ml, 1.5ml........ 10/24/90
31055-31062, Bulk Formulation.
Biosite Diagnostics.................... RT-5 Drugs of Abuse, Positive.. Pack: 6 Vials; 5ml/vial.. 12/14/94
Biosite Diagnostics.................... Secobarbital Stock Solution, Vial: 2ml................ 5/26/92
31326.
Biosite Diagnostics.................... THC Conjugate.................. Plastic Bottles: 2ml-60 11/30/90
ml.
Biosite Diagnostics.................... THC Conjugate Control.......... Vial: 0.5, 1, 2, 5, 15, 3/28/94
50ml.
Biosite Diagnostics.................... THC Controls, 1-3 31052-31054, Vial: 50ml, 1.5ml........ 10/24/90
Bulk Formulation.
Biosite Diagnostics.................... THC Enzyme Conjugate 31106, Vial: 100ml, 1.5ml....... 10/24/90
Bulk Formulation.
Biosite Diagnostics.................... THC QC Control................. Vial: 5ml................ 10/29/91
Biosite Diagnostics.................... THC QC Control (Bulk).......... Bottle: 0.5L-10L......... 10/29/91
Biosite Diagnostics.................... THC Standards, 1-6 31046-31051, Vial: 50ml, 1.5ml........ 10/24/90
Bulk Formulation.
Biosite Diagnostics.................... THC Standards, 7-9............. Vial: .25-1ml............ 11/09/93
Biosite Diagnostics.................... THC Standards, 7-9 Bulk Vial: 5-20ml............. 11/09/93
Formulation.
Biosite Diagnostics.................... THC Threshold Control Flask: 250ml............. 5/26/92
Calibrators 2-6 31371-31375.
Biosite Diagnostics.................... Temazepam Stock Solution, 31337 Vial: 2ml................ 5/26/92
Biosite Diagnostics.................... Temazepam Threshold Control Flask: 250ml............. 5/26/92
Calibrators 2-6 31451-31455.
Biosite Diagnostics.................... Threshold Control A & B........ Vial: 5ml................ 10/29/91
Biosite Diagnostics.................... Threshold Control A & B (Bulk). Bottle: 1L-20L........... 10/29/91
Biosite Diagnostics.................... Threshold Control F-1.......... Vial: 3.5-5ml............ 6/01/96
Biosite Diagnostics.................... Threshold Control F-1, Bulk Bottle: .05-5L........... 6/01/95
Solution.
Biosite Diagnostics.................... Threshold Controls C, D, E, F, Vial: 3.5-5ml............ 11/09/93
G, H.
Biosite Diagnostics.................... Thresholds C, D, E, F, G, H Bottle: 1-5ml............ 11/09/93
Bulk Solution.
Biosite Diagnostics.................... Triage 6 Panel for Drugs of Box: 10, 25 cassettes.... 10/05/92
Abuse.
Biosite Diagnostics.................... Triage 7 Conjugate............. Vial: 2, 5, 15, 50, 60, 3/28/94
100, 250, 260, 500ml.
Biosite Diagnostics.................... Triage 8 Panel for Drugs of Box: 3, 10, 25 Cassettes. 3/23/94
Abuse.
Biosite Diagnostics.................... Triage 8 Panel for Drugs of Box: 3, 10, 25 Cassettes. 3/28/94
Abuse.
Biosite Diagnostics.................... Triage 8 Panel for Drugs of Pouch: 1 Cassette........ 3/28/94
Abuse.
Biosite Diagnostics.................... Triage DOA Demo Control........ Vial: 5ml................ 10/29/91
Biosite Diagnostics.................... Triage DOA Demo Control (Bulk). Bottle: 0.5L-10L......... 10/29/91
Biosite Diagnostics.................... Triage Drug Screen Control..... Vial: 5ml................ 10/29/91
Biosite Diagnostics.................... Triage Drug Screen Control Bottle: 0.5-20L.......... 10/29/91
(Bulk).
Biosite Diagnostics.................... Triage Intervention Panel for Box: 10, 25 Pouches...... 11/09/93
Drugs of Abuse.
Biosite Diagnostics.................... Triage Intervention Test Device Pouch: 1 each............ 11/09/93
Biosite Diagnostics.................... Triage Panel for Drugs of Abuse Box: 10, 25 cassettes.... 11/30/90
Biosite Diagnostics.................... Triage Panel for Drugs of Abuse Box: 10, 25 Pouches...... 11/09/93
Plus Tricyclic Antidepressants.
Biosite Diagnostics.................... Triage Panel for Drugs of Abuse Box; 3, 10, 25 Cassettes. 3/23/94
Plus Methadone.
Biosite Diagnostics.................... Triage Panel for Drugs of Abuse Box: 3, 10, 25 Cassettes. 3/28/94
Plus Methadone.
Biosite Diagnostics.................... Triage Panel for Drugs of Abuse Pouch: 1 Cassette........ 3/28/94
Plus Methadone Test Device.
Biosite Diagnostics.................... Triage Panel for Drugs of Abuse Kit: 25 Tests............ 11/01/93
Plus Tricyclic
Antidepressants, Cat #92000.
Biosite Diagnostics.................... Triage Panel for Drugs of Abuse Kit: 10 Tests............ 11/01/93
plus Tricyclic
Antidepressants, Cat #92010.
Biosite Diagnostics.................... Triage Plus TCA Test Device.... Pouch: 1 each............ 11/09/93
Biosite Diagnostics.................... Triage Test Device............. Metallic Pouch: 1 each... 11/30/90
Biosite Diagnostics.................... Triage and MTD Conjugate (Bulk) Vial: 2, 5, 15, 50, 60, 3/28/94
100, 250, 260, 500ml.
Biosite Diagnostics.................... Triage-7 Conjugate Beads....... Bottle: 15, 50, 100, 250, 12/22/92
500, 1000, 2000ml.
Biosite Diagnostics.................... Triage-7 Device................ Pouch: 1 cassette........ 12/22/92
Biosite Diagnostics.................... Triage-7 Panel for Drugs....... Box: 10, 25 cassettes.... 12/22/92
Biosite Diagnostics.................... d-Amphetamine Controls, 1-5 Vial: 50ml, 1.5ml........ 10/24/90
31030-31034, Bulk Formulation.
Biosite Diagnostics.................... d-Amphetamine Standards, 1-6 Vial: 50ml, 1.5ml........ 10/24/90
31024-31029, Bulk Formulation.
Biosite Diagnostics.................... d-Methamphetamine Controls 5-6, Vial: 1.5ml, 20-50ml; 3/14/91
31020, 31257 Bulk Formulation. Flask: 20-50ml.
Biosite Diagnostics.................... d-Methamphetamine Controls, 1-4 Vial: 50ml, 1.5ml........ 10/24/90
31020-31023, Bulk Formulation.
Biosite Diagnostics.................... d-Methamphetamine Standards, 1- Vial: 50ml, 1.5ml........ 10/24/90
6 31014-31019, Bulk
Formulation.
Boehringer Mannheim.................... 2a Amph ED Reagent for 500ml; Vial: 500ml.............. 4/13/94
Cat # 1300796.
Boehringer Mannheim.................... 2a Amphetamines ED Reagent for Vial: 100ml.............. 4/13/94
85 ml; Cat # 1404234.
Boehringer Mannheim.................... Amphetamine System Pack for Kit: 4 Bottles........... 4/13/94
85ml; Cat # 81-3300.
Boehringer Mannheim.................... Amphetamines Systems Pack for Kit: 4 Bottles........... 4/13/94
500ml; Cat # 81-3400.
[[Page 13713]]
Boehringer Mannheim.................... Bulk Reference Methadone Carboy: 5L............... 8/18/95
Manufacturing Calibrators E,
F, G, H, I, J, K, Open.
Boehringer Mannheim.................... CEDIA DAU 4-Drug Cutoff Bottle: 10, 15ml......... 4/01/94
Calibrator.
Boehringer Mannheim.................... CEDIA DAU 4-Drug High Bottle: 10, 15ml......... 4/01/94
Calibrator.
Boehringer Mannheim.................... CEDIA DAU 4-Drug Intermediate Bottle: 10, 15ml......... 4/01/94
Calibrator.
Boehringer Mannheim.................... CEDIA DAU 5-Drug Cutoff Bottle: 5, 15ml.......... 6/30/94
Calibrator.
Boehringer Mannheim.................... CEDIA DAU Amphetamine Assay- Kit: 4 Bottles; 18ml each 7/19/94
Cat # 83-3300 and 85-3300.
Boehringer Mannheim.................... CEDIA DAU Barb/Benz 200........ Bottle: 10, 15ml......... 4/01/94
Boehringer Mannheim.................... CEDIA DAU Barb/Benz 300 Bottle: 10, 15ml......... 4/01/94
Calibrator.
Boehringer Mannheim.................... CEDIA DAU Barb/Benz High Bottle: 10, 15ml......... 4/01/94
Calibrator.
Boehringer Mannheim.................... CEDIA DAU Barb/Benz Bottle: 10, 15ml......... 4/01/94
Intermediate Calibrator.
Boehringer Mannheim.................... CEDIA DAU Cocaine Assay; Cat # Kit: 4 Bottles; 18ml each 7/19/94
83-2300 and 85-2300.
Boehringer Mannheim.................... CEDIA DAU Cocaine Assay; Cat # Kit: 4 Bottles, 85ml..... 1/24/94
81-2300.
Boehringer Mannheim.................... CEDIA DAU Cocaine Assay; Cat # Kit: 4 Bottles, 500ml.... 1/24/94
81-2400.
Boehringer Mannheim.................... CEDIA DAU LSD Assay............ Kit: 15, 70ml............ 12/01/95
Boehringer Mannheim.................... CEDIA DAU LSD Cutoff Calibrator Bottle: 10ml............. 12/01/95
Boehringer Mannheim.................... CEDIA DAU LSD High Calibrator.. Vial: 10ml............... 12/01/95
Boehringer Mannheim.................... CEDIA DAU LSD Intermediate Vial: 10ml............... 12/01/95
Calibrator.
Boehringer Mannheim.................... CEDIA DAU LSD Reagent.......... Vial: 7, 100ml........... 12/01/95
Boehringer Mannheim.................... CEDIA DAU Methadone Assay...... Kit: 18, 85, 500ml....... 8/18/95
Boehringer Mannheim.................... CEDIA DAU Methadone ED Reagent. Vial: 7, 100, 190ml...... 8/18/95
Boehringer Mannheim.................... CEDIA DAU Multi-Level THC Kit: 4 Bottles, 85ml..... 1/24/94
Assay; Cat # 81-2700.
Boehringer Mannheim.................... CEDIA DAU Multi-Level THC Kit: 4 Bottles, 500ml.... 1/24/94
Assay; Cat # 81-2800.
Boehringer Mannheim.................... CEDIA DAU Opiate Assay- Cat # Kit: 4 Bottles; 18ml each 7/19/94
83-2900 and 85-2900.
Boehringer Mannheim.................... CEDIA DAU Opiate Assay; Cat # Kit: 4 Bottles, 85ml..... 1/24/94
81-2900.
Boehringer Mannheim.................... CEDIA DAU Opiate Assay; Cat # Kit: 4 Bottles, 500ml.... 1/24/94
81-3000.
Boehringer Mannheim.................... CEDIA DAU Propoxyphene Assays; Kit: 4 Bottles........... 11/30/94
18ml, 85ml, 500ml.
Boehringer Mannheim.................... CEDIA DAU Propoxyphene Cutoff Vial: 10ml............... 11/30/94
Calibrator.
Boehringer Mannheim.................... CEDIA DAU Propoxyphene High Vial: 10ml............... 11/30/94
Calibrator.
Boehringer Mannheim.................... CEDIA DAU Propoxyphene Vial: 10ml............... 11/30/94
Intermediate Calibrator.
Boehringer Mannheim.................... CEDIA DAU THC 100ng/ml Bottle: 15ml............. 4/01/94
Calibrator.
Boehringer Mannheim.................... CEDIA DAU THC 150ng/ml Bottle: 15ml............. 4/01/94
Calibrator.
Boehringer Mannheim.................... CEDIA DAU THC 25ng/ml Bottle: 15ml............. 4/01/94
Calibrator.
Boehringer Mannheim.................... CEDIA DAU THC 50ng/ml Bottle: 15ml............. 4/01/94
Calibrator.
Boehringer Mannheim.................... CEDIA DAU THC 75 ng/ml Bottle: 15ml............. 4/01/94
Calibrator.
Boehringer Mannheim.................... CEDIA Multi-Level THC Assay-Cat Kit: 4 Bottles; 18ml each 7/19/94
# 83-2700 and 85-2700.
Boehringer Mannheim.................... LSD Conjugate.................. Bottle: 50-200ml......... 12/01/95
Boehringer Mannheim.................... LSD Cutoff Calibrator Bulk..... Carboy: 4L............... 12/01/95
Boehringer Mannheim.................... LSD ED Bulk Reagent............ Carboy: 25L.............. 12/01/95
Boehringer Mannheim.................... LSD High Calibrator Bulk....... Carboy: 4L............... 12/01/95
Boehringer Mannheim.................... LSD Intermediate Calibrator Carboy: 4L............... 12/01/95
Bulk.
Boehringer Mannheim.................... LSD Spiking Solution........... Vial: 2L................. 12/01/95
Boehringer Mannheim.................... Methadone Conjugate............ Vial: 25ml............... 8/18/95
Boehringer Mannheim.................... Methadone ED Bulk Reagent...... Carboy: 50L.............. 8/18/95
Boehringer Mannheim.................... Methadone Reference Carboy: 10L.............. 8/18/95
Manufacturing Calibrator
Spiking Solution.
Boehringer Mannheim.................... Multi-Drug Control Set, #946380 2 Vials; 15ml/vial....... 5/10/94
Boehringer Mannheim.................... Multi-Drug Set, #946379........ 2 Vials; 5ml/vial........ 5/10/94
Boehringer Mannheim.................... Propoxyphene Conjugate......... Vial: 25ml............... 11/30/94
Boehringer Mannheim.................... Propoxyphene Cutoff Bulk Carboy: 4L............... 11/30/94
Calibrator.
Boehringer Mannheim.................... Propoxyphene ED Bulk Reagent... Carboy: 25L.............. 11/30/94
Boehringer Mannheim.................... Propoxyphene ED Reagent........ Vial: 7, 100, 190ml...... 11/30/94
Boehringer Mannheim.................... Propoxyphene High Bulk Carboy: 4L............... 11/30/94
Calibrator.
Boehringer Mannheim.................... Propoxyphene Intermediate Bulk Carboy: 4L............... 11/30/94
Calibrator.
Boehringer Mannheim.................... Propoxyphene Spiking Solution.. Vial: 2L................. 11/30/94
Boehringer Mannheim.................... Reference LSD Manufacturing Vial: 3 or 5ml........... 12/01/95
Calibrator A, B, C, D, E, F,
G, Open.
Boehringer Mannheim.................... Reference LSD Manufacturing Carboy: 5L............... 12/01/95
Calibrator Bulk A, B, C, D, E,
F, G, Open.
Boehringer Mannheim.................... Reference Methadone Vial: 3, 5ml............. 8/18/95
Manufacturing Calibrators E,
F, G, H, I, J, K, Open.
Boehringer Mannheim.................... Reference Propoxyphene Bulk Carboy: 5L............... 11/30/94
Manufacturing Calibrators E,
F, G, H, I, J, K and Open.
Boehringer Mannheim.................... Reference Propoxyphene Vial: 3, 5ml............. 11/30/94
Manufacturing Calibrators E,
F, G, H, I, J, K and Open.
Boehringer Mannheim.................... Specialty Control Set 1, 2 Vials; 15ml/vial....... 5/10/94
#946381.
Boehringer Mannheim.................... Specialty Control Set 2, 2 Vials: 15ml/vial....... 5/10/94
#946383.
Boehringer Mannheim.................... THC 100 Control Set............ Box: 2 Bottles; 15ml each 6/30/94
Boehringer Mannheim.................... THC 100 Controls (High & Low).. Bottle: 15ml............. 6/30/94
Boehringer Mannheim.................... THC 100 Controls (High & Low) Carboy: 150L............. 6/30/94
Bulk.
Boehringer Mannheim.................... THC 25 Control Set............. Box: 2 Bottles; 15ml each 6/30/94
[[Page 13714]]
Boehringer Mannheim.................... THC 25 Controls (High & Low)... Bottle: 15ml............. 6/30/94
Boehringer Mannheim.................... THC 25 Controls (High & Low) Carboy: 150L............. 6/30/94
Bulk.
Boehringer Mannheim.................... THC 50 Control Set............. Box: 2 Bottles; 15ml each 6/30/94
Boehringer Mannheim.................... THC 50 Controls (High & Low)... Bottle: 15ml............. 6/30/94
Boehringer Mannheim Diagnostics........ Amphetamine Spiking............ Carboy: 5-10L............ 9/26/95
Boehringer Mannheim Diagnostics........ Barbiturate Spiking Solution... Carboy: 5-10L............ 9/26/95
Boehringer Mannheim Diagnostics........ Benzodiazepine Spiking Solution Carboy: 5-10L............ 9/26/95
Boehringer Mannheim Diagnostics........ Benzodiazepine Spiking Solution Bottle: 2L............... 9/26/95
''A''.
Boehringer Mannheim Diagnostics........ CEDIA DAU Multi-Drug Vial: 10, 15ml........... 9/26/95
Calibrator, Primary Cutoffs.
Boehringer Mannheim Diagnostics........ CEDIA DAU Multi-Drug Vial: 10, 15ml........... 9/26/95
Calibrator, Secondary Cutoffs.
Boehringer Mannheim Diagnostics........ CEDIA DAU Multi-Drug High Vial: 10, 15ml........... 9/26/95
Calibrator.
Boehringer Mannheim Diagnostics........ CEDIA DAU Multi-Drug Vial: 10, 15ml........... 9/26/95
Intermediate Calibrator.
Boehringer Mannheim Diagnostics........ Cocaine Spiking Solution....... Carboy: 5-10L............ 9/26/95
Boehringer Mannheim Diagnostics........ Multi-Drug Cutoff, Bulk Bottle: 20L.............. 9/26/95
Calibrator.
Boehringer Mannheim Diagnostics........ Multi-Drug High Bulk Calibrator Bottle: 20L.............. 9/26/95
Boehringer Mannheim Diagnostics........ Multi-Drug Intermediate Bulk Bottle: 20L.............. 9/26/95
Calibrator.
Boehringer Mannheim Diagnostics........ Multi-Drug Secondary Cutoffs, Bottle: 20L.............. 9/26/95
Bulk Calibrator.
Boehringer Mannheim Diagnostics........ Opiate Spiking Solution........ Carboy: 5-10L............ 9/26/95
Boehringer Mannheim Diagnostics........ PCP Spiking Solution........... Carboy: 5-10L............ 9/26/95
Boehringere Mannheim Diagnostics....... Methamphetamine Spiking Carboy: 5-10L............ 9/26/95
Solution.
California Bionuclear Corporation...... Amobarbital-2-C-14, Catalog No. Screw Cap Vial: 50 1/08/75
72077. microcuries, 0.1, 0.5,
and 1.0 millicuries.
California Bionuclear Corporation...... Cocaine (methoxy-C-14) Catalog Screw Cap Vial: 50 1/08/75
No. 72182. microcuries, 0.1, 0.5,
and 1.0 millicuries.
California Bionuclear Corporation...... D-Amphetamine (propyl-1-C-14) Screw Cap Vial: 50 1/08/75
Sulfate, Catalog No. 72078. microcuries, 0.1, 0.5,
and 1.0 millicuries.
California Bionuclear Corporation...... DL-Amphetamine (propyl-1-C-14) Screw Cap Vial: 50 1/08/75
Sulfate, Catalog No. 72079. microcuries, 0.1, 0.5,
and 1.0 millicuries.
California Bionuclear Corporation...... Meperidine (N-methyl-C-14) Screw Cap Vial: 50 1/08/75
Hydrochloride, Catalog No. microcuries, 0.1, 0.5,
72508. 1.0 millicuries.
California Bionuclear Corporation...... Mescaline (aminomethylene-C-14) Screw Cap Vial: 50 1/08/75
Hydrochloride, Catalog No. microcuries, 0.1, 0.5,
72512. 1.0 millicuries.
California Bionuclear Corporation...... Methadone (heptanone-2-C-14) Screw Cap Vial: 50 1/08/75
Hydrochloride, Catalog No. microcuries, 0.1, 0.5,
72516. 1.0 millicuries.
California Bionuclear Corporation...... Methamphetamine (propyl-1-C-14) Screw Cap Vial: 50 1/08/75
Sulfate, Catalog No. 72517. microcuries, 0.1, 0.5,
1.0 millicuries.
California Bionuclear Corporation...... Methylphenidate (carbonyl-C-14) Screw Cap Vial: 50 1/08/75
Hydrochloride, Catalog No. microcuries, 0.1, 0.5,
72550. 1.0 millicuries.
California Bionuclear Corporation...... Morphine (n-methyl-C-14) Screw Cap Vial: 50 1/08/75
Hydrochloride, Catalog No. microcuries, 0.1, 0.5,
72560. 1.0 millicuries.
California Bionuclear Corporation...... Pentobarbital-2-C-14, Catalog Screw Cap Vial: 50 1/08/75
No. 72618. microcuries, 0.1, 0.5,
1.0 millicuries.
California Bionuclear Corporation...... Secobarbital-2-C-14, Catalog Ampule: 50 microcuries, 1/08/75
No. 72675. 0.1, 0.5, and 1.0
millicuries.
[[Page 13715]]
Cambridge Medical Diagnostics, 125I Human Parathyroid Hormone Vial: 5ml................ 3/29/85
Incorporated. 44-68.
Cambridge Medical Diagnostics, 125I-Tetraiodothyronine........ Vial: 11ml............... 3/29/85
Incorporated.
Cambridge Medical Diagnostics, 125I-Triiodothyronine.......... Vial: 11ml............... 3/29/85
Incorporated.
Cambridge Medical Diagnostics, Donkey Anti Goat Gamma Globulin Vial: 5ml................ 3/29/85
Incorporated.
Cambridge Medical Diagnostics, Parathyroid Hormone (Human 1- 6 Vials: 5ml each........ 3/29/85
Incorporated. 84) Standard.
Cambridge Medical Diagnostics, Parathyroid Hormone Assay Vial: 10ml............... 3/29/85
Incorporated. Buffer.
Cambridge Medical Diagnostics, T3 AntiSerum (Rabbit).......... Vial: 11ml............... 3/29/85
Incorporated.
Cambridge Medical Diagnostics, T3 Standard.................... Vial: 1ml................ 3/29/85
Incorporated.
Cambridge Medical Diagnostics, T4 Antiserum (Rabbit).......... Vial: 11ml............... 3/29/85
Incorporated.
Cambridge Medical Diagnostics, T4 Standard.................... Vial: 1ml................ 3/29/85
Incorporated.
Casco Standards........................ 1-(1- Cryo-vial: 1.1ml Box: 25, 3/21/90
Phenylcyclohexyl)pyrrolidine 50, 75 vials Plastic
Cross-Reactant. Cup: 125ml.
Casco Standards........................ 1-Phenylcyclohexylamine Cross- Cryo-vial: 1.1ml Box: 25, 3/23/90
Reactant. 50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ 1-[1-(2-thienyl)-cyclohexyl]- Cryo-vial: 1.1ml Box: 25, 3/23/90
piperdine Cross-Reactant. 50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ 1-[1-2(2-thienyl)-cyclohexyl]- Cryo-vial: 1.1ml Box: 25, 3/23/90
pyrrolidine Cross-Reactant. 50, 75 Plastic Cup:
125ml.
Casco Standards........................ 11-OH-delta-8-THC Cross- Cryo-vial: 1.1ml Box: 25, 3/21/90
Reactant. 50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ 11-OH-delta-9-THC Cross- Cryo-vial: 1.1ml Box: 25, 3/21/90
Reactant. 50, 75 vials Plastic
cup: 125ml.
Casco Standards........................ 11-nor-delta-8-THC-9-carboxilic Cryo-vial: 1.1ml Box: 25, 3/21/90
c acid Cross-Reactant. 50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ 11-nor-delta-9-THC-9-carboxilic Cryo-vial: 1.1ml Box: 25, 3/21/90
acid Cross-Reactant. 50, 75 vials.
Casco Standards........................ 8-B-11-diOH-delta-9-THC Cross- Cryo-vial: 1.1ml Box: 25, 3/21/90
Reactant. 50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ 8-B-OH-delta-9-THC Cross- Cryo-vial: 1.1ml Box: 25, 3/21/90
Reactant. 50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Allobarbital Cross-Reactant.... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Alphenal Cross-Reactant........ Cryo-vial: 1.1ml Box: 25, 3/21/90
50 75 vials Plastic cup:
125ml.
Casco Standards........................ Alprazolam Cross-Reactant...... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Amobarbital Cross-Reactant..... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Aprobarbital Cross-Reactant.... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Barbital Cross-Reactant........ Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Benzoylecgonine Cross-Reactant. Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Benzphetamine Cross-Reactant... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Bromazepam Cross-Reactant...... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Butabarbital Cross-Reactant.... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Butalbital Cross-Reactant...... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Butethal Cross-Reactant........ Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Cannabidiol Cross-Reactant..... Cryo-Vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Cannabinol Cross-Reactant...... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
cup: 125ml.
Casco Standards........................ Chlordiazepoxide Cross-Reactant Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Clonazepam Cross-Reactant...... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
[[Page 13716]]
Casco Standards........................ Cocaine Cross-Reactant......... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Cyclopentobarbital Cross- Cryo-vial: 1.1ml Box: 25, 3/21/90
Reactant. 50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Diazepam Cross-Reactant........ Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Ecgonine HCl Cross-Reactant.... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Ecgonine-methyl ester HCl Cryo-vial: 1.1ml Box: 25, 3/21/90
hydrate Cross-Reactant. 50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Fenfluramine Cross-Reactant.... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Flunitrazepam Cross-Reactant... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Flurazepam Cross-Reactant...... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Halazepam Cross-Reactant....... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Hexobarbital Cross-Reactant.... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Lorazepam Cross-Reactant....... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ MDA Cross-Reactant............. Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ MDE Cross-Reactant............. Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ MDMA Cross-Reactant............ Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Medazepam Cross-Reactant....... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Midazolam Cross-Reactant....... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Nitrazepam Cross-Reactant...... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 03/21/90.
Casco Standards........................ Nordiazepam Cross-Reactant..... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Oxazepam Cross-Reactant........ Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Pentobarbital Cross-Reactant... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Phencyclidine Cross-Reactant... Cryo-vial: 1.1ml Box: 25, 3/23/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Phenmetrazine Cross-Reactant... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Phenobarbital Cross-Reactant... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Phentermine Cross-Reactant..... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Pinazepam Cross-Reactant....... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Prazepam Cross-Reactant........ Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Propylhexedrine Cross-Reactant. Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Secobarbital Cross-Reactant.... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Talbutal Cross-Reactant........ Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Temazepam Cross-Reactant....... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ Triazolam Cross-Reactant....... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ d-Amphetamine Cross-Reactant... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ d-Methamphetamine Cross- Cryo-vial: 1.1ml Box: 25, 3/21/90
Reactant. 50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ l-Amphetamine Cross-Reactant... Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Casco Standards........................ p-OH-Amphetamine Cross-Reactant Cryo-vial: 1.1ml Box: 25, 3/21/90
50, 75 vials Plastic
Cup: 125ml.
Cayman Chemical Company................ Testosterone................... Vial: 3ml................ 4/07/93
[[Page 13717]]
Ciba Corning Diagnostics Corp.......... Magic Lite HCG Solid Phase..... Plastic vial: 50ml, Kit: 12/09/88
100 tests.
Ciba Corning Diagnostics Corp.......... AACC Tox....................... Glass Vial: 30ml......... 1/20/86
Ciba Corning Diagnostics Corp.......... ACS Estradiol Component Sets... Kits: 3 Vials; 18 vials.. 1/31/94
Ciba Corning Diagnostics Corp.......... ACS Estradiol Component Sets Bottle: 30ml............. 1/31/94
Releasing Reagent.
Ciba Corning Diagnostics Corp.......... ACS Estradiol-6 Antibody Bottle: 3ml.............. 11/20/95
Reagent.
Ciba Corning Diagnostics Corp.......... ACS FT4........................ Kit: 50 Test, 300 Test... 3/26/91
Ciba Corning Diagnostics Corp.......... ACS FT4 Lite Reagent........... Vial: 7ml................ 3/26/91
Ciba Corning Diagnostics Corp.......... ACS FT4 Lite Reagent........... Vial: 7ml................ 3/26/91
Ciba Corning Diagnostics Corp.......... ACS FT4 Solid Phase............ Vial: 26ml............... 3/26/91
Ciba Corning Diagnostics Corp.......... ACS Ferritin Lite Reagent...... Vial: 7ml; Kit: 50, 300, 4/15/91
3000 Tests.
Ciba Corning Diagnostics Corp.......... ACS Ferritin Solid Phase....... Vial: 26ml; Kit: 50 4/15/91
Tests, 300 Tests.
Ciba Corning Diagnostics Corp.......... ACS HCG Solid Phase............ Vial: 26ml; Kit: 50 4/18/91
Tests, 300 Tests.
Ciba Corning Diagnostics Corp.......... ACS Magnetic Check............. Plastic Vial: 26ml....... 6/18/91
Ciba Corning Diagnostics Corp.......... ACS Magnetic Check II.......... Plastic Vial: 26ml....... 6/18/91
Ciba Corning Diagnostics Corp.......... ACS Multical E Pack (Low & High Kits: 4 Vials; 2 vials... 1/31/94
Calibrator).
Ciba Corning Diagnostics Corp.......... ACS Multical High Calibrator... Vial: 10ml............... 1/31/94
Ciba Corning Diagnostics Corp.......... ACS Multical Low Calibrator.... Vial: 10ml............... 1/31/94
Ciba Corning Diagnostics Corp.......... ACS Performance Verification Kit: 6 Vials............. 6/18/91
Test Kit.
Ciba Corning Diagnostics Corp.......... ACS Phenobarbital High Bottle: 5ml.............. 5/08/95
Calibrator.
Ciba Corning Diagnostics Corp.......... ACS Phenobarbital Lite Reagent. Bottle: 10ml............. 5/08/95
Ciba Corning Diagnostics Corp.......... ACS Phenobarbital Low Bottle: 5ml.............. 5/08/95
Calibrator.
Ciba Corning Diagnostics Corp.......... ACS Phenobarbital Master Curve Bottle: 5ml.............. 5/08/95
Material.
Ciba Corning Diagnostics Corp.......... ACS Phenobarbital Master Curve Set: 6 Bottles........... 5/08/95
Material Set.
Ciba Corning Diagnostics Corp.......... ACS T3 Kit..................... Kit: 50, 300, 3000 Tests. 7/22/91
Ciba Corning Diagnostics Corp.......... ACS T3 Lite Reagent............ Plastic Vial: 7ml........ 7/22/91
Ciba Corning Diagnostics Corp.......... ACS T3 Solid Phase............. Plastic Vial: 26ml....... 7/22/91
Ciba Corning Diagnostics Corp.......... ACS T4......................... Kit: 50 Test, 300 Test... 3/26/91
Ciba Corning Diagnostics Corp.......... ACS T4 Lite Reagent............ Vial: 7ml................ 3/26/91
Ciba Corning Diagnostics Corp.......... ACS T4 Solid Phase............. Vial: 26ml............... 3/26/91
Ciba Corning Diagnostics Corp.......... ACS Testosterone Component Sets Set: 2 Bottles........... 3/28/94
(50 Tests).
Ciba Corning Diagnostics Corp.......... ACS Testosterone Component Sets Set: 12 Bottles.......... 3/28/94
(500 Tests).
Ciba Corning Diagnostics Corp.......... ACS Testosterone Lite Reagent.. Bottle: 10ml............. 3/28/94
Ciba Corning Diagnostics Corp.......... ACS Testosterone Releasing Bottle: 30ml............. 7/20/94
Agent.
Ciba Corning Diagnostics Corp.......... ACS Wash Check Solid Phase..... Plastic Vial: 26ml....... 6/18/91
Ciba Corning Diagnostics Corp.......... ALP Buffer Concentrate Cat. No. Plastic Bottle: 175ml.... 10/28/91
470244.
Ciba Corning Diagnostics Corp.......... ALP Gel/12 Cat. No. 470246..... 2 Plates: 24 Tests....... 10/28/91
Ciba Corning Diagnostics Corp.......... ALP Gel/8 Cat. No. 470243...... 2 Plates: 16 Tests....... 10/28/91
Ciba Corning Diagnostics Corp.......... ALP Gel/8 and Buffer Cat. No. Kit: 10 Plates; Plastic 10/28/91
470240. Bottle: 175ml.
Ciba Corning Diagnostics Corp.......... Alkaline Hemoglobin Buffer Cat. Plastic Vial: 25 Drams... 10/28/91
No. 470580.
Ciba Corning Diagnostics Corp.......... Alkaline Hemoglobin Kit/8 Cat. Kit: 10 Plates; Plastic 10/28/91
No. 470678. Vial: 25 Drams.
Ciba Corning Diagnostics Corp.......... CVM Chemistry (Calibration Kit: 16 Vials; 5ml/vial.. 6/14/94
Verification Material for
Chemistry), Levels 1 thru 8.
Ciba Corning Diagnostics Corp.......... Ciba Corning ANTICONV/ASTH I, Kit Contains: 10ml vial, 10/22/85
II. 5 Vials each level.
Ciba Corning Diagnostics Corp.......... Ciba Corning Liquid 3.......... Glass Vials: 15; 5ml each 1/31/95
Ciba Corning Diagnostics Corp.......... Ciba Corning Liquid TDM 1...... Glass Vials: 15; 5ml each 1/31/95
Ciba Corning Diagnostics Corp.......... Ciba Corning Liquid TDM 1, 2, 3 Kit: 15 Vials............ 1/31/95
Ciba Corning Diagnostics Corp.......... Ciba Corning Liquid TDM 2...... Glass Vials: 15; 5ml each 1/31/95
Ciba Corning Diagnostics Corp.......... Ciba Corning TDM I............. Vial: 5ml, 10 vials...... 10/22/85
Ciba Corning Diagnostics Corp.......... Ciba Corning TDM I, II & III... Kit Contains: 5 Vials 10/22/85
each level.
Ciba Corning Diagnostics Corp.......... Ciba Corning TDM II............ Vial: 5ml, 10 vials...... 10/22/85
Ciba Corning Diagnostics Corp.......... Ciba Corning TDM III........... Vial: 5ml, 10 vials...... 10/22/85
Ciba Corning Diagnostics Corp.......... Ciba Corning TOX I, II......... Kit: Contains: 10ml vial, 12/16/85
5 Vials each level.
Ciba Corning Diagnostics Corp.......... Ciba Corning Urine II.......... Vial: 30ml............... 5/22/85
Ciba Corning Diagnostics Corp.......... DAU I, No. 9076................ Glass vial: 25ml, Box: 10 5/23/89
vials.
Ciba Corning Diagnostics Corp.......... DAU II No. 9077................ Glass Vial: 25ml, Box: 10 5/23/89
vials.
Ciba Corning Diagnostics Corp.......... DAU III, No. 9078.............. Glass vial: 25ml, Box: 10 5/23/89
Vials.
Ciba Corning Diagnostics Corp.......... DAU IV, No. 9079............... Glass Vial: 25ml, Box: 10 5/23/89
Vials.
Ciba Corning Diagnostics Corp.......... DAU V, No. 9085................ Glass Vial: 25ml; Box: 10 5/10/91
vials.
Ciba Corning Diagnostics Corp.......... Double Four-Track Gel Cat. No. Plate: 8 Tests; Kit: 12 10/28/91
470179. Plates.
Ciba Corning Diagnostics Corp.......... HDL Cholesterol Gel/8 and Kit: 10 Plates; Plastic 10/28/91
Buffer Cat. No. 470618. Vial: 25 Drams.
Ciba Corning Diagnostics Corp.......... High Resolution Protein Gel/8 Kit: 12 Plates; 2 Plates: 10/28/91
Cat. NO. 470201. 16 Tests.
[[Page 13718]]
Ciba Corning Diagnostics Corp.......... High Resolution Protein Kit/8 Kit: 10 Plates; Plastic 10/28/91
Cat. No. 470682. Vial: 25 Drams.
Ciba Corning Diagnostics Corp.......... Immophase Ferritin Controls.... Glass Vial: 3 ml......... 1/19/87
Ciba Corning Diagnostics Corp.......... Immophase Ferritin Standards... Glass Vial: 5 ml......... 9/16/86
Ciba Corning Diagnostics Corp.......... Immunoelectrophoresis Gel/10 Kit: 12 Plates; 2 Plates: 10/28/91
Cat. No. 470090. 20 Tests.
Ciba Corning Diagnostics Corp.......... Immunoelectrophoresis Kit/8 Kit: 10 Plates; Plastic 10/28/91
Cat. No. 470684. Vial: 25 Drams.
Ciba Corning Diagnostics Corp.......... L-TDM I........................ Glass Vial: 5 ml, Box: 15 5/23/89
Vials.
Ciba Corning Diagnostics Corp.......... L-TDM I, II, III Kit........... Kit: 15 Vials............ 5/23/89
Ciba Corning Diagnostics Corp.......... L-TDM II....................... Glass Vial: 5ml, Box: 15 5/23/89
Vials.
Ciba Corning Diagnostics Corp.......... L-TDM III...................... Glass Vial: 5ml, Box: 15 5/23/89
Vials.
Ciba Corning Diagnostics Corp.......... LD Isoenzyme Gel/8 and Buffer Kit: 10 Plates; Plastic 10/28/91
Cat. No. 470620. Vial: 25 Drams.
Ciba Corning Diagnostics Corp.......... LVM HI-CHEM DIL................ Vial: 10ml............... 6/21/90
Ciba Corning Diagnostics Corp.......... LVM, Product Code--9774........ Carton: 12 vials......... 6/21/90
Ciba Corning Diagnostics Corp.......... Ligand Plus 1, 2, 3............ Kit: 15 Bottles, 5ml/ 6/17/94
bottle.
Ciba Corning Diagnostics Corp.......... Linearity Reference Material Vial: 10ml; Kit: 2 vials. 2/12/91
LNM-A, LNM-B, LNM-C.
Ciba Corning Diagnostics Corp.......... Linearity Survey LN3-A, LN3-B, Vial: 10ml; Kit: 2 vials. 2/12/91
LN3-C.
Ciba Corning Diagnostics Corp.......... Linearity Survey LN4-A, LN4-B, Vial: 25ml; Kit: 2 vials. 2/12/91
LN4-C.
Ciba Corning Diagnostics Corp.......... Lipoprotein Kit/8 Cat. No. Kit: 10 Plates; Plastic 10/28/91
470694. Vial: 25 Drams.
Ciba Corning Diagnostics Corp.......... MULTIQUAL ABN UNASY............ Vial: 3ml, 10ml, Carton: 4/09/89
15 vials, 10 vials.
Ciba Corning Diagnostics Corp.......... MULTIQUAL I Assay, Product Code Kit: 15 vials; 3ml/vial.. 8/05/92
9816.
Ciba Corning Diagnostics Corp.......... MULTIQUAL II Assay, Product Kit: 15 vials; 3ml/vial.. 8/05/92
Code 9817.
Ciba Corning Diagnostics Corp.......... MULTIQUAL III Assay, Product Kit: 15 vials; 3ml/vial.. 8/05/92
Code 9818.
Ciba Corning Diagnostics Corp.......... MULTIQUAL NOR UNASY............ Vial: 3ml, 10ml, Carton: 4/09/89
15 vials, 10 vials.
Ciba Corning Diagnostics Corp.......... Magic Ferritin 2000 Standard... Plastic Vial: 1 ml....... 1/19/87
Ciba Corning Diagnostics Corp.......... Magic Ferritin Controls........ Plastic Vial: 5 ml....... 1/19/87
Ciba Corning Diagnostics Corp.......... Magic Ferritin Standards....... Polypropylene Vial: 3 ml. 9/16/86
Ciba Corning Diagnostics Corp.......... Magic Ferritin Zero Standard... Plastic Vial: 50 ml...... 1/19/87
Ciba Corning Diagnostics Corp.......... Magic Lite FT4 Component Set... Set: 100, 400 Tests...... 7/06/94
Ciba Corning Diagnostics Corp.......... Magic Lite FT4 Kit............. Kit: 100 Tests........... 7/06/94
Ciba Corning Diagnostics Corp.......... Magic Lite FT4 Lite Reagent.... Bottle: 10ml, 40ml....... 7/06/94
Ciba Corning Diagnostics Corp.......... Magic Lite FT4 Solid Phase..... Bottle: 50ml, 200ml...... 7/06/94
Ciba Corning Diagnostics Corp.......... Magic Lite Ferritin Bulk Lite Plastic Vial: 50 ml...... 2/16/88
Reageant.
Ciba Corning Diagnostics Corp.......... Magic Lite Ferritin Bulk Solid Plastic Vial: 200 ml..... 2/16/88
Phase.
Ciba Corning Diagnostics Corp.......... Magic Lite Ferritin Solid Phase Plastic Vial: 50 ml...... 2/16/88
Ciba Corning Diagnostics Corp.......... Magic Lite T3 Bulk Solid Phase. Plastic Vial: 200 ml..... 2/16/88
Ciba Corning Diagnostics Corp.......... Magic Lite T3 Kit.............. Kit: 100 Tests........... 6/27/91
Ciba Corning Diagnostics Corp.......... Magic Lite T3 Lite Reagent..... Plastic Vial: 30ml....... 6/27/91
Ciba Corning Diagnostics Corp.......... Magic Lite T3 Solid Phase...... Plastic Vial: 75ml....... 6/27/91
Ciba Corning Diagnostics Corp.......... Magic Lite T4 Component Set.... Set: 100, 400, 1200 Tests 7/06/94
Ciba Corning Diagnostics Corp.......... Magic Lite T4 Kit.............. Kit: 100 Tests........... 7/06/94
Ciba Corning Diagnostics Corp.......... Magic Lite T4 Solid Phase...... Bottle: 25ml, 100ml...... 7/06/94
Ciba Corning Diagnostics Corp.......... Magic T4 Antibody.............. Plastic Vial: 50 ml and 2/16/88
200 ml.
Ciba Corning Diagnostics Corp.......... Magic T4 Antibody.............. Vial: 50ml, 200ml........ 11/01/90
Ciba Corning Diagnostics Corp.......... Multi-LD Gel Cat. No. 470221... Kit: 12 Plates; 2 Plates: 10/28/91
32 Tests.
Ciba Corning Diagnostics Corp.......... Multi-SPE Gel Cat. No. 470252.. Kit: 12 Plates; 2 Plates: 10/28/91
32 Tests.
Ciba Corning Diagnostics Corp.......... Multitrac ALP Gel/12 and Buffer Kit: 10 Plates; Plastic 10/28/91
Cat. No. 470240. Bottle: 175ml.
Ciba Corning Diagnostics Corp.......... Multitrac Immunofixation Kit/12 Kit: 10 Plates; Plastic 10/28/91
Cat. No. 470685. Vial: 25 Drams.
Ciba Corning Diagnostics Corp.......... Multitrac LD Isoenzyme Gel/12 Kit: 10 Plates; Plastic 10/28/91
and Buffer Cat. No. 470622. vial: 25 Drams.
Ciba Corning Diagnostics Corp.......... Multitrac LD Isoenzyme Gel/16 Kit: 10 Plates; Plastic 10/28/91
and Buffer Cat. No. 470625. Vial: 25 Drams.
Ciba Corning Diagnostics Corp.......... Multitrac Lipoprotein Kit/12 Kit: 10 Plates; Plastic 10/28/91
Cat. No. 470695. Vial: 25 Drams.
Ciba Corning Diagnostics Corp.......... Multitrac Serum Protein Kit/12 Kit: 10 Plates; Plastic 10/28/91
Cat. No. 470697. vial: 25 Drams.
Ciba Corning Diagnostics Corp.......... QCS ABN ASY.................... Vial: 5ml, Kit: 5 vials.. 1/21/89
Ciba Corning Diagnostics Corp.......... QCS ABN ASY No. 9705/9705A..... Box: 10 vials, Vial: 5 ml 12/15/89
Ciba Corning Diagnostics Corp.......... QCS ABN ASY No. 9707/9707
FR Doc. 96-7385 Exempt Chemical Preparations
A..... Box: 10 vials, Vial: 5 ml 12/15/89
Ciba Corning Diagnostics Corp.......... QCS ABN UNASY No. 9691/9691A... Box: 40 vials, Vial: 25 12/15/89
ml.
Ciba Corning Diagnostics Corp.......... QCS ABN UNASY No. 9717/9717A... Box: 10 vials, Vial: 10 12/15/89
ml.
Ciba Corning Diagnostics Corp.......... QCS NOR ASY.................... Vial: 5 ml, Kit: 5 vials. 1/21/89
Ciba Corning Diagnostics Corp.......... QCS NOR ASY No. 9702/9702A..... Box: 10 vials, Vial: 5 ml 12/15/89
[[Page 13719]]
Ciba Corning Diagnostics Corp.......... QCS NOR ASY No. 9704/9704A..... Box: 10 vials, Vial: 5 ml 12/15/89
Ciba Corning Diagnostics Corp.......... QCS Nor UNASY No. 9681/9681A... Box: 40 vials, Vial: 25 12/15/89
ml.
Ciba Corning Diagnostics Corp.......... QCS Nor UNASY No. 9716/9716A... Box: 10 vials, Vial 10 ml 12/15/89
Ciba Corning Diagnostics Corp.......... Reagent A- Alt 14.............. Vial: 15 ml.............. 3/24/79
Ciba Corning Diagnostics Corp.......... Reagent A- Alt 7............... Vial: 15 ml.............. 3/24/79
Ciba Corning Diagnostics Corp.......... Reagent A-Ammonia 10........... Vial: 10 ml.............. 3/24/79
Ciba Corning Diagnostics Corp.......... Serum Protein Kit/8 Cat. No. Kit: 10 Plates; Plastic 10/28/91
470696. Vial: 25 Drams.
Ciba Corning Diagnostics Corp.......... Special Barbital Buffer Set, Vial: 3 per kit.......... 4/17/79
Catalog No. 470182.
Ciba Corning Diagnostics Corp.......... Universal Buffer Cat. No. Plastic Vial: 25 Drams... 10/28/91
470586.
Ciba Corning Diagnostics Corp.......... Universal Electrophoresis Film Plates: 12 per kit....... 4/17/79
Agarose, Catalog No. 470100.
Ciba Corning Diagnostics Corp.......... Universal Gel/12 Cat. No. Kit: 12 Plates; 2 Plates: 10/28/91
470554. 24 Tests.
Ciba Corning Diagnostics Corp.......... Universal Gel/16 or Multi-SPE Kit: 12 Plates; 2 Plates: 10/28/91
Gel Cat. No. 470066. 32 Tests.
Ciba Corning Diagnostics Corp.......... Universal IEP Gel Cat. No. Kit: 12 Plates; 2 Plates: 10/28/91
470222. 16 Tests.
Ciba Corning Diagnostics Corp.......... Universal II Gel/12 Cat. No. Kit: 12 Plates; 2 Plates: 10/28/91
470262. 24 Tests.
Ciba Corning Diagnostics Corp.......... Universal II Gel/12 Cat. No. Kit: 12 Plates........... 9/22/92
470362.
Ciba Corning Diagnostics Corp.......... Universal II Gel/16 Cat. No. Kit: 12 Plates; 2 Plates: 10/28/91
470268. 32 Tests.
Ciba Corning Diagnostics Corp.......... Universal II Gel/8 Cat. No. Kit: 12 Plates; 2 Plates: 10/28/91
470261. 16 Tests.
Ciba Corning Diagnostics Corp.......... Universal II Gel/8 Cat. No. Kit: 12 Plates........... 9/22/92
470361.
Ciba Corning Diagnostics Corp.......... Universal PHAB Buffer Set Kit: 3 vials per kit..... 9/26/79
Catalog No. 470180.
Clinical Diagnostic Systems, Inc....... Gemini TT4 Reagent Assembly.... Kit: 100 Tests........... 1/11/95
Cone Biotech, Inc...................... American Association of Vial: 20ml Kit: 2 vials.. 5/30/90
Bioanalysts, Urine Toxicology
Survey.
Cone Biotech, Inc...................... CAP/Cocaine Reference Material Vial: 20 ml.............. 3/07/88
Levels II, III, and IV.
Cone Biotech, Inc...................... College of American Vial: 15ml Kit: 4 vials.. 5/30/90
Pathologists (CAP) Reference
Material for Cocaine in Urine.
Cone Biotech, Inc...................... College of American Vial: 100ml.............. 5/30/90
Pathologists Forensic Urine
Drug Testing Survey Material
(AACC/CAP).
Cone Biotech, Inc...................... College of American Vial: 50ml............... 5/30/90
Pathologists Toxicology Survey
(CAP).
Cone Biotech, Inc...................... College of American Vial: 50ml............... 5/30/90
Pathologists Urine Toxicology
Survey (CAP).
Cone Biotech, Inc...................... QCM-UTI........................ Vial: 20ml............... 3/07/85
Cone Biotech, Inc...................... RIATRAC-Three Level Ligand Vials: 8ml............... 2/27/84
Assay Controls.
Cone Biotech, Inc...................... UDM-CAP/AACC Forensic Urine Bottle: 60 ml............ 8/31/87
Drug Testing Survey (Initial
Phase).
Cone Biotech, Inc...................... UDS and UDC CAP/AACC Forensic Vial: 30 ml.............. 1/06/88
Urine Drug Testing.
Consolidated Technologies, Inc......... AAB Urine Drug Screening Survey Vial: 20ml............... 7/14/94
Consolidated Technologies, Inc......... AAB Urine Drug Screening Survey Vial: 20ml............... 9/29/95
Material.
Consolidated Technologies, Inc......... AACC/CAP Athletic Drug Testing Bottle; 125ml............ 7/14/94
Survey.
Consolidated Technologies, Inc......... AACC/CAP Forensic Urine Drug Vial: 50ml............... 7/14/94
Testing Confirmatory Survey.
Consolidated Technologies, Inc......... AACC/CAP Forensic Urine Drug Vial: 15ml............... 7/14/94
Testing Screening Survey.
Consolidated Technologies, Inc......... ACA Toxicology Urine Survey.... Bottle: 15-60ml.......... 9/29/95
Consolidated Technologies, Inc......... ADT-1 thru ADT-40.............. Vial: 125ml.............. 6/10/92
Consolidated Technologies, Inc......... CAP Athletic Drug Testing Bottle: 125ml............ 9/29/95
Survey Material.
Consolidated Technologies, Inc......... CAP Forensic Pathology Survey.. Vial: 5, 15, 50ml........ 7/14/94
Consolidated Technologies, Inc......... CAP Forensic Pathology Survey Vial: 5, 15, 50ml........ 9/29/95
Material.
Consolidated Technologies, Inc......... CAP Forensic Urine Drug Testing Vial: 50ml............... 9/29/95
Confirmatory Survey Material.
Consolidated Technologies, Inc......... CAP Toxicology Survey.......... Vial: 30, 50ml........... 7/14/94
Consolidated Technologies, Inc......... CAP Toxicology Survey Material. Vial: Vial: 50ml......... 9/29/95
Consolidated Technologies, Inc......... CAP Urine Toxicology Survey.... Vial: 50ml............... 7/14/94
Consolidated Technologies, Inc......... CAP Urine Toxicology Survey Vial: 50ml............... 9/29/95
Material.
Consolidated Technologies, Inc......... HIST Multi-Drug Reference Vial: 15ml............... 10/22/92
Material.
Consolidated Technologies, Inc......... Morphine Glucuronide Kit: 4 Vials............. 9/08/92
Calibration Set.
Consolidated Technologies, Inc......... Morphine Glucuronide Reference Vial: 20ml............... 9/08/92
Levels 1, 2, 3.
DIagnostics Systems Laboratories Inc... DHEA Controls I and II, DSL Vial: 3.5ml.............. 10/08/93
8951 & 8952.
Dade International Inc................. Absorbed Plasma and Serum Glass Vial: 5ml 8/16/71
Reagents Kit B4233-2. (Lyophilized Material).
Dade International Inc................. Beckman B-1 Buffer............. Plastic Vial: 15 g....... 5/22/79
Dade International Inc................. Bovine Chemistry Control I.X Bottle: 18ml (Lyophilized 1/29/86
Special Order Request B5107- Material).
55XX.
Dade International Inc................. Bovine Chemistry Control II.X Bottle: 18 ml 1/29/86
Special Order Request B5107- (Lyophilized Material).
65XX.
Dade International Inc................. Buffered Thrombin (Bovine) Bottle: 5ml (Lyophilized 1/24/86
Catalog No. B4233-40. Material).
Dade International Inc................. Dade CA System Buffer, Cat # Plastic Bottle: 500ml.... 7/20/95
B4265-32.
[[Page 13720]]
Dade International Inc................. Dade CA System Buffer, Cat # Pack: 4 Bottles, 500ml 7/20/95
B4265-34. each.
Dade International Inc................. Dade IAC.X Comprehensive Immuno- Kit: 6 bottles........... 8/27/91
Assay Control, Tri-Level
Unassayed.
Dade International Inc................. Dade Immunoassay Control, Level Bottle: 9ml (Lyophilized 4/25/86
I-Low. Material).
Dade International Inc................. Dade Immunoassay Control, Level Bottle: 9ml (Lyophilized 4/25/86
II-Intermediate. Material).
Dade International Inc................. Dade Immunoassay Control, Level Bottle: 9ml (Lyophilized 4/25/86
III-High. Material).
Dade International Inc................. Dade Immunoassay Controls, Bottles: 18; 9ml each.... 3/28/95
Level 1 Cat # B5700-06.
Dade International Inc................. Dade Immunoassay Controls, Bottles: 18; 9ml each.... 3/28/95
Level 2 Cat # 5700-07.
Dade International Inc................. Dade Immunoassay Controls, Tri- Kit: 3 bottles........... 4/25/86
Level.
Dade International Inc................. Dade Immunoassay Controls, Tri- Bottles: 18; 9ml each.... 3/28/95
Level Cat # B5700-05.
Dade International Inc................. Dade International Inc......... Bottles: 18; 9ml each.... 3/28/95
Dade International Inc................. Dade Moni-Trol Level 1 Bottle: 9ml.............. 8/07/95
Chemistry Control.
Dade International Inc................. Dade Moni-Trol Level 2 Bottle: 9ml.............. 8/07/95
Chemistry Control.
Dade International Inc................. Dade TDM Control Level I-Low Glass Vial: 9ml 1/21/82
B5700-2. (Lyophilized Material).
Dade International Inc................. Dade TDM Control Level II- Glass Vial: 9ml 1/21/82
Intermediate B5700-3. (Lyophilized Material).
Dade International Inc................. Dade TDM Control Level III-High Glass Vial: 9ml 1/21/82
B5700-4. (Lyophilized Material).
Dade International Inc................. Dade Therapeutic Drug Kit: 9 Vials............. 3/10/87
Monitoring (TDM) Controls
(Catalog No. B5700-1).
Dade International Inc................. Dade Urine Chemistry Control Kit: 10 Bottles; Bottle: 8/02/91
Level I, II. 18ml.
Dade International Inc................. Data-Fi Fibrin Monomer Control Glass Vial: 5ml 1/24/86
Catalog Nos. B4233-30 & B4233- (Lyophilized Material).
38.
Dade International Inc................. Data-Fi Fibrinogen Kit: 50 tests............ 9/09/86
Determination Reagents Cat.
No. B4233-15.
Dade International Inc................. Data-Fi Protamine Sulfate Kit: 10 Vials............ 3/10/87
Reagents Kit (Catalog No.
B4233-30).
Dade International Inc................. Immunoassay Control Level I-III Bottle: 9ml.............. 8/27/91
Unassayed.
Dade International Inc................. Moni-Trol Level I Chemistry Bottle: 9ml (Lyophilzed 1/20/84
Control, Assayed, Special Material).
Order Request. B5103-XXX.
Dade International Inc................. Moni-Trol Level I.X Special Bottle: 18ml (Lyophilized 6/30/83
Order Request B5106-5X. Material).
Dade International Inc................. Moni-Trol Level II Chemistry Bottle: 9ml (Lyophilized 1/20/84
Control, Assayed, Special Material).
Order Request. B5103-XXX,
B5113-XXX.
Dade International Inc................. Moni-Trol Level II.X Special Bottle: 18ml (Lyophilized 6/30/83
Order Request B5106-6X. Material).
Dade International Inc................. Moni-Trol. ES Level II Bottles: 9ml, 6.7ml 7/15/83
Chemistry Control, Assayed. (Lyophilized Material).
Dade International Inc................. Moni-Trol. ES Level II.X Bottle: 18ml, 9ml 6/27/86
Special Order Request Catalog (Lyophilized Material).
No. B5106-85AAA Catalog No.
B5106-2XAAA.
Dade International Inc................. Owren's Veronal Buffer......... Bottle: 18ml............. 8/16/71
Dade International Inc................. Stratus Phenobarbital Glass Vial: 3ml.......... 6/27/83
Calibrators B, C, D, E, & F.
Dade International Inc................. Stratus Phenobarbital Conjugate Glass Vial: 6ml.......... 1/25/82
Dade International Inc................. Stratus Phenobarbital Kit: 120 tests........... 3/10/87
Fluorometric Enzyme
Immunoassay Kit (Catalog No.
B5700-22).
Diagnostic Products Corporation...... 125-I Barbiturate Isotope: Cat. Vial: 110 ml, 550 ml..... 3/01/88
No. TBA2, TBAY2.
Diagnostic Products Corporation...... 125-I Benzolyecgonine Isotope: Vial: 100 ml, 550 ml..... 3/01/88
Cat. No. TCN2, TCNY2.
Diagnostic Products Corporation...... 125-I Benzoylecgonine Isotope Vial: 10 ml, 100 ml, 675 3/01/88
(DA): Cat. No. CND2, YCND2. ml.
Diagnostic Products Corporation...... 125-I Fentanyl Isotope: Cat. Vial: 500 ml............. 3/01/88
No. TFN2.
Diagnostic Products Corporation...... 125-I Methadone Isotope: Cat. Vial: 100 ml............. 3/01/88
No. TMD2.
Diagnostic Products Corporation...... 125-I Methaqualone Isotope: Vial: 100 ml............. 3/01/88
Cat. No. TMQ2.
Diagnostic Products Corporation...... 125-I Morphine Isotope: Cat. Vial: 110 ml, 550 ml..... 3/01/88
No. TMP2, TMPY2.
Diagnostic Products Corporation...... 125-I PCP Isotope: Cat. No. Vial: 110 ml, 550 ml..... 3/01/88
TPC2, TPCY2.
Diagnostic Products Corporation...... 125-I Serum Morphine Isotope: Vial: 110 ml............. 3/01/88
Cat. No. TSM2.
Diagnostic Products Corporation...... 125-I THC Isotope: Cat. No. Vial: 20 ml, 110 ml, 550 3/01/88
THD2, YTHD2. ml.
Diagnostic Products Corporation...... Amphetamine Calibrators B-F: Vial: 3.5 ml............. 3/01/88
Cat. No. APD4-8.
[[Page 13721]]
Diagnostic Products Corporation...... Amphetamine Calibrators Cat. Vial: 5ml................ 7/05/90
No. MAP 4-8.
Diagnostic Products Corporation...... Amphetamine Controls, Cat. No. Vial: 5 ml............... 3/20/89
ACO1, ACO2.
Diagnostic Products Corporation...... Amphetamine Controls: Cat. No. Vial: 100 ml............. 3/01/88
5AC01, 5ACO2.
Diagnostic Products Corporation...... Amphetamine Isotope: Cat. No. Vial: 20 ml, 100 ml, 550 3/01/88
APD2, 5APD2, YAPD2. ml.
Diagnostic Products Corporation...... Amphetamine Reference Vial: 120 ml............. 3/01/88
Preparation: Cat. No. 5YAP7.
Diagnostic Products Corporation...... Amphetamine Reference Vial: 5 ml............... 3/20/89
Preparations, Cat. No. APD5,
APD9.
Diagnostic Products Corporation...... Barbiturate Calibrators B-G: Vial: 3.5 ml............. 3/01/88
Cat. No. BAC4-9.
Diagnostic Products Corporation...... Barbiturate Reference Vial: 120 ml............. 3/01/88
Preparations: Cat. No. 5YBA5.
Diagnostic Products Corporation...... Benzoylecgonine Calibrators Vial: 3.5 ml............. 3/01/88
(CAC) B-F: Cat. No. COC4-8.
Diagnostic Products Corporation...... Benzoylecgonine Calibrators Vial: 3.5 ml............. 3/01/88
(DA) B-F: Cat. No. CND4-8.
Diagnostic Products Corporation...... Benzoylecgonine Calibrators Vial: 3.5 ml............. 3/01/88
(DA): Cat. No. CNC4-8.
Diagnostic Products Corporation...... Benzoylecgonine Reference Vial: 120 ml............. 3/01/88
Preparation (DA): Cat. No.
5YCN5.
Diagnostic Products Corporation...... Benzoylecgonine Reference Vial: 120 ml............. 3/01/88
Preparation: Cat. No. 5YCN5.
Diagnostic Products Corporation...... C-Terminal PTH Antiserum: Cat. Vial: 10 ml.............. 3/01/88
No. PCD1.
Diagnostic Products Corporation...... CON6 Immunoassay Tri-level Kit: 6 vials............. 3/25/91
Control Cat. No. CON6.
Diagnostic Products Corporation...... Canine T3 Isotope: Cat. No. Vial: 120 ml............. 3/01/88
TC32.
Diagnostic Products Corporation...... Coat-A-Count Barbiturates In Kit: 100 tests, 500 tests 3/01/88
Urine: Cat. No. TKBA1, TKBA5.
Diagnostic Products Corporation...... Coat-A-Count Barbiturates Kit: 2500 tests.......... 3/01/88
Qualitative Determination In
Urine: Cat. No. TKBAY.
Diagnostic Products Corporation...... Coat-A-Count Canine T3: Cat. Kit: 100 tests, 500 tests 3/01/88
No. TKC31, TKC35.
Diagnostic Products Corporation...... Coat-A-Count Cocaine Kit: 100 tests, 500 tests 3/01/88
Metabolite: Cat. No. TKCN1,
TKCN5.
Diagnostic Products Corporation...... Coat-A-Count Fentanyl: Cat. No. Kit: 100 tests........... 3/01/88
TKFN1.
Diagnostic Products Corporation...... Coat-A-Count Free Testosterone Kit: 100, 200 Tests...... 3/25/91
Cat. No. TKTF 1, 2.
Diagnostic Products Corporation...... Coat-A-Count LSD 100, 500, Cat. Kit: 8 vials, 19 vials... 3/20/89
No. TKLS1, TKLS5.
Diagnostic Products Corporation...... Coat-A-Count LSD Qualitative Kit: 8 vials............. 3/20/89
Determination in Urine, Cat.
No. TKLSY.
Diagnostic Products Corporation...... Coat-A-Count Metabolite Kit: 2500 tests.......... 3/01/88
Qualitative Determinants In
Urine: Cat. No. TKCNY.
Diagnostic Products Corporation...... Coat-A-Count Methadone: Cat. Kit: 100 tests........... 3/01/88
No. TKMD1.
Diagnostic Products Corporation...... Coat-A-Count Methaqualone: Cat. Kit: 100 tests........... 3/01/88
No. TKMQ1.
Diagnostic Products Corporation...... Coat-A-Count Morphine Kit: 2500 tests.......... 3/01/88
Qualitative Determinations In
Urine: Cat. No. TKMPY.
Diagnostic Products Corporation...... Coat-A-Count Morphine: Cat. No. Kit: 100 tests, 500 3/01/88
TKMP1, TKMP5, TKMPX. tests, 1000 tests.
Diagnostic Products Corporation...... Coat-A-Count Opiates Screen Kit: 2500 tests.......... 3/1/88
Qualitative Determinations In
Urine: Cat. No. TKOSY.
Diagnostic Products Corporation...... Coat-A-Count Opiates Screen: Kit: 100 tests, 500 tests 3/1/88
Cat. No. TK0S1, TKOS5.
Diagnostic Products Corporation...... Coat-A-Count PCP Kit: 100 tests........... 3/1/88
(Phencyclidine) In Urine: Cat.
No. TKCY1.
Diagnostic Products Corporation...... Coat-A-Count PCP Kit: 2500 tests.......... 3/1/88
(Phencyclidine) Qualitative
Determinations In Urine: Cat.
No. TKPCY.
Diagnostic Products Corporation...... Coat-A-Count Serum Morphine: Kit: 100 tests........... 3/1/88
Cat. No. TKSM1.
Diagnostic Products Corporation...... Coat-A-Count Total Testosterone Kit: 100, 200, 500 Tests. 3/25/91
Cat. No. TKTT 1, 2, 5.
Diagnostic Products Corporation...... Donkey Anti-Goat Gamma Globulin Vial: 10 ml.............. 3/1/88
(PTH-Ultra): Cat. No. PTDG.
[[Page 13722]]
Diagnostic Products Corporation...... Double Antibody Amphetamine, Kit: 6 vials............. 3/20/89
Cat. No. KAPD1, KAPD5.
Diagnostic Products Corporation...... Double Antibody Amphetamine, Kit: 2500 tests.......... 3/1/88
Qualitative Determinations In
Urine: Cat. No. KAPDY.
Diagnostic Products Corporation...... Double Antibody Amphetamine: Kit: 100 tests, 500 tests 3/1/88
Cat. No. KAPD1, KAPD5.
Diagnostic Products Corporation...... Double Antibody Cannabinoids Kit: 100 tests, 500 tests 3/1/88
(THC) In Urine: Cat. No.
KTHD1, KTHD5.
Diagnostic Products Corporation...... Double Antibody Cannabinoids Kit: 2500 tests.......... 3/1/88
(THC) Quantitative
Determinations In Urine: Cat.
No. KTHDY.
Diagnostic Products Corporation...... Double Antibody Cocaine Kit: 2500 tests.......... 3/1/88
Metabolite Qualitive
Determination In Urine: Cat.
No. KCNDY.
Diagnostic Products Corporation...... Double Antibody Cocaine Kit: 100 tests, 500 tests 3/1/88
Metabolite: Cat. No. KCND1,
KCND5.
Diagnostic Products Corporation...... Double Antibody PTH-C: KPCD1, Kit: 70 tests, 140 tests. 3/1/88
KPCD2.
Diagnostic Products Corporation...... Double Antibody PTH-M: Cat. No. Kit: 70 tests............ 3/1/88
KPMD1.
Diagnostic Products Corporation...... Double Antibody Testosterone Kit: 100, 200 Tests...... 3/25/91
Cat. No. KTTD1, 2.
Diagnostic Products Corporation...... Double Antibody Ultra-PTH: Cat. Kit: 70 tests, 140 tests. 3/1/88
No. KPTD1, KPTD2.
Diagnostic Products Corporation...... Enzyme-Labeled Amphetamine Cat. Vial: 20ml, 60ml......... 7/5/90
No. MEAP2, 5MEAP2.
Diagnostic Products Corporation...... Enzyme-Labeled Cocaine Glass Vial: 11ml, 60ml... 1/25/91
Metabolite Cat. No. MECC2,
5MECC2.
Diagnostic Products Corporation...... Enzyme-Labeled Methamphetamine Vial: 11ml, 60ml......... 9/28/90
Cat. No. MEMA2, 5MEMA2.
Diagnostic Products Corporation...... Enzyme-Labeled Opiates Cat. No. Vial: 20ml, 60ml......... 7/5/90
MEOP2, 5MEOP2.
Diagnostic Products Corporation...... Enzyme-Labeled PCP Cat. No. Vial: 20ml, 60ml......... 7/5/90
MEPC2, 5MEPC2.
Diagnostic Products Corporation...... Enzyme-Labeled THC Cat. No. Vial: 20ml, 60ml......... 7/5/90
METH 2, 5METH2.
Diagnostic Products Corporation...... EquiCON-DOA Drugs of Abuse Kit: 2 Vials............. 3/25/91
Equine Urine Controls Cat. No.
EDAC.
Diagnostic Products Corporation...... EquiCon-DOA Level 2, 3 Cat. No. Vial: 30ml............... 3/25/91
EDAC 2, 3.
Diagnostic Products Corporation...... Fentanyl Calibrators: Cat. No. Vial: 3.5 ml............. 3/1/88
FNC4-9.
Diagnostic Products Corporation...... Free Testosterone Calibrators Vial: 3.5ml.............. 3/25/91
Cat. No. TFC4-8.
Diagnostic Products Corporation...... Goat Anti-Rabbit Gamma Globulin/ Vial: 110 ml, 320 ml..... 3/1/88
4% PEG Saline: Cat. No. 5N6.
Diagnostic Products Corporation...... LSD Calibrators B-F, Cat. No. Vial: 5 ml............... 3/20/89
LSCH-8.
Diagnostic Products Corporation...... LSD Controls, Cat. No. 5LCO1, Vial: 120ml, 5ml......... 3/20/89
5LCO2, LSCO1, LSCO2.
Diagnostic Products Corporation...... LSD Isotope, Cat. No. TLSY2, Vial: 105 ml, 550 ml..... 3/20/89
TLS2.
Diagnostic Products Corporation...... LSD Reference Preparation, Cat. Vial: 120ml.............. 3/20/89
No. 5YLS6.
Diagnostic Products Corporation...... Low and High Barbiturate Vial: 100 ml............. 3/1/88
Urinary Controls: Cat. No.
5BCO1, 5BCO2.
Diagnostic Products Corporation...... Low and High Benzoylecgonine Vial: 3.5 ml, 100 ml..... 3/1/88
Urinary Controls (DA): Cat.
No. 5COO1, 5COO2, CNC02, CNCO3.
Diagnostic Products Corporation...... Low and High Cannabinoid Vial: 100 ml............. 3/1/88
Urinary Controls: Cat. No.
5TCO1, 5TCO2.
Diagnostic Products Corporation...... Low and High Morphine Urinary Vial: 100 ml............. 3/1/88
Controls: Cat. No. 5MCO1,
5MCO2.
Diagnostic Products Corporation...... Low and High Opiate Urinary Vial: 100 ml............. 3/1/88
Controls: Cat. No. 5OCO1,
5OCO2.
Diagnostic Products Corporation...... Low and High PCP Urinary Vial: 100 ml............. 3/1/88
Controls: Cat. No. 5PCO1,
5PCO2.
Diagnostic Products Corporation...... Methadone Calibrators: Cat. No. Vial: 3.5 ml............. 3/1/88
MDC4-8.
Diagnostic Products Corporation...... Methamphetamine Calibrators Vial: 5ml................ 9/28/90
Cat. No. MMA-8.
Diagnostic Products Corporation...... Methamphetamine Cartridges Cat. Cartridge: 5ml........... 1/25/91
No. VMADC.
Diagnostic Products Corporation...... Methamphetamine Positive Vial: 3ml................ 1/25/91
Reference Cat. No. VMAPC.
[[Page 13723]]
Diagnostic Products Corporation...... Methaqualone Calibrators: Cat. Vial: 3.5 ml............. 3/1/88
No. MQC4-8.
Diagnostic Products Corporation...... Mid-Molecule PTH Antiserum: Vial: 10 ml.............. 3/1/88
Cat. No. PMD1.
Diagnostic Products Corporation...... Milenia Amphetamine Cat. No. Kit: 7 vials, 96 tests, 7/5/90
MKAP1, MKAP5. 480 tests.
Diagnostic Products Corporation...... Milenia Cannabinoids Cat. No. Kit: 6 vials, 96 Tests, 7/5/90
MK TH1, MKTH5. 480 Tests.
Diagnostic Products Corporation...... Milenia Cocaine Metabolite Cat. Kit: 96 Tests, 480 Tests. 1/25/91
No. MKCC1, MKCC5.
Diagnostic Products Corporation...... Milenia Cocaine References and Glass Vial: 5ml.......... 1/25/91
Controls Cat. No. MC3, 6;
MCCC1, 2.
Diagnostic Products Corporation...... Milenia Methamphetamine Cat. Kit: 96 wells, 480 wells. 9/28/90
No. MKMA1, MKMA5.
Diagnostic Products Corporation...... Milenia Opiates Cat. No. MKOP1, Kit: 6 vials, 96 Tests, 7/5/90
MKOP5. 480 Tests.
Diagnostic Products Corporation...... Milenia PCP Cat. No. MKPC1, Kit: 6 vials, 96 tests, 7/5/90
MKPC5. 480 tests.
Diagnostic Products Corporation...... Morphine Calibrators: Cat. No. Vial: 3.5 ml, 10 ml...... 3/1/88
MPC4-8.
Diagnostic Products Corporation...... Morphine Reference Preparation: Vial: 120 ml............. 3/1/88
Cat. No. 5YMPY7.
Diagnostic Products Corporation...... Opiate Calibrators: Cat. No. Vial: 3.5 ml............. 3/1/88
OSC4-8.
Diagnostic Products Corporation...... Opiate Cartridges Cat. No. Cartridge: 5ml........... 7/5/90
VOSDC.
Diagnostic Products Corporation...... Opiates Calibrators Cat. No. Vial: 5ml................ 7/5/90
MOP 4-7.
Diagnostic Products Corporation...... Opiates Positive Reference Cat. Vial: 1ml................ 7/5/90
No. VOSPC.
Diagnostic Products Corporation...... Opiates Reference Preparation: Vial: 120 ml............. 3/1/88
Cat. No. 5YOS7.
Diagnostic Products Corporation...... PCP Calibrators Cat. No. MPC 3- Vial: 5ml................ 7/5/90
7.
Diagnostic Products Corporation...... PCP Calibrators: Cat. No. PCC4- Vial: 3.5 ml............. 3/1/88
8.
Diagnostic Products Corporation...... PCP Reference Preparation: Cat. Vial: 120 ml............. 3/1/88
No. 5YPC6.
Diagnostic Products Corporation...... PTH (C-Terminal) Isotope: Cat. Vial: 10 ml.............. 3/1/88
No. PCD2.
Diagnostic Products Corporation...... PTH (Ultra) Antiserum: Cat. No. Vial: 5 ml............... 3/1/88
PTD1.
Diagnostic Products Corporation...... PTH (Ultra) Isotope: Cat. No. Vial 5 ml................ 3/1/88
PTD2.
Diagnostic Products Corporation...... PTH-M Isotope: Cat. No. PMD2... Vial: 10 ml.............. 3/1/88
Diagnostic Products Corporation...... RIA Controls Level 4, 5, 6 Cat. Vial: 10ml............... 3/25/91
No. CON4, CON5, CON6.
Diagnostic Products Corporation...... Serum Morphine Calibrators: Vial: 3.5 ml............. 3/1/88
Cat. No. SMC4-8.
Diagnostic Products Corporation...... Serum Morphine Controls: Cat. Vail: 3.5 ml............. 3/1/88
No. SMCO2, SMCO3.
Diagnostic Products Corporation...... THC Calibrators B-F: Cat. No. Vial: 3.5 ml............. 3/1/88
THD4-8.
Diagnostic Products Corporation...... THC Calibrators Cat. No. MTH 4- Vial: 5ml................ 7/5/90
7.
Diagnostic Products Corporation...... THC Reference Preparation: Cat. Vial: 120 ml............. 3/1/88
No. 5YTH7.
Diagnostic Products Corporation...... Ten One Methamphetamine Cat. Kit: 12 Tests, 48 Tests.. 1/25/91
No. VKMA1, VKMA4.
Diagnostic Products Corporation...... Ten One Opiates Cat. No. VKSO1, Kit: 1 vial, 12 & 48 5ml 7/5/90
VKSO4. cartridges.
Diagnostic Products Corporation...... Testosterone Calibrators Cat. Vial: 3.5ml.............. 3/25/91
No. TTD3-8.
Diagnostic Products Corporation...... Total Testosterone Calibrators Vial: 3.5ml.............. 3/25/91
Cat. No. TTC4-8.
Diagnostic Products Corporation...... Triiodothyronine (T3) Isotope: Vial: 120 ml............. 3/1/88
Cat. No. TT32.
Diagnostic Products Corporation...... [125I] Free Testosterone Cat. Vial: 105ml.............. 3/25/91
No. TTF2.
Diagnostic Products Corporation...... [125I] Testosterone Cat. No. Vial: 10ml............... 3/25/91
TTD2.
[[Page 13724]]
Diagnostic Products Corporation...... [125I] Total Testosterone Cat. Vial: 105ml.............. 3/25/91
No. TTT 2.
Diagnostic Systems Laboratories, Inc... Active DHT DSL 9600............ Kit: 100 Tests........... 1/25/96
Diagnostics Reagents, Inc.............. Amphetamines Enzyme Conjugate Carboy: 20, 10, 5, 1 L... 10/20/93
Reagent, Bulk.
Diagnostics Reagents, Inc.............. Amphetamines Enzyme Immunoassay Kit: 2 Bottles; 100ml 10/20/93
Kit # 0017. each.
Diagnostics Reagents, Inc.............. Amphetemine Enzyme Immunoassay Kit: 2 Bottles; 500ml 10/20/93
Kit # 0018. each.
Diagnostics Reagents, Inc.............. Barbiturate Enzyme Congugate Carboy: 20, 10, 5, 1 L... 10/20/93
Reagent, Bulk.
Diagnostics Reagents, Inc.............. Barbiturate Enzyme Immunoassay Kit: 2 Bottles; 100 ml 10/20/93
Kit # 0225. each.
Diagnostics Reagents, Inc.............. Barbiturate Enzyme Immunoassay Kit: 2 Bottles; 500ml 10/20/93
Kit # 0226. each.
Diagnostics Reagents, Inc.............. Benzodiazepine Enzyme Conjugate Carboy: 20, 10, 5, 1 L... 10/20/93
Reagent, Bulk.
Diagnostics Reagents, Inc.............. Benzodiazepine Enzyme Kit: 2 Bottles; 100ml 10/20/93
Immunoassay Kit # 0039. each.
Diagnostics Reagents, Inc.............. Benzodiazepine Enzyme Kit: 2 Bottles; 500ml 10/20/93
Immunoassay Kit # 0040. each.
Diagnostics Reagents, Inc.............. Caanbinoid Enzyme Immunoassay Kit: 2 Bottles; 500ml 10/20/93
Kit # 0186. each.
Diagnostics Reagents, Inc.............. Cannabinoid Enzyme Conjugate Carboy: 20, 10, 5, 1 L... 10/20/93
Reagent, Bulk.
Diagnostics Reagents, Inc.............. Cannabinoid Enzyme Immunoassay Kit: 2 Bottles; 100ml 10/20/93
Kit # 0185. each.
Diagnostics Reagents, Inc.............. Cocaine Metabolite Enzyme Carboy: 20, 10, 5, 1 L... 10/20/93
Conjugate Reagent, Bulk.
Diagnostics Reagents, Inc.............. Cocaine Metabolite Enzyme Kit: 2 Bottles; 100ml 10/20/93
Immunoassay Kit # 0055. each.
Diagnostics Reagents, Inc.............. Cocaine Metabolite Enzyme Kit: 2 Bottles; 500ml 10/20/93
Immunoassay Kit # 0056. each.
Diagnostics Reagents, Inc.............. Drugs of Abuse High Calibrator Bottle: 5L, 1L, 500ml.... 10/20/93
A, Bulk.
Diagnostics Reagents, Inc.............. Drugs of Abuse High Calibrator Bottle: 5ml.............. 10/20/93
A, Cat # 0324.
Diagnostics Reagents, Inc.............. Drugs of Abuse High Calibrator, Bottle: 5L, 1L, 500ml.... 10/20/93
Bulk.
Diagnostics Reagents, Inc.............. Drugs of Abuse High Calibrator, Bottle: 5ml.............. 10/20/93
Cat # 0036.
Diagnostics Reagents, Inc.............. Drugs of Abuse Level 2 Control, Bottle: 5L, 1L, 500ml.... 10/20/93
Bulk.
Diagnostics Reagents, Inc.............. Drugs of Abuse Level 2 Control, Bottle: 5ml.............. 10/20/93
Cat # 0208.
Diagnostics Reagents, Inc.............. Drugs of Abuse Level 2A Bottle: 5L, 1L, 500ml.... 10/20/93
Control, Bulk.
Diagnostics Reagents, Inc.............. Drugs of Abuse Level 2A Bottle: 5ml.............. 10/20/93
Control, Cat # 0331.
Diagnostics Reagents, Inc.............. Drugs of Abuse Level I Control, Bottle: 5L, 1L, 500ml.... 10/20/93
Bulk.
Diagnostics Reagents, Inc.............. Drugs of Abuse Level I Control, Bottle: 5ml.............. 10/20/93
Cat # 0210.
Diagnostics Reagents, Inc.............. Drugs of Abuse Level IA Bottle: 5L, 1L, 500ml.... 10/20/93
Control, Bulk.
Diagnostics Reagents, Inc.............. Drugs of Abuse Level IA Bottle: 5ml.............. 10/20/93
Control, Cat # 0329.
Diagnostics Reagents, Inc.............. Drugs of Abuse Low Calibrator Bottle: 5ml.............. 10/20/93
A, Cat # 0322.
Diagnostics Reagents, Inc.............. Drugs of Abuse Low Calibrator, Bottle: 5L, 1L, 500ml.... 10/20/93
Bulk.
Diagnostics Reagents, Inc.............. Drugs of Abuse Low Calibrator, Bottle: 5L, 1L, 500ml.... 10/20/93
Bulk.
Diagnostics Reagents, Inc.............. Drugs of Abuse Low Calibrator, Bottle: 5ml.............. 10/20/93
Cat # 0034.
Diagnostics Reagents, Inc.............. Methadone Enzyme Conjugate Carboy: 20, 10, 5, 1 L... 10/20/93
Reagent, Bulk.
Diagnostics Reagents, Inc.............. Methadone Enzyme Immunoassay Kit: 2 Bottles; 100ml 10/20/93
Kit # 0596. each.
Diagnostics Reagents, Inc.............. Methadone Enzyme Immunoassay Kit: 2 Bottles; 500ml 10/20/93
Kit # 0597. each.
Diagnostics Reagents, Inc.............. Methadone Metabolite Enzyme Carboy: 20, 10, 5, 1 L... 10/20/93
Conjugate Reagent, Bulk.
Diagnostics Reagents, Inc.............. Methadone Metabolite Enzyme Kit: 2 Bottles; 100ml 10/20/93
Immunoassay Kit # 0200. each.
Diagnostics Reagents, Inc.............. Methadone Metabolite Enzyme Kit: 2 Bottles; 500ml 10/20/93
Immunoassay Kit # 0201. each.
Diagnostics Reagents, Inc.............. Methaqualone Enzyme Conjugate Carboy: 20, 10, 5, 1 L... 10/20/93
Reagent, Bulk.
Diagnostics Reagents, Inc.............. Methaqualone Enzyme Immunoassay Kit: 2 Bottles; 100ml 10/20/93
Kit # 0514. each.
Diagnostics Reagents, Inc.............. Methaqualone Enzyme Immunoassay Kit: 2 Bottles; 500ml 10/20/93
Kit # 0515. each.
Diagnostics Reagents, Inc.............. Opiate Enzyme Conjugate Carboy: 20, 10, 5, 1 L... 10/20/93
Reagent, Bulk.
Diagnostics Reagents, Inc.............. Opiate Enzyme Immunoassay Kit # Kit: 2 Bottles; 100ml 10/20/93
0135. each.
Diagnostics Reagents, Inc.............. Opiate Enzyme Immunoassay Kit # Kit: 2 Bottles; 500ml 10/20/93
0136. each.
Diagnostics Reagents, Inc.............. Phencyclidine Enzyme Conjugate Carboy: 20, 10, 5, 1 L... 10/20/93
Reagent, Bulk.
Diagnostics Reagents, Inc.............. Phencyclidine Enzyme Kit: 2 Bottles; 100ml 10/20/93
Immunoassay Kit # 0160. each.
Diagnostics Reagents, Inc.............. Phencyclidine Enzyme Kit: 2 Bottles; 500ml 10/20/93
Immunoassay Kit # 0161. each.
Diagnostics Reagents, Inc.............. Propoxyphene Enzyme Conjugate Carboy: 20, 10, 5, 1 L... 10/20/93
Reagent, Bulk.
Diagnostics Reagents, Inc.............. Propoxyphene Enzyme Immunoassay Kit: 2 Bottles; 100 ml 10/20/93
Kit # 0432. each.
Diagnostics Reagents, Inc.............. Propoxyphene Enzyme Immunoassay Kit: 2 Bottles; 500ml 10/20/93
Kit # 0433. each.
Diagnostics Reagents, Inc.............. THC Urine Calibrator 100ng/ml, Bottle: 5L, 1L, 500ml.... 10/20/93
Bulk.
Diagnostics Reagents, Inc.............. THC Urine Calibrator 100ng/ml, Bottle: 5ml.............. 10/20/93
Cat # 0044.
Diagnostics Reagents, Inc.............. THC Urine Calibrator 200ng/ml Bottle: 5ml.............. 10/20/93
Cat # 0206.
Diagnostics Reagents, Inc.............. THC Urine Calibrator 200ng/ml, Bottle: 5L, 1L, 500ml.... 10/20/93
Bulk.
Diagnostics Reagents, Inc.............. THC Urine Calibrator 50ng/ml... Bottle: 5ml.............. 10/20/93
Diagnostics Reagents, Inc.............. THC Urine Calibrator 50ng/ml, Bottle: 5L, 1L, 500ml.... 10/20/93
Bulk.
Diagnostics Reagents, Inc.............. THC Urine Calibrator, 20ng/ml, Bottle: 5ml.............. 10/20/93
Cat # 0235.
Diagnostics Reagents, Inc.............. THC Urine Control 125ng/ml, Bottle: 5L, 1L, 500ml.... 10/20/93
Bulk.
Diagnostics Reagents, Inc.............. THC Urine Control 40ng/ml, Bulk Bottle: 5L, 1L, 500ml.... 10/20/93
Diagnostics Reagents, Inc.............. THC Urine Control 60ng/ml, Bulk Bottle: 5L, 1L, 500ml.... 10/20/93
Diagnostics Reagents, Inc.............. THC Urine Control 75ng/ml, Bulk Bottle: 5L, 1L, 500ml.... 10/20/93
Diagnostics Reagents, Inc.............. THC Urine Control, 125ng/ml, Bottle: 5ml.............. 10/20/93
Cat # 0212.
Diagnostics Reagents, Inc.............. THC Urine Control, 40ng/ml, Cat Bottle: 5ml.............. 10/20/93
# 0170.
Diagnostics Reagents, Inc.............. THC Urine Control, 60ng/ml, Cat Bottle: 5ml.............. 10/20/93
# 0168.
Diagnostics Reagents, Inc.............. THC Urine Control, 75ng/ml, Cat Bottle: 5ml.............. 10/20/93
# 0214.
Diagnostics Reagents, Inc.............. THC urine Calibrator 20ng/ml, Bottle: 5L, 1L, 500ml.... 10/20/93
Bulk.
Diagnostics Systems Laboratories Inc... DHEA Standards, A-F, DSL 8901- Vial: 3.5ml.............. 10/08/93
8906.
Diagnostics Systems Laboratories Inc... Radioimmunoassay Kit for the Kit: 100 Tests........... 10/08/93
Measurement of
Dehydroepiandrosterone (DHEA),
DSL 8900.
[[Page 13725]]
Diagnostics Systems Laboratories Inc... Radioimmunoassay Kit for the Kit; 100 Tests........... 10/08/93
Measurement of
Dehydroepiandrosterone (DHEA),
DSL 9000.
Diagnostics Systems Laboratories Inc... Radioimmunoassay Kit for the Kit: 100 Tests........... 10/08/93
Quantitative Measurement of
Testosterone, DSL 4000.
Diagnostics Systems Laboratories Inc... Radioimmunoassay Kit for the Kit: 100 Tests........... 10/08/93
Quantitative Measurement of
Testosterone, DSL 4100.
Diagnostics Systems Laboratories Inc... Testosterone Controls I and II, Vial: 3.5ml.............. 10/08/93
DSL 4051 & 4052.
Diagnostics Systems Laboratories Inc... Testosterone Standards A-F, DSL Vial: 3.5ml.............. 10/08/93
4001-4006.
Diamedix Corporation................... Barbital-Acetate Buffer, Powder Package: 20 envelopes- 7/27/72
709-317. 10.65 g. per envelope.
Diamedix Corporation................... CEP Plate-Amebiasis Testing 40 Plate: 40mm x 80mm x 8/9/73
Test No. 730-274. 2.5mm.
Diamedix Corporation................... CEP VI No. 709-339............. Plate: 40mm x 80mm x 8/9/73
2.5mm.
Diamedix Corporation................... Counterelectrophoresis (CEP) Plastic plates: 40mm x 6/16/75
Plates for Trichinosis Testing. 80mm x 2.5mm.
Diamedix Corporation................... EDTA (0.014M)-GVB Buffer, 753- Bottle: 5ml.............. 8/9/73
034.
Diamedix Corporation................... EDTA (0.01M)-GVB Buffer, 753- Bottle: 5ml.............. 8/9/73
031.
Diamedix Corporation................... GVB(3+) Buffer 753-037......... Bottle: 50ml............. 8/9/73
Diamedix Corporation................... Glucose-GVB 1 Buffer, 753-036.. Bottle: 50ml............. 8/9/73
DuPont Medical Products................ DuPont aca Urine Drugs of Abuse Carton: 10 Vials; 6ml/ 5/25/95
Control (Negative/Positive). vial.
Duo Research, Inc...................... Drug Testing Assessment Program Kit: 25 bottles.......... 12/26/86
Quality Control Samples.
Duo Research, Inc...................... Drug Testing Assessment Program- Bottle: 65ml............. 2/27/86
Quality Control Sample.
Duo Research, Inc...................... Drug Testing Assessment Program- Kit: 5-65ml bottles...... 2/27/86
Quality Control Sample Kit.
DynaGen, Inc........................... Benzoylecgonine and delta-8 THC- Plastic Bottle: 100ml.... 7/27/93
Carboxylic Acid Cat # 700-111.
DynaGen, Inc........................... D-Amphetamine and DL- Plastic Bottle: 100ml.... 7/27/93
Methamphetamine Cat # 700-107.
DynaGen, Inc........................... D-Amphetamine, D- Plastic Bottle: 100ml.... 7/27/93
Methamphetamine and delta-9
THC-Carboxylic Acid Cat # 700-
112.
DynaGen, Inc........................... D-Amphetamine, Pseudoephedrine, Plastic Bottle: 100ml.... 7/27/93
DL-Methamphetamine and
Phenylpropanolamine Cat # 700-
116.
DynaGen, Inc........................... DL-Methamphetamine Cat # 700- Plastic Bottle: 100ml.... 7/27/93
110.
DynaGen, Inc........................... Hydrocodone Cat # 700-106...... Plastic bottle: 100ml.... 7/27/93
DynaGen, Inc........................... Hydromorphone Cat # 700-108.... Plastic Bottle: 100ml.... 7/27/93
DynaGen, Inc........................... Methadone Cat # 700-118........ Plastic Bottle: 100ml.... 7/27/93
DynaGen, Inc........................... Methaqualone Cat # 700-119..... Plastic Bottle: 100ml.... 7/27/93
DynaGen, Inc........................... Morphine, Codeine and 6- Plastic Bottle: 100ml.... 7/27/93
Monoacetylmorphine Cat # 700-
114.
DynaGen, Inc........................... Oxazepam Cat # 700-120......... Plastic Bottle: 100ml.... 7/27/93
DynaGen, Inc........................... PeoCheck Blind Performance Kit: 25 Bottles; 100ml 7/27/93
Specimens Cat # 500-100. plastic.
DynaGen, Inc........................... Phencyclidine and Hydrocodone Plastic Bottle: 100ml.... 7/27/93
Cat # 700-115.
DynaGen, Inc........................... ProCheck Blind Performance Kit: 5 bottles; 100ml 7/27/93
Specimens Cat # 500-200. plastic.
DynaGen, Inc........................... Propoxyphene Cat # 700-121..... Plastic Bottle: 100ml.... 7/27/93
DynaGen, Inc........................... Secobarbital Cat # 700-117..... Plastic Bottle: 100ml.... 7/27/93
DynaGen, Inc........................... delta 9 THC-Carboxylic Acid and Plastic Bottle: 100ml.... 7/27/93
Phentermine Cat # 700-113.
E.I. duPont de Nemours & Co., Inc...... (1) PREP Sample Preparation and Kit containing following: 9/25/78
Analysis Kit.
E.I. duPont de Nemours & Co., Inc...... (2) PREP Buffer/Internal Box containing following: 9/25/78
Standard and Liquid
Chromatography Verifier.
E.I. duPont de Nemours & Co., Inc...... (2a) PREP Liquid Chromatography Vial: 10ml (1 vial/box).. 9/25/78
Verifier.
E.I. duPont de Nemours & Co., Inc..
FR Doc. 96-7385 Exempt Chemical Preparations
.... (2b) PREP Buffer/Internal Vial: 100ml (3 vials/box) 9/25/78
Standard.
E.I. duPont de Nemours & Co., Inc...... (3) PREP Calibrators........... Box containing following: 9/25/78
E.I. duPont de Nemours & Co., Inc...... (3a) PREP Calibrator-Level 1... Vial: 10ml (1 vial/box).. 9/25/78
E.I. duPont de Nemours & Co., Inc...... (3b) PREP Calibrator-Level 2... Vial: 10ml (1 vial/box).. 9/25/78
E.I. duPont de Nemours & Co., Inc...... (3c) PREP Calibrator-Level 3... Vial: 10ml ( 1 vial/box). 9/25/78
E.I. duPont de Nemours & Co., Inc...... (3d) PREP Calibrator-Level 4... Vial: 10ml (1 vial/box).. 9/25/78
E.I. duPont de Nemours & Co., Inc...... (4) PREP Controls.............. Box containing following: 9/25/78
E.I. duPont de Nemours & Co., Inc...... (4a) PREP Control-Low Level.... Vial: 10ml (2 vials/box). 9/25/78
E.I. duPont de Nemours & Co., Inc...... (4b) PREP Control-High Level... Vial: 10ml (2 vials/box). 9/25/78
E.I. duPont de Nemours & Co., Inc...... Cocaine [N-Methyl-3H].......... Vial: 1 or 5ml........... 10/4/95
E.I. duPont de Nemours & Co., Inc...... DM/TU Saturating Reagent....... Plastic Bottle: 1L, 10L, 2/22/89
20L.
[[Page 13726]]
E.I. duPont de Nemours & Co., Inc...... DuPont Drug Calibrator-A Vial: 6ml, Box: 10 vials. 9/28/90
(levels 1-5).
E.I. duPont de Nemours & Co., Inc...... DuPont Drug Calibrators- Levels Vial: 6ml (1 vial and 2 4/4/86
1 through 5. vials/box).
E.I. duPont de Nemours & Co., Inc...... DuPont Phenobarbital Assay..... Vial: 6 ml............... 10/13/86
E.I. duPont de Nemours & Co., Inc...... DuPont U Amp Enzyme Pack Bottle: 1 liter.......... 10/19/87
Reagent.
E.I. duPont de Nemours & Co., Inc...... DuPont U Barb Enzyme Pack Bottle: 1 liter.......... 10/19/87
Reagent.
E.I. duPont de Nemours & Co., Inc...... DuPont U Benz Enzyme Pack Bottle: 1 liter.......... 10/19/87
Reagent.
E.I. duPont de Nemours & Co., Inc...... DuPont U COC Enzyme Pack Bottle: 1 liter.......... 10/19/87
Reagent.
E.I. duPont de Nemours & Co., Inc...... DuPont U OPI Enzyme Pack Bottle: 1 liter.......... 8/28/87
Reagent.
E.I. duPont de Nemours & Co., Inc...... DuPont U THC Enzyme Pack Bottle: 1 Liter.......... 1/4/88
Reagent.
E.I. duPont de Nemours & Co., Inc...... DuPont Urine Drugs-of-Abuse Box: 6 Vials, 6ml Vial... 7/27/87
Calibrator (Levels 0, 1, 2).
E.I. duPont de Nemours & Co., Inc...... DuPont Urine Drugs-of-Abuse Vial: 6ml................ 8/3/87
Control.
E.I. duPont de Nemours & Co., Inc...... DuPont aca Barbiturate Screen Plastic Packs: 25 tests.. 12/23/84
Analytical Test Pack.
E.I. duPont de Nemours & Co., Inc...... DuPont aca Barbiturate Screen/ 6 Vials: 3ml............. 2/23/84
Benzodiazepine Screen
Calibrator.
E.I. duPont de Nemours & Co., Inc...... DuPont aca Benzodiazepine Plastic Packs: 25 tests.. 2/23/84
Screen Analytical Test Pack.
E.I. duPont de Nemours & Co., Inc...... Phenobarbital Calibrator-Level Vial: 6ml (1 vial/box)... 4/2/86
1.
E.I. duPont de Nemours & Co., Inc...... Phenobarbital Calibrator-Level Vial: 6ml (1 vial/box)... 4/2/86
2.
E.I. duPont de Nemours & Co., Inc...... Phenobarbital Calibrator-Level Vial: 6ml (1 vial/box)... 4/2/86
3.
E.I. duPont de Nemours & Co., Inc...... Phenobarbital Calibrator-Level Vial: 6ml (1 vial/box)... 4/2/86
4.
E.I. duPont de Nemours & Co., Inc...... Phenobarbital Calibrator-Level Vial: 6ml (1 vial/box)... 4/2/86
5.
E.I. duPont de Nemours & Co., Inc...... Theophylline Calibrator Levels Vial: 6ml. Box contains 2 9/21/88
1, 2 and 3. vials each level.
E.I. duPont de Nemours & Co., Inc...... Thyroid Rotor.................. Foil Pouch: 1 Rotor Shelf 10/25/88
Carton: 10 Rotors Box: 5
Shelf Cartons (50
Rotors).
E.I. duPont de Nemours & Co., Inc...... Thyronine (TU) Uptake Flex..... 32 Test Cartridge, 3/29/89
Carton: 7 cartridges.
E.I. duPont de Nemours & Co., Inc...... Thyronine (TU) Uptake Flex(tm) Plastic container: 2.3ml 4/28/86
Reagent Cartridge. (20 tests).
E.I. duPont de Nemours & Co., Inc...... Urine Amphetamine (U Amp) Test Carton: 50 tests......... 8/27/87
Pack.
E.I. duPont de Nemours & Co., Inc...... Urine Barbiturate (U Barb) Test Carton: 50 tests......... 8/27/87
Pack.
E.I. duPont de Nemours & Co., Inc...... Urine Benzodiazepine (U Benz) Carton: 50 tests......... 8/27/87
Test Pack.
E.I. duPont de Nemours & Co., Inc...... Urine Cannabinoid (U THC) Test Carton: 50 tests......... 11/9/87
Pack.
E.I. duPont de Nemours & Co., Inc...... Urine Cocaine (U COC) Test Pack Carton: 50 tests......... 8/27/87
E.I. duPont de Nemours & Co., Inc...... Urine Opiate (U OPI) Test Pack. Carton: 50 tests......... 7/8/87
E.I. duPont de Nemours & Co., Inc...... aca PHNO Analytical Test Pack.. Carton: 40 tests packs... 8/25/77
E.I. duPont de Nemours & Co., Inc...... aca Thryonine Uptake Analytical Plastic Pack: 1 test..... 8/25/83
Test Pack.
E.I. duPont de Nemours & Co., Inc...... aca Urine Methadone Calibrator Vial: 10ml............... 9/17/93
(Level 1 & 2).
E.I. duPont de Nemours & Co., Inc...... aca Urine Methadone Control Vial: 6ml................ 9/17/93
(Negative/Positive).
E.I. duPont de Nemours & Co., Inc., 5-Cyclohexenyl-3,5,-Dimethyl Combi-Vial: 250 1/4/77
Medical Products. barbituric Acid (3H(G)), microcuries, 1
Catalog No. NET-426. millicurie, and 5
millicuries.
E.I. duPont de Nemours & Co., Inc., Acetaldehyde (1, 2-14C) as Pyrex Glass Breakseal 1/4/77
Medical Products. Paraldehyde, Catalog No. NEC- Tube: 250 microcuries, 1
158. millicurie.
[[Page 13727]]
E.I. duPont de Nemours & Co., Inc., Cocaine, Levo-[Benzoyl] [3.4- Combi-Vial: 100 1/4/77
Medical Products. 3H(N)] Catalog No. NET-510. microcuries, 250
microcuries.
E.I. duPont de Nemours & Co., Inc., Diazepam [Methyl-3H] Catalog Combi-Vial: 0.250 9/6/79
Medical Products. No. NET-564. millicuries, 1.0
millicurie.
E.I. duPont de Nemours & Co., Inc., Dihydromorphine [7, 8-3H(N)]... Combi-Vial: 250 1/4/77
Medical Products. microcuries, 1
millicurie.
E.I. duPont de Nemours & Co., Inc., Dihydromorphine [N-Methyl-3H] Combi-Vial: 0.250 2/29/80
Medical Products. NET-658. millicuries, 1.0
millicurie.
E.I. duPont de Nemours & Co., Inc., Dihydrotestosterone, [1, 2, 4, NENSURE Vial: 0.8ml, 11/1/91
Medical Products. 5, 6, 7, 16, 17-3H(N)]. 6.2ml.
E.I. duPont de Nemours & Co., Inc., Dihydrotestosterone, [1, 2, 4, NENSURE Vial: 0.8ml, 11/1/91
Medical Products. 5, 6, 7-3H(N)]-. 6.2ml.
E.I. duPont de Nemours & Co., Inc., Dihydrotestosterone, [1, 2- NENSURE Vial: 0.8ml, 11/1/91
Medical Products. 3H(N)]. 6.2ml.
E.I. duPont de Nemours & Co., Inc., Dihydrotestosterone, [4-14C]-.. NENSURE Vial: 0.8ml, 11/1/91
Medical Products. 6.2ml.
E.I. duPont de Nemours & Co., Inc., Drug Discovery Kit, No. NED- Kit: 100 tests, 500 tests 8/8/89
Medical Products. 002, NED-002A.
E.I. duPont de Nemours & Co., Inc., Drugs of Abuse Controls........ Bottle: 5ml.............. 1/11/95
Medical Products.
E.I. duPont de Nemours & Co., Inc., Flunitrazepam (Methyl-3H)...... Combi-Vial: 5 8/8/89
Medical Products. microcuries, 14
microcuries.
E.I. duPont de Nemours & Co., Inc., Flunitrazepam 2.5 Micro M...... Combi-Vial: 2.0 ml....... 8/8/89
Medical Products.
E.I. duPont de Nemours & Co., Inc., Flunitrazepam [Methyl-3H] NET Combi-Vial: 0.250 4/29/87
Medical Products. 567. millicuries, 1.0
millicurie.
E.I. duPont de Nemours & Co., Inc., LSD [N-Methyl-3H] NET-638...... Combi-Vial: 0.250 11/6/79
Medical Products. millicuries, 1.0
millicurie.
E.I. duPont de Nemours & Co., Inc., Mazindol (4'-3H) Catalog No.NET- Combi-Vial: 0.250 5/17/84
Medical Products. 816. millicuries, 1.0
millicurie.
E.I. duPont de Nemours & Co., Inc., Methylenedioxymethamphetamine, Combi-Vial: 0.0250 8/25/75
Medical Products. (+)3,4-[N-methyl-3H] NET 957. millicuries, 0.25
millicuries, 1.0
millicuries.
E.I. duPont de Nemours & Co., Inc., Methylphenidate, +/- Combi-Vial: 0.250 6/11/84
Medical Products. threo[methyl-3H]NET-857. millicuries, 1.0
millicurie.
E.I. duPont de Nemours & Co., Inc., Mibolerone..................... Glass Vial: 5ml.......... 11/1/91
Medical Products.
E.I. duPont de Nemours & Co., Inc., Mibolerone, [17Alpha-methyl-3H]- NENSURE Vial: 0.8ml, 11/1/91
Medical Products. . 6.2ml.
E.I. duPont de Nemours & Co., Inc., Morphine [N-methyl-3H] NET-653. Combi-Vial: 0.250 2/29/80
Medical Products. millicuries, 1.0
millicurie.
E.I. duPont de Nemours & Co., Inc., N-[1-(2-Thienyl) Cyclohexyl]-3, Combi-Vial: 0.250 6/11/84
Medical Products. 4-Piperidine (Piperidyl-3,4- millicuries, 1.0
3H)NET-886. millicurie.
E.I. duPont de Nemours & Co., Inc., Phencyclidine [Piperidyl-3,4- Combi-Vial: 0.250 9/6/79
Medical Products. 3H(N)], Catalog No.NET-630. millicurie, 1.0
millicurie.
E.I. duPont de Nemours & Co., Inc., Phenobarbital (PHNO) Flex Cartridge: Plastic....... 5/26/94
Medical Products. Reagent Cartridge.
E.I. duPont de Nemours & Co., Inc., Testosterone, [1,2,6,7,16,17- NENSURE Vial: 0.8ml, 11/1/91
Medical Products. 3H(N)]. 6.2ml.
E.I. duPont de Nemours & Co., Inc., Testosterone, [1,2,6,7-3H(N)]-. NENSURE Vial: 0.8ml, 11/1/91
Medical Products. 6.2ml.
E.I. duPont de Nemours & Co., Inc., Testosterone, [1Alpha, 2Alpha, - NENSURE Vial: 0.8ml, 11/1/91
Medical Products. 3H(N)]-. 6.2ml.
E.I. duPont de Nemours & Co., Inc., Testosterone, [1Beta, 2Beta,- NENSURE Vial: 0.8ml, 11/1/91
Medical Products. 3H(N)]-. 6.2ml.
E.I. duPont de Nemours & Co., Inc., Testosterone, [4-14C]-......... NENSURE Vial: 0.8ml, 11/1/91
Medical Products. 6.2ml; Glass Vial: 10ml.
E.I. duPont de Nemours & Co., Inc., Testosterone, [7-3H(N)]-....... NENSURE Vial: 0.8ml, 11/1/91
Medical Products. 6.2ml.
E.I. duPont de Nemours & Co., Inc., Urine Cannabinoids Screen Cartridge: Plastic....... 4/19/94
Medical Products. (UTHC) Flex Reagent Cartridge.
E.I. duPont de Nemours & Co., Inc., Urine Cocaine Metabolites Cartridge: Plastic....... 4/19/94
Medical Products. Screen (UCOC) Flex Reagent
Cartridge.
E.I. duPont de Nemours & Co., Inc., Urine Opiates Screen (UOPI) Cartridge: Plastic....... 4/19/94
Medical Products. Flex Reagent Cartridge.
E.I. duPont de Nemours & Co., Inc., d-Amphetamine Sulfate (3H(G)), Combi-Vial: 250 1/4/77
Medical Products. Catalog No. NET-140. microcuries, 1
millicurie, and 5
millicuries.
EDITEK Inc............................. EZ-SCREEN Amphetamines Bulk Bottle: 250ml............ 8/17/94
Conjugate.
EDITEK Inc............................. EZ-SCREEN Amphetamines Bulk Bottle: 4L............... 8/17/94
Positive Control.
EDITEK Inc............................. EZ-SCREEN Amphetamines Positive Flask: 100ml............. 8/17/94
Control Stock.
EDITEK Inc............................. EZ-SCREEN Amphetamines QC Tube: 50ml............... 8/17/94
Standard.
EDITEK Inc............................. EZ-SCREEN Barbiturates Bulk Tube: 50ml............... 8/17/94
Conjugate.
[[Page 13728]]
EDITEK Inc............................. EZ-SCREEN Barbiturates Bulk Bottle: 8L............... 8/17/94
Positive Control.
EDITEK Inc............................. EZ-SCREEN Barbiturates Positive Flask: 100ml............. 8/17/94
Control Stock.
EDITEK Inc............................. EZ-SCREEN Barbiturates QC Tube: 50ml............... 8/17/94
Standard.
EDITEK Inc............................. EZ-SCREEN CANNABINOID/COCAINE Tube: 2.2ml.............. 8/17/94
0.5ml Positive Control.
EDITEK Inc............................. EZ-SCREEN CANNABINOID/COCAINE Bottle: 15ml............. 8/17/94
5.0ml Positive Control.
EDITEK Inc............................. EZ-SCREEN CANNABINOID/COCAINE/ Bottle: 20L.............. 8/17/94
OPIATES Bulk Positive Control.
EDITEK Inc............................. EZ-SCREEN COCAINE Bulk Bottle: 250ml............ 8/17/94
Conjugate.
EDITEK Inc............................. EZ-SCREEN COCAINE Bulk Positive Bottle: 8L............... 8/17/94
Control.
EDITEK Inc............................. EZ-SCREEN COCAINE Positive Flask: 100ml............. 8/17/94
Control.
EDITEK Inc............................. EZ-SCREEN COCAINE QC Standard.. Tube: 50ml............... 8/17/94
EDITEK Inc............................. EZ-SCREEN OPIATES Bulk Tube: 50ml............... 8/17/94
Conjugate.
EDITEK Inc............................. EZ-SCREEN OPIATES Bulk Positive Bottle: 4L............... 8/17/94
Control.
EDITEK Inc............................. EZ-SCREEN OPIATES Positive Flask: 100ml............. 8/17/94
Control Stock.
EDITEK Inc............................. EZ-SCREEN OPIATES QC Standard.. Tube: 50ml............... 8/17/94
EDITEK Inc............................. EZ-SCREEN PCP Bulk Conjugate... Tube: 50ml............... 8/17/94
EDITEK Inc............................. EZ-SCREEN PCP Bulk Positive Bottle: 2L............... 8/17/94
Control.
EDITEK Inc............................. EZ-SCREEN PCP Positive Control Flask: 100ml............. 8/17/94
Stock.
EDITEK Inc............................. EZ-SCREEN PCP QC Standard...... Tube: 50ml............... 8/17/94
EDITEK Inc............................. EZ-SCREEN THC Bulk Conjugate... Tube: 50ml............... 8/17/94
EDITEK Inc............................. EZ-SCREEN THC Bulk Positive Bottle: 8L............... 8/17/94
Control.
EDITEK Inc............................. EZ-SCREEN THC Positive Control Flask: 10ml.............. 8/17/94
Stock.
EDITEK Inc............................. EZ-SCREEN THC QC Standard...... Tube: 50ml............... 8/17/94
EDITEK Inc............................. EZ-SCREEN: Amphetamines 0.5ml Tube: 2.2ml.............. 8/17/94
Positive Control.
EDITEK Inc............................. EZ-SCREEN: Amphetamines 20-Test Kit: 20 Tests............ 8/17/94
Bulk Kit.
EDITEK Inc............................. EZ-SCREEN: Amphetamines 20-Test Kit: 20 Tests............ 8/17/94
Pack.
EDITEK Inc............................. EZ-SCREEN: Amphetamines 5.0ml Bottle: 15ml............. 8/17/94
Positive Control.
EDITEK Inc............................. EZ-SCREEN: Amphetamines Enzyme Ampule: 0.8ml............ 8/17/94
Conjugate.
EDITEK Inc............................. EZ-SCREEN: Amphetamines Test Kit: 1 Test.............. 8/17/94
Kit.
EDITEK Inc............................. EZ-SCREEN: Barbiturates 0.5ml Tube: 2.2ml.............. 8/17/94
Positive Control.
EDITEK Inc............................. EZ-SCREEN: Barbiturates 20-Test Kit: 20 Tests............ 8/17/94
Bulk Kit.
EDITEK Inc............................. EZ-SCREEN: Barbiturates 20-Test Kit: 20 Tests............ 8/17/94
Pack.
EDITEK Inc............................. EZ-SCREEN: Barbiturates 5.0ml Bottle: 15ml............. 8/17/94
Positive Control.
EDITEK Inc............................. EZ-SCREEN: Barbiturates Enzyme Ampule: 0.8ml............ 8/17/94
Conjugate.
EDITEK Inc............................. EZ-SCREEN: Barbiturates Test Kit: 1 Test.............. 8/17/94
Kit.
EDITEK Inc............................. EZ-SCREEN: CANNABINOID 0.5 ml Tube: 2.2ml.............. 8/17/94
Positive Control.
EDITEK Inc............................. EZ-SCREEN: CANNABINOID 20-Test Kit: 20 Tests............ 8/17/94
Bulk Kit.
EDITEK Inc............................. EZ-SCREEN: CANNABINOID 20-Test Kit: 20 Tests............ 8/17/94
Pack.
EDITEK Inc............................. EZ-SCREEN: CANNABINOID 5.0ml Bottle: 15ml............. 8/17/94
Positive Control.
EDITEK Inc............................. EZ-SCREEN: CANNABINOID Enzyme Ampule: 0.8ml............ 8/17/94
Conjugate.
EDITEK Inc............................. EZ-SCREEN: CANNABINOID Test Kit Kit: 1 Test.............. 8/17/94
EDITEK Inc............................. EZ-SCREEN: CANNABINOID/COCAINE Kit: 20 Tests............ 8/17/94
20-Test Bulk Kit.
EDITEK Inc............................. EZ-SCREEN: CANNABINOID/COCAINE Kit: 20 Tests............ 8/17/94
20-Test Pack.
EDITEK Inc............................. EZ-SCREEN: CANNABINOID/COCAINE Ampule: 0.8ml............ 8/17/94
Enzyme Conjugate.
EDITEK Inc............................. EZ-SCREEN: CANNABINOID/COCAINE Kit: 1 Test.............. 8/17/94
Test Kit.
EDITEK Inc............................. EZ-SCREEN: CANNABINOID/COCAINE/ Tube: 2.2ml.............. 8/17/94
OPIATES 0.5ml Positive Control.
EDITEK Inc............................. EZ-SCREEN: CANNABINOID/COCAINE/ Kit: 10 Tests............ 8/17/94
OPIATES 10-Test Bulk Kit.
EDITEK Inc............................. EZ-SCREEN: CANNABINOID/COCAINE/ Kit: 20 Tests............ 8/17/94
OPIATES 20-Test Kit Pack.
EDITEK Inc............................. EZ-SCREEN: CANNABINOID/COCAINE/ Bottle: 15ml............. 8/17/94
OPIATES 5.0ml Positive Control.
EDITEK Inc............................. EZ-SCREEN: CANNABINOID/COCAINE/ Ampule: 0.8ml............ 8/17/94
OPIATES Enzyme Conjugate.
EDITEK Inc............................. EZ-SCREEN: CANNABINOID/COCAINE/ Kit: 1 Test.............. 8/17/94
OPIATES Test Kit.
EDITEK Inc............................. EZ-SCREEN: COCAINE 0.5ml Tube: 2.2ml.............. 8/17/94
Positive Control.
EDITEK Inc............................. EZ-SCREEN: COCAINE 20 Test Bulk Kit: 20 Tests............ 8/17/94
Kit.
EDITEK Inc............................. EZ-SCREEN: COCAINE 20-Test Pack Kit: 20 Tests............ 8/17/94
EDITEK Inc............................. EZ-SCREEN: COCAINE 5.0ml Bottle: 15ml............. 8/17/94
Positive Control.
EDITEK Inc............................. EZ-SCREEN: COCAINE Enzyme Ampule: 0.8ml............ 8/17/94
Conjugate.
EDITEK Inc............................. EZ-SCREEN: COCAINE Test Kit.... Kit: 1 Test.............. 8/17/94
EDITEK Inc............................. EZ-SCREEN: OPIATES 0.5ml Tube: 2.2ml.............. 8/17/94
Positive Control.
EDITEK Inc............................. EZ-SCREEN: OPIATES 20 Test Pack Kit: 20 Tests............ 8/17/94
EDITEK Inc............................. EZ-SCREEN: OPIATES 20-Test Bulk Kit: 20 Tests............ 8/17/94
Kit.
EDITEK Inc............................. EZ-SCREEN: OPIATES 5.0ml Bottle: 15ml............. 8/17/94
Positive Control.
EDITEK Inc............................. EZ-SCREEN: OPIATES Enzyme Ampule: 0.8ml............ 8/17/94
Conjugate.
EDITEK Inc............................. EZ-SCREEN: OPIATES Test Kit.... Kit: 1 Test.............. 8/17/94
EDITEK Inc............................. EZ-SCREEN: PCP 0.5ml Positive Ampule: 0.8ml............ 8/17/94
Control.
EDITEK Inc............................. EZ-SCREEN: PCP 20-Test Bulk Kit Kit: 20 Tests............ 8/17/94
[[Page 13729]]
EDITEK Inc............................. EZ-SCREEN: PCP 20-Test Kit..... Kit: 20 Tests............ 8/17/94
EDITEK Inc............................. EZ-SCREEN: PCP 5.0ml Positive Bottle: 15ml............. 8/17/94
Control.
EDITEK Inc............................. EZ-SCREEN: PCP Enzyme Conjugate Ampule: 0.8ml............ 8/17/94
EDITEK Inc............................. EZ-SCREEN: PCP Test Kit........ Kit: 1 Test.............. 8/17/94
EDITEK Inc............................. VERDICT COCAINE One-Step Drug Pouch: 1 each; Box: 50 8/2/94
Test; Product # 600230. Pouches.
EDITEK Inc............................. VERDICT Cocaine Bulk Conjugate. Vial: 2ml................ 8/14/94
EDITEK Inc............................. VERDICT Cocaine Bulk Conjugate. Vial: 2ml................ 8/14/94
EDITEK Inc............................. VERDICT Cocaine QC Standard.... Tube: 50ml............... 8/14/94
EDITEK Inc............................. VERDICT OPIATES One-Step Drug Pouch: 1 each; Box: 50 8/2/94
Test; Product # 600233. Pouches.
EDITEK Inc............................. VERDICT Opiates Bulk Conjugate. Vial: 2ml................ 8/14/94
EDITEK Inc............................. VERDICT Opiates Bulk Conjugate. Vial: 5ml................ 8/14/94
EDITEK Inc............................. VERDICT Opiates QC Standard.... Tube: 15ml............... 8/14/94
EDITEK Inc............................. VERDICT PCP 50-Test Kit, Cat # Kit: 50 Tests............ 1/11/96
600226.
EDITEK Inc............................. VERDICT PCP Bulk Conjugate Vial: 2ml................ 1/11/96
0.5ml, 2.0ml.
EDITEK Inc............................. VERDICT PCP QC Standard........ Tube: 50ml............... 1/11/96
EDITEK Inc............................. VERDICT THC Bulk Conjugate..... Vial: 2ml................ 8/14/94
EDITEK Inc............................. VERDICT THC Bulk Conjugate..... Vial: 5ml................ 8/14/94
EDITEK Inc............................. VERDICT THC One-Step Drug Test; Pouch: 1 each; Box: 50 8/2/94
Product # 600212. Pouches.
EDITEK Inc............................. VERDICT THC QC Standard........ Tube: 50ml............... 8/14/94
EDITEK Inc............................. VERDICT THC/COCAINE One-Step Pouch: 2 Kits............ 8/14/94
Drug Test.
EM Diagnostic Systems, Inc............. EMDS Antiepileptic Drug Box: 3 Vials, 5 ml each.. 6/11/86
Calibrator Item No. 67630/95.
EM Diagnostic Systems, Inc............. EMDS Test Packs, Phenobarbital Carton: 48 Test Packs.... 9/9/86
(PHENO) Item No. 67677/95.
EM Diagnostic Systems, Inc............. Easytest Phenobarbital Assay Cuvette: 1.8ml (40 6/11/86
Item No. 67534/93. cuvettes /carton).
Eastman Kodak Company.................. KODATROL Control I Control and 1 Set: 2 amber glass 7/21/88
Diluent Set. vials ea. 6 ml 1 Box: 12
sets.
Eastman Kodak Company.................. KODATROL Control II Control and 1 Set: 2 amber glass 7/21/88
Diluent Set. vials ea. 6 ml 1 Box: 12
sets.
Eastman Kodak Company.................. Kodak EKTACHEM Specialty Vial: 3ml................ 9/13/85
Calibrator.
Eastman Kodak Company.................. Kodak EKTACHEM Specialty Vial: 3ml................ 9/13/85
Control I.
Eastman Kodak Company.................. Kodak Ektachem Specialty Glass Vial: 6 ml......... 11/10/87
Control II.
Electro-Nucleonics Laboratories, VIRGO IPA Immuno-Precipitation Kit...................... 11/30/82
Incorporated. Assay for Phenobarbital.
Eli Lilly and Company.................. Propoxyphene Industrial Hygiene Cassette: Plastic........ 7/13/94
Air Monitoring Sample Cassette.
Elsohly Laboratories, Inc.............. (-)-11 Nor-delta-9-THC-COOH Vial: 1ml................ 3/26/95
100ug/ml.
Elsohly Laboratories, Inc.............. 11-Hydroxy-delta-9-THC, 100ug/ Vial: 1ml................ 3/26/95
ml.
Elsohly Laboratories, Inc.............. 8-Beta, 11-dihydroxy-delta-9- Vial: 1ml................ 3/26/95
THC, 100ug/ml.
Elsohly Laboratories, Inc.............. 8-Beta-hydroxy-delta-9-THC, Vial: 1ml................ 3/26/95
100ug/ml.
Elsohly Laboratories, Inc.............. Difluorobenzoylecgonine, 100ug/ Vial: 1ml................ 3/26/95
ml.
Elsohly Laboratories, Inc.............. Difluorococaine, 100ug/ml...... Vial: 1ml................ 3/26/95
Elsohly Laboratories, Inc.............. Difluorophencyclidine, 100ug/ml Vial: 1ml................ 3/26/95
Elsohly Laboratories, Inc.............. Urine Controls................. Bottles: 15ml-40L........ 3/26/95
Elsohly Laboratories, Inc.............. d2-Dihydrocodeine, 100ug/ml.... Vial: 1ml................ 3/26/95
Elsohly Laboratories, Inc.............. d2-Dihydromorphine, 100ug/ml... Vial: 1ml................ 3/26/95
Elsohly Laboratories, Inc.............. d3-Codeine, 100ug/ml........... Vial: 1ml................ 3/26/95
Elsohly Laboratories, Inc.............. d3-Hydrocodone, 100ug/ml....... Vial: 1ml................ 3/26/95
Elsohly Laboratories, Inc.............. d3-Hydromorphone, 100ug/ml..... Vial: 1ml................ 3/26/95
Elsohly Laboratories, Inc.............. d3-Morphine, 100ug/ml.......... Vial: 1ml................ 3/26/95
Elsohly Laboratories, Inc.............. d3-Oxycodone, 100ug/ml......... Vial: 1ml................ 3/26/95
Elsohly Laboratories, Inc.............. d6-11-Nor-delta-8-THC-9-COOH, Vial: 1ml................ 3/26/95
100ug/ml.
Elsohly Laboratories, Inc.............. d6-11-Nor-delta-9-THC-9-COOH, Vial: 1ml................ 3/26/95
100ug/ml.
Elsohly Laboratories, Inc.............. d6-Amphetamine, 100ug/ml....... Vial: 1ml................ 3/26/95
Elsohly Laboratories, Inc.............. d6-Delta-8-THC, 100ug/ml....... Vial: 1ml................ 3/26/95
Elsohly Laboratories, Inc.............. d9-Delta-9-THC, 100ug/ml....... Vial: 1ml................ 3/26/95
Elsohly Laboratories, Inc.............. d9-Methamphetamine, 100ug/ml... Vial: 1ml................ 3/26/95
Endocrine Metabolic Center............. 0.1% Lysozyme-Barbital Buffer, Glass Bottle: 2 liter.... 5/28/87
0.05M.
Endocrine Metabolic Center............. 1% Lysozyme-Barbital Buffer, Glass Bottle: 2 liter.... 5/28/87
0.05M.
Endocrine Metabolic Center............. Barbital Buffer, 0.05M......... Plastic Bottle: 3000 ml.. 5/28/87
Endocrine Metabolic Center............. Barbital Buffer, 0.1M.......... Plastic Bottle: 3000 ml.. 5/28/87
Endocrine Metabolic Center............. Tracer Diluent................. Glass Bottle: 1 or 2 5/28/87
liter.
Environmental Diagnostics, Inc......... EZ-Screen: Cannabinoid Enzyme Ampule: 1 ml............. 2/3/87
Conjugate.
Environmental Diagnostics, Inc......... EZ-Screen: Cannabinoid Kit Kit: 1 test.............. 2/3/87
Catalog No. 216-2BP.
Environmental Diagnostics, Inc......... EZ-Screen: Cannabinoid Positive Ampule: 1 ml............. 2/3/87
Control.
Environmental Diagnostics, Inc......... EZ-Screen: Cannabinoid/Cocaine- Polyethylene Tube: 12/20/88
Enzyme Conjugate. containing ampule with 1
tablet, Kit: 1 test.
[[Page 13730]]
Environmental Diagnostics, Inc......... EZ-Screen: Cannabinoid/Cocaine- Polyethylene Tube: 2.2ml, 12/20/89
Positive Control. Kit: 1 test.
Fisher Diagnostics..................... TheraChem Anticonvulsants/ Kit: 9 vials, vial: 5ml.. 3/3/81
Theophylline, Level I, II.
Fisher Scientific...................... Electrophoretic Buffer No. 1 pH Packet: 12.14 g.......... 10/27/72
8.60, Ionic Strength 0.05,
Catalog No. E-1.
Fisher Scientific...................... Electrophoretic Buffer No. 2, Packet: 18.16 g.......... 10/27/72
pH 8.60, Ionic Strength 0.075,
Catalog No. E-2.
Fisher Scientific...................... IL-Test Phenobarbital.......... Kit: contains 2 plastic 3/15/88
containers of reagent 2.
Fisher Scientific...................... IL-Test Phenobarbital Plastic Container: 16 ml. 3/15/88
Conjugate, Reagent 2.
Fisher Scientific...................... Owren's Veronal Buffer, CS1094- Vial: 10 ml.............. 8/18/86
34.
Fisher Scientific...................... Owren's Veronal Buffer, CS1094- Vial: 25 ml.............. 8/18/86
38.
Fisher Scientific...................... SeraChem Abnormal Clinical Vial: 5ml, 10ml.......... 4/16/82
Chemistry Control Serum
(Human) Unassayed No. 2906.
Fisher Scientific...................... SeraChem Abnormal Clinical Vial: 5ml................ 4/16/82
Chemistry Control Serum
(Human), Assayed No. 2905.
Fisher Scientific...................... SeraChem Normal Clinical Vial: 5ml................ 4/16/82
Chemistry Control Serum
(Human), Assayed No. 2907.
Fisher Scientific...................... SeraChem Plus Clinical Vial: 10ml, Box: 50 7/25/89
Chemistry Control Sera vials, Carton: 4 boxes.
Unassayed (Bovine) Level I.
Fisher Scientific...................... SeraChem Plus Clinical Vial: 10 ml, Box: 50 7/25/89
Chemistry Control Sera vials, Carton: 4 boxes.
Unassayed (Bovine) Level II.
Fisher Scientific...................... SeraChem Normal Clinical Vial: 5ml, 10ml.......... 4/16/82
Chemistry Control Serum
(Human), Unassayed No. 2908.
Fisher Scientific...................... TDM Cal........................ Kit: 7 Vials............. 11/26/86
Fisher Scientific...................... TDM Cal (B-F).................. Vials: 5 ml.............. 11/26/86
Fisher Scientific...................... Thera Chem TDC Therapeutic Drug Kit: 6 vials............. 1/12/84
Controls, Low and High Levels,
2840-58.
Fisher Scientific...................... TheraChem-Plus TDC Therapeutic Kit: 9 vials............. 3/19/86
Drug Controls, Tri-Level, No.
2845-94.
Fisher Scientific...................... Therapeutic Drug Control, High Vial: 5ml................ 3/19/86
Level III, No. 2848-31.
Fisher Scientific...................... Therapeutic Drug Control, High Vial: 5ml................ 1/12/84
Level, 2842-31.
Fisher Scientific...................... Therapeutic Drug Control, Low Vial: 5ml................ 3/19/86
Level I, No. 2846-31.
Fisher Scientific...................... Therapeutic Drug Control, Low Vial: 5ml................ 1/12/84
Level, 2841-31.
Fisher Scientific...................... Therapeutic Drug Control, Mid- Vial: 5ml................ 3/19/86
Range Level II, No. 2847-31.
Fisher Scientific...................... Urine Chemistry Control (Human) Vial: 25ml............... 4/6/78
Level II, No. 2935-80.
Fisher Scientific...................... Urine Toxicology Control No. Vial: 25ml............... 4/6/78
2950-61.
Flow Laboratories...................... DGV No. 28-010................. Bottle: 125 ml........... 4/16/73
Flow Laboratories...................... Human ``O'' DGV (Dextrose Glass Vial: 100 ml....... 10/14/76
Gelatin Veronal Buffer) No. 28-
080.
GIBCO Laboratories..................... Complement Fixation Buffer Bottle: 1 liter.......... 1/28/74
Solution, pH 7.3-7.4, NDC
0118115-0247-1.
GIBCO Laboratories..................... Complement Fixation Buffer Bottle: 500 ml........... 4/5/77
Solution, pH 7.3-7.4, NDC
011815-0247-2.
GIBCO Laboratories..................... Dextrose-Gelatin-Veronal Buffer Bottle: 100 and 500 ml... 7/5/73
Solution NDC No. 815-0566-1
and No. 815-0566-2.
GIBCO Laboratories..................... Electrophoresis Buffer Bottle: 1 liter.......... 1/28/74
Solution, pH 8.6, NDC 011815-
0245-1.
GIBCO Laboratories..................... I.E.P. Buffer Solution pH 8.2 Bottle: 1 liter.......... 1/28/74
NDC 011815-0246-1.
Gelman Sciences, Inc................... Drug Control Set No. 51911..... Set: 3 vials of 50 ml 4/6/72
each.
Gelman Sciences, Inc................... Drug Standard Set, No. 51910... Set: 3 vials of 2 ml each 4/6/72
Gelman Sciences, Inc................... Hi-Phore Buffer................ Glass Vial: 15 g......... 2/11/82
Gelman Sciences, Inc................... High Resolution Buffer-Tris Vial: 10 dr.............. 12/22/71
Barbital Buffer No. 51104.
Gumm Chem. Co.......................... Niflow Initial Additive........ Drums: 5 Gallons......... 9/30/85
Gumm Chem. Co.......................... Niflow Maintenace Additive..... Drums: 5 Gallons......... 9/30/85
Hach Chemical Co....................... pH 8.3 Buffer Powder Pillows. Pillow: 1 g. each........ 11/30/71
No. 898-98.
Helena Laboratories.................... Cardio REP CK Isoenzymes Gel... Plate: 4.6'' x 2.4''..... 9/24/93
Helena Laboratories.................... CK-LD Buffer Catalog No. 5808.. Packet: 18.332 g. , 10 3/26/86
packets/box.
Helena Laboratories.................... Cardio REP CK Isoenzymes Kit, Kit: 10 Plates........... 9/24/93
Cat. # 3310.
Helena Laboratories.................... Cardio REP CK Isoforms Gel..... Plate: 4.6'' x 2.4''..... 9/24/93
Helena Laboratories.................... Cardio REP CK Isoforms Kit, Kit: 10 Plates........... 9/24/93
Cat. # 3305.
Helena Laboratories.................... Electra B1 Buffer, Catalog No. Packet: 13.1g. 10 packets/ 12/28/73
5016. box.
Helena Laboratories.................... Electra B2 Buffer, Catalog No. Packet: 18.2 g. 10 12/28/73
5017. packets/ box.
Helena Laboratories.................... Electra HR Buffer, Catalog No. Packet: 18.1 g. 10 12/28/73
5805. packets/ box.
Helena Laboratories.................... HDL Electrophoresis Buffer..... Packet: 36 g............. 12/18/85
Helena Laboratories.................... Isoamylase Cathode Buffer...... Packet: 9.7 g............ 12/18/85
Helena Laboratories.................... Isoamylase Kit Catalog No. 5925 Kit: 2 Packets Cathode 1/24/86
Buffer.
Helena Laboratories.................... Owren's Veronal Buffer Cat. No. Plastic Bottle: 125 ml... 9/15/88
5375.
Helena Laboratories.................... REP ALP-15 Gel................. Plate: 5.8'' x 5.5''..... 8/26/93
Helena Laboratories.................... REP Alkaline Phosphatase Cat. # Kit: 10 Plates........... 8/26/93
3152.
[[Page 13731]]
Helena Laboratories.................... REP CK Isoforms-15............. Plate: 5.8'' x 5.5''..... 3/9/88
Helena Laboratories.................... REP CK Isoforms-15 Kit: Cat. Kit: 10 plates........... 3/9/88
No. 3081.
Helena Laboratories.................... REP CK Isoforms-4 Cat. # 3083.. Kit: 10 Plates........... 8/26/93
Helena Laboratories.................... REP CK Isoforms-4 Gel.......... PLate: 5.8'' x 1.25''.... 8/26/93
Helena Laboratories.................... REP CK Isoforms-8 Cat. # 3082.. Kit: 10 Plates........... 8/26/93
Helena Laboratories.................... REP CK Isoforms-8 Gel.......... Plate: 5.8'' x 2.18''.... 8/26/93
Helena Laboratories.................... REP CK-12...................... Plate: 5.8'' x 2.18''.... 3/9/88
Helena Laboratories.................... REP CK-12 Isoenzyme Kit: Cat. Kit: 10 plates........... 3/9/88
No. 3071.
Helena Laboratories.................... REP CK-2 STAT Kit, Cat. No. Kit: 10 plates (5.8'' x 3/30/89
3074. 0.6'').
Helena Laboratories.................... REP CK-30...................... Plate: 5.8'' x 5.5''..... 3/9/88
Helena Laboratories.................... REP CK-30 Isoenzyme Kit........ Kit: 10 plates........... 3/9/88
Helena Laboratories.................... REP CK-6....................... Plate: 5.8'' x 1.25''.... 3/9/88
Helena Laboratories.................... REP CK-6 Isoenzyme Kit: Cat. Kit: 10 plates........... 3/9/88
No. 3072.
Helena Laboratories.................... REP ImmunoFix Kit # 3150....... Kit: 10 plates........... 3/9/93
Helena Laboratories.................... REP LD......................... Plates: 5.8'' x 5.5'', 3/9/88
5.8'' x 2.18'', 5.8'' x
1.25''.
Helena Laboratories.................... REP SPE Hi Res-15 Kit, Cat. No. Kit: 10 plates (5.8'' x 3/30/89
3176. 5.5'').
Helena Laboratories.................... REP SPE-16 Template (Acid Blue) Kit: 10 Plates........... 9/14/93
Kit, Cat. # 3171.
Helena Laboratories.................... REP SPE-16 Template (Ponceau S) Kit: 10 Plates........... 9/14/93
Kit, Cat. # 3161.
Helena Laboratories.................... REP SPE-16 Template Gel........ Plate: 5.8'' 2.18''...... 9/14/93
Helena Laboratories.................... REP SPE-30 Template (Acid Blue) Kit: 10 Plates........... 9/14/93
Kit, Cat. # 3170.
Helena Laboratories.................... REP SPE-30 Template (Ponceau S) Kit: 10 Plates........... 9/14/93
Kit, Cat. # 3160.
Helena Laboratories.................... REP SPE-30 Template Gel........ Plate: 5.8'' x 5.5''..... 9/14/93
Helena Laboratories.................... REP SPE-8 Template (Acid Blue) Kit: 10 Plates........... 9/14/93
Kit, Cat. # 3172.
Helena Laboratories.................... REP SPE-8 Template (Ponceau S) Kit: 10 Plates........... 9/14/93
Kit, Cat. # 3162.
Helena Laboratories.................... REP SPE-8 Template Gel......... Plate: 5.8'' x 1.25''.... 9/14/93
Helena Laboratories.................... REP Ultra-30 HDL, VLDL/LDL Gel. Plate: 5.8'' x 5.5''..... 9/24/93
Helena Laboratories.................... REP Ultra-30 HDL, VLDL/LDL Kit, Kit: 10 Plates........... 9/24/93
Cat. # 3183.
Helena Laboratories.................... REP Ultra-8 HDL, VLDL/LDL Gel.. Plate: 5.8'' x 1.25''.... 9/24/93
Helena Laboratories.................... REP Ultra-8 HDL, VLDL/LDL Kit, Kit: 10 Plates........... 9/24/93
Cat. # 3185.
Helena Laboratories.................... REP-HDL-12 Isoenzyme Kit Cat. Kit: 10 Plates (5.8'' x 9/15/88
No. 3187. 2.18'').
Helena Laboratories.................... REP-HDL-30 Isoenzyme Kit Cat. Kit: 10 Plates (5.8'' x 9/15/88
No. 3186. 5.5'').
Helena Laboratories.................... REP-HDL-6 Isoenzyme Kit Cat. Kit: 10 Plates (5.8'' x 9/15/88
No. 3188. 1.25'').
Helena Laboratories.................... REP-Lipo-12 Kit Cat. No. 3181.. Kit: 10 Plates (5.8'' x 9/15/88
2.18'').
Helena Laboratories.................... REP-Lipo-30 Kit Cat. No. 3180.. Kit: 10 Plates (5.8'' x 9/15/88
5.5'').
Helena Laboratories.................... REP-Lipo-6 Kit Cat. No. 3182... Kit: 10 Plates (5.8'' x 9/15/88
1.25'').
Helena Laboratories.................... REP-SP-12 Isoenzyme Kit Cat. Kit: 10 Plates (5.8'' x 9/15/88
No. 3171. 2.18'').
Helena Laboratories.................... REP-SP-30 Isoenzyme Kit Cat. Kit: 10 Plates (5.8'' x 9/15/88
No. 3170. 5.5'').
Helena Laboratories.................... REP-SP-6 Isoenzyme Kit Cat. No. Kit: 10 Plates (5.8'' x 9/15/88
3172. 1.25'').
Helena Laboratories.................... Super Z-12XHDL Cholesterol Kit: 3 Packages buffer 36 1/24/86
Supply Kit Catalog No. 5470). g.
Helena Laboratories.................... TITAN GEL Alkaline Phosphatase Kit: 10 Plates........... 8/26/93
(HR) Cat. No. 3058.
Helena Laboratories.................... TITAN GEL Alkaline Phosphatase Kit: 1 bag............... 6/19/89
(HR) Kit, Cat. No. 3058.
Helena Laboratories.................... TITAN GEL Alkaline Phosphatase Plastic Bag: 13.1g....... 6/19/89
Buffer.
Helena Laboratories.................... TITAN GEL Alkaline Phosphatase Plate: 3.5'' x 2.9''..... 8/26/93
Gel.
Helena Laboratories.................... Titan Gel High Resolution Packet: 25.9 g........... 4/12/83
Protein Buffer.
Helena Laboratories.................... Titan Gel High Resolution Kit: 10 Plates (90mm x 3/3/86
Protein Kit Catalog No. 3040. 75mm), 2 Packages Buffer.
Helena Laboratories.................... Titan Gel High Resolution Plate: (90mm x 75mm)..... 3/3/86
Protein Plate.
Helena Laboratories.................... Titan Gel IFE Buffer........... Packet: 25.9 g........... 12/18/85
Helena Laboratories.................... Titan Gel IFE Plate............ Plate: (90mm x 75mm)..... 3/5/86
Helena Laboratories.................... Titan Gel Immuno Fix Kit Kit: 10 Plates (90mm x 1/24/86
Catalog No. 3046. 75mm), 2 Packets IFE
Buffer.
Helena Laboratories.................... Titan Gel ImmunoFix Plus Kit # Kit: 10 plates, 1 pkg IFE 3/9/93
3067. buffer.
Helena Laboratories.................... Titan Gel ImmunoFix-9 Kit # Kit: 10 plates, 1 pkg IFE 3/9/93
3051. buffer.
Helena Laboratories.................... Titan Gel Iso Dot LDH Buffer... Packet: 19.6 g........... 1/7/86
Helena Laboratories.................... Titan Gel Iso Dot LDH Isoenzyme Plate: (90mm x 75mm)..... 12/18/85
Plate.
Helena Laboratories.................... Titan Gel Iso Dot LDH Kit Kit: 10 Plates (90mm x 1/24/86
Catalog No. 3062. 75mm), 1 Packet Iso Dot
LDH Buffer.
Helena Laboratories.................... Titan Gel LD Buffer............ Packet: 21.5 g........... 11/26/86
Helena Laboratories.................... Titan Gel LD Isoenzyme Diluent. Bottle: 10 ml............ 11/26/86
Helena Laboratories.................... Titan Gel LDH Isoenzyme Buffer. Packet: 22.7 g........... 3/7/83
Helena Laboratories.................... Titan Gel LDH Isoenzyme Plate.. Plate: (90mm x 75mm)..... 12/18/85
Helena Laboratories.................... Titan Gel LDH Isoenzyme Reagent Vial: 2ml, 10 vials/box.. 1/7/86
Helena Laboratories.................... Titan Gel Lipoprotein Buffer... Packet: 17.3 g........... 12/18/85
Helena Laboratories.................... Titan Gel Lipoprotein Kit Kit: 1 Packet Buffer..... 1/24/86
Catalog No. 3045.
Helena Laboratories.................... Titan Gel Lipoprotein Plate.... Plate: (90 x 75 mm)...... 1/9/87
Helena Laboratories.................... Titan Gel Multi-Slot Lipo-17 Kit: 10 plates (81 x 143 1/9/87
Kit Catalog No. 3095. mm) 1 packet buffer
(21.6 g).
Helena Laboratories.................... Titan Gel Multi-Slot Lipo-17 Plate: (81 x 143 mm)..... 1/9/87
Plate.
Helena Laboratories.................... Titan Gel Multi-Slot SP-17 Kit Kit: 10 plates (81 x 143 1/9/87
Catalog No. 3091. mm) 1 packet buffer
(29.1 g).
Helena Laboratories.................... Titan Gel Multi-Slot SP-17 Plate: 81 x 143 mm....... 1/9/87
Plate.
[[Page 13732]]
Helena Laboratories.................... Titan Gel Serum Protein Buffer. Packet: 29.1 g........... 4/12/83
Helena Laboratories.................... Titan Gel Serum Protein Kit Kit: 10 Plates (90mm x 1/24/86
Catalog No. 3041. 75mm), 1 Packet Buffer.
Helena Laboratories.................... Titan Gel Serum Protein Plate.. Plate: (90mm x 75mm)..... 12/18/85
Helena Laboratories.................... Titan Gel Silver Stain Buffer.. Packet: 25.9g............ 12/18/85
Helena Laboratories.................... Titan Gel Silver Stain Kit Kit: 10 Plates (90mm x 1/24/86
Catalog No. 3035. 75mm), 2 Packets Buffer.
Helena Laboratories.................... Titan Gel Silver Stain Plate... Plate: (90mm x 75mm)..... 3/3/86
Helena Laboratories.................... Titan Gel-PC LDH Isoenzyme Kit Kit: 10 Plates (90mm x 1/24/86
Catalog No. 3053. 75mm), 1 Packet LDH
Buffer, 1 Box LDH
Reagent.
Helena Laboratories.................... Titan Gel-PC LDH Isoenzyme Plate: (90mm x 75mm)..... 12/18/85
Plate.
Helena Laboratories.................... Titan III Agar Catalog No. 5023 Packet: 5 g. (5 Packets/ 12/28/73
box).
Helena Laboratories.................... Titan IV IE Plate (large)...... Package: plates, 3 by 4 12/28/73
in.
Helena Laboratories.................... Titan IV IE Plate (small)...... Package: plates, 1 by 3 12/28/73
in.
Helena Laboratories.................... Titan IV IE Plate Kit.......... Kit: 12 small (1 by 3 12/28/73
in.) IE plates, 1 box B1
Buffer.
Helena Laboratories.................... Titan IV IE Plate Kit.......... Kit: 10 large (3 by 4 12/28/73
in.) IE Plates, 1 box B1
Buffer.
High Standard Products................. (DL) Methamphetamine 1.0mg/ml.. Ampule: 2ml.............. 5/11/93
High Standard Products................. (DL) Methamphetamine-d10 Ampule: 2ml.............. 5/11/93
100g/ml.
High Standard Products................. (DL) Methamphetamine-d5 Ampule: 2ml.............. 5/11/93
100g/ml.
High Standard Products................. 11-Nor-Delta-8-Carboxy- Ampule: 2ml.............. 5/11/93
Tetrahydrocannabinol 100g/ml.
High Standard Products................. 11-Nor-Delta-9-Carboxy- Ampule: 2ml.............. 5/11/93
Tetrahydrocannabinol 100ug/ml.
High Standard Products................. 11-Nor-Delta-9-Carboxy- Ampule: 2ml.............. 5/11/93
Tetrahydrocannabinol-d10 100ug/
ml.
High Standard Products................. 11-Nor-Delta-9-Carboxy- Ampule: 2ml.............. 5/11/93
Tetrahydrocannabinol-d3 100ug/
ml.
High Standard Products................. 11-Nor-Delta8 carboxy THC; Ampule: 2ml.............. 4/15/94
1.0mg/ml.
High Standard Products................. 11-Nor-Delta9 carboxy THC Ampules: 10; 5 of 2ml, 5 4/15/94
Screening/Confirmation of 20ml.
Calibrators; 10, 25, 50, 100,
250, ng/ml.
FR Doc. 96-7385 Exempt Chemical Preparations
High Standard Products................. 11-Nor-Delta9 carboxy THC-d10; Ampule: 2ml.............. 4/15/94
0.1mg/ml.
High Standard Products................. 11-Nor-Delta9 carboxy THC; Ampule: 2ml.............. 4/15/94
1.0mg/ml.
High Standard Products................. 11-nor-Delta9 carboxy THC Ampules: 6; 3 of 2ml, 3 4/15/94
Controls; 10, 20, 100 ng/ml. of 20ml.
High Standard Products................. 3, 4- Ampule: 2ml.............. 5/11/93
Methylenedioxymethamphetamine
(MDMA) 100ug/ml.
High Standard Products................. 3, 4- Ampule: 2ml.............. 5/11/93
Methylenedioxymethamphetamine-
d5 (MDMA) 100ug/ml.
High Standard Products................. 3-Methylfentanyl 100ug/ml...... Ampule: 2ml.............. 5/11/93
High Standard Products................. 3-Methylfentanyl-d3 100ug/ml... Ampule: 2ml.............. 5/11/93
High Standard Products................. 4-Hydroxyamphetamine; 1.0mg/ml. Ampule: 2ml.............. 4/15/94
High Standard Products................. 4-Hydroxymethamphetamine; 1.0mg/ Ampule: 2ml.............. 4/15/94
ml.
High Standard Products................. 4-Methoxyamphetamine 1.0mg/ml.. Ampule: 2ml.............. 5/11/93
High Standard Products................. 4-Methoxyamphetamine-d5 100ug/ Ampule: 2ml.............. 5/11/93
ml.
High Standard Products................. 6-Acetylmorphine 100ug/ml...... Ampule: 2ml.............. 5/11/93
High Standard Products................. 6-Acetylmorphine-d3 100ug/ml... Ampule: 2ml.............. 5/11/93
High Standard Products................. 6-Acetylmorphine; 0.1mg/ml, Ampule: 2ml.............. 4/15/94
1.0mg/ml.
High Standard Products................. Amphetamine Cut-Off Controls; Ampules: 3; 20ml each.... 4/15/94
375, 625, 1500 ng/ml.
High Standard Products................. Amphetamine Screening Ampules: 4; 20ml each.... 4/15/94
Confirmation Calibrators; 500,
1000, 1500, 2000 ng/ml.
High Standard Products................. Benzoylecgonine 1.0mg/ml....... Ampule: 2ml.............. 5/11/93
High Standard Products................. Benzoylecgonine Cut-Off Ampules: 3; 20ml each.... 4/15/94
Controls; 100, 200, 300, ng/ml.
High Standard Products................. Benzoylecgonine Propyl Ester Ampule: 2ml.............. 5/11/93
1.0mg/ml.
High Standard Products................. Benzoylecgonine Screening Ampules: 4; 20ml each.... 4/15/94
Confirmation Calibrators; 150,
300, 450, 600 ng/ml.
High Standard Products................. Benzoylecgonine-d3 100ug/ml.... Ampule: 2ml.............. 5/11/93
High Standard Products................. Benzoylecgonine-d3; 0.1mg/ml... Ampule: 2ml.............. 4/15/94
High Standard Products................. Benzoylecgonine-d8 100ug/ml.... Ampule: 2ml.............. 5/11/93
High Standard Products................. Benzoylecgonine-d8; 0.1mg/ml... Ampule; 2ml.............. 4/15/94
High Standard Products................. Cocaethylene 1.0mg/ml.......... Ampule: 2ml.............. 5/11/93
High Standard Products................. Cocaethylene-d3 100ug/ml....... Ampule: 2ml.............. 5/11/93
High Standard Products................. Cocaethylene-d3; 0.1mg/ml...... Ampule: 2ml.............. 4/15/94
High Standard Products................. Cocaethylene-d8 100ug/ml....... Ampule: 2ml.............. 5/11/93
High Standard Products................. Cocaethylene-d8; 0.1mg/ml...... Ampule: 2ml.............. 4/15/94
High Standard Products................. Cocaine 1.0mg/ml............... Ampule: 2ml.............. 5/11/93
High Standard Products................. Cocaine-d3 100ug/ml............ Ampule: 2ml.............. 5/11/93
High Standard Products................. Cocaine-d8 1.0mg/ml............ Ampule: 2ml.............. 5/11/93
High Standard Products................. Codeine 100ug/ml............... Ampule: 2ml.............. 5/11/93
High Standard Products................. Codeine Cut-Off Controls; 225, Ampules: 3; 20ml each.... 4/15/94
375, 900 ng/ml.
High Standard Products................. Codeine Screening Confirmation Ampules: 4; 20ml each.... 4/15/94
Calibrators; 300, 600, 900,
1200 ng/ml.
High Standard Products................. Codeine-d3 100ug/ml............ Ampule: 2ml.............. 5/11/93
High Standard Products................. Codeine-d3; 0.1mg/ml........... Ampule: 2ml.............. 4/15/94
High Standard Products................. Codeine-d6 100ug/ml............ Ampule: 2ml.............. 5/11/93
High Standard Products................. Codeine-d6; 0.1mg/ml........... Ampule: 2ml.............. 4/15/94
[[Page 13733]]
High Standard Products................. D-Amphetamine; 1.0mg/ml........ Ampule: 2ml.............. 4/15/94
High Standard Products................. DL Amphetamine 1.0mg/ml........ Ampule: 2ml.............. 5/11/93
High Standard Products................. DL Amphetamine-d10 100ug/ml.... Ampule: 2ml.............. 5/11/93
High Standard Products................. DL Amphetamine-d5 100ug/ml..... Ampule: 2ml.............. 5/11/93
High Standard Products................. DL-Amphetamine-d11; 0.1mg/ml... Ampule: 2ml, 20ml........ 4/15/94
High Standard Products................. DL-Amphetamine-d5; 0.1mg/ml.... Ampule; 2ml.............. 4/15/94
High Standard Products................. DL-Amphetamine-d6; 0.1mg/ml.... Ampule: 2ml, 20ml........ 4/15/94
High Standard Products................. Delta-8-Tetrahydrocannabinol Ampule: 2ml.............. 5/11/93
100ug/ml.
High Standard Products................. Delta-9-Tetrahydrocannabinol Ampule: 2ml.............. 5/11/93
100ug/ml.
High Standard Products................. Delta-9-Tetrahydrocannabinol Ampule: 2ml.............. 5/11/93
100ug/ml.
High Standard Products................. Delta-9-Tetrahydrocannabinol- Ampule: 2ml.............. 5/11/93
d10 100ug/ml.
High Standard Products................. Delta-9-Tetrahydrocannabinol-d6 Ampule: 2ml.............. 5/11/93
100ug/ml.
High Standard Products................. Delta-9-THC; 1.0mg/ml.......... Ampule: 2ml.............. 4/15/94
High Standard Products................. Diazepam 1.0mg/ml.............. Ampule: 2ml.............. 5/11/93
High Standard Products................. Diazepam-d5 100ug/ml........... Ampule: 2ml.............. 5/11/93
High Standard Products................. Diphenoxylate 1.0 mg/ml........ Ampule: 2ml.............. 5/11/93
High Standard Products................. Ecgonine 1.0mg/ml.............. Ampule: 2ml.............. 5/11/93
High Standard Products................. Ecgonine Methyl Ester 1.0mg/ml. Ampule: 2ml.............. 5/11/93
High Standard Products................. Ecgonine Methyl Ester-d3 100ug/ Ampule: 2ml.............. 5/11/93
ml.
High Standard Products................. Ecgonine-d3 100ug/ml........... Ampule: 2ml.............. 5/11/93
High Standard Products................. Fentanyl 1.0mg/ml.............. Ampule: 2ml.............. 5/11/93
High Standard Products................. Fentanyl-d5 100ug/ml........... Ampule: 2ml.............. 5/11/93
High Standard Products................. Fentanyl-d5; 0.1mg/ml.......... Ampule: 2ml.............. 4/15/94
High Standard Products................. Heroin, 1.0mg/ml............... Ampule: 2ml.............. 3/21/95
High Standard Products................. Heroin-D9, 0.1mg/ml............ Ampule: 2ml.............. 3/21/95
High Standard Products................. Hydrocodone 1.0mg/ml........... Ampule: 2ml.............. 5/11/93
High Standard Products................. Hydrocodone-d3 100ug/ml........ Ampule: 2ml.............. 5/11/93
High Standard Products................. Hydromorphone 1.0mg/ml......... Ampule: 2ml.............. 5/11/93
High Standard Products................. Hydromorphone-d3 100ug/ml...... Ampule: 2ml.............. 5/11/93
High Standard Products................. Lysergic Acid Diethylamide 25 Ampule: 2ml.............. 5/11/93
ug/ml.
High Standard Products................. Lysergic Acid Diethylamide-d3 Ampule: 2ml.............. 5/11/93
25 ug/ml.
High Standard Products................. Lysergic Acid Diethylamide-dl Ampule: 2ml.............. 5/11/93
25ug/ml.
High Standard Products................. Lysergic Acid N-Methyl- Ampule: 2ml.............. 5/11/93
Propylamide (LAMPA) 25ug/ml.
High Standard Products................. Lysergic acid diethylamide-d7; Ampule: 2ml.............. 4/15/94
0.025mg/ml.
High Standard Products................. Methadone 1.0mg/ml............. Ampule: 2ml.............. 5/11/93
High Standard Products................. Methadone-D6, 0.1mg/ml......... Ampule: 2ml.............. 3/21/95
High Standard Products................. Methadone-d3 100ug/ml.......... Ampule: 2ml.............. 5/11/93
High Standard Products................. Methamphetamine Cut-Off Ampules: 3; 20ml each.... 4/15/94
Controls; 225, 375, 900 ng/ml.
High Standard Products................. Methamphetamine Screening Ampules: 4; 20ml each.... 4/15/94
Confirmation Calibrators; 500,
1000, 1500, 2000 ng/ml.
High Standard Products................. Methamphetamine-d14; 0.1mg/ml.. Ampule: 2ml, 20ml........ 4/15/94
High Standard Products................. Methamphetamine-d5; 0.1mg/ml... Ampule: 2ml.............. 4/15/94
High Standard Products................. Methamphetamine-d9; 0.1mg/ml... Ampule: 2ml, 20ml........ 4/15/94
High Standard Products................. Methaqualone 1.0 mg/ml......... Ampule: 2ml.............. 5/11/93
High Standard Products................. Methaqualone-d3 100ug/ml....... Ampule: 2ml.............. 5/11/93
High Standard Products................. Methylenedioxyamphetamine (MDA) Ampule: 2ml.............. 5/11/93
1.0mg/ml.
High Standard Products................. Methylenedioxyamphetamine (MDA) Ampule: 2ml.............. 5/11/93
d-5 100ug/ml.
High Standard Products................. Methylenedioxyethylamphetamine, Ampule: 2ml.............. 3/21/95
1.0mg/ml.
High Standard Products................. Methylenedioxyethylamphetamine- Ampule: 2ml.............. 3/21/95
D7, 0.1mg/ml.
High Standard Products................. Morphine 1.0mg/ml.............. Ampule: 2ml.............. 5/11/93
High Standard Products................. Morphine Cut-Off Controls; 225, Ampules: 3; 20ml each.... 4/15/94
375, 900 ng/ml.
High Standard Products................. Morphine Screening Confirmation Ampule: 4; 20ml each..... 4/15/94
Calibrators; 300, 600, 900,
1200 ng/ml.
High Standard Products................. Morphine-d3 100ug/ml........... Ampule: 2ml.............. 5/11/93
High Standard Products................. Morphine-d3; 0.1mg/ml.......... Ampule: 2ml.............. 4/15/94
High Standard Products................. Morphine-d4; 0.1mg/ml.......... Ampule: 2ml, 20ml........ 4/15/94
High Standard Products................. NIDA Cut-Off Controls; Levels Ampules: 6; 3 of 2ml, 3 4/15/94
1, 2, 3. of 20ml.
High Standard Products................. Norcocaine 1.0mg/ml............ Ampule: 2ml.............. 5/11/93
High Standard Products................. Norcodeine 1.0mg/ml............ Ampule: 2ml.............. 5/11/93
High Standard Products................. Nordiazepam 1.0mg/ml........... Ampule: 2ml.............. 5/11/93
High Standard Products................. Nordiazepam-d5 100ug/ml........ Ampule: 2ml.............. 5/11/93
High Standard Products................. Normorphine 1.0mg/ml........... Ampule: 2ml.............. 5/11/93
High Standard Products................. Oxazepam 1.0mg/ml.............. Ampule: 2ml.............. 5/11/93
High Standard Products................. Oxazepam-d5 100ug/ml........... Ampule: 2ml.............. 5/11/93
High Standard Products................. Phencyclidine 1.0mg/ml......... Ampule: 2ml.............. 5/11/93
High Standard Products................. Phencyclidine Cut-Off Controls; Ampules: 3; 20ml each.... 4/15/94
18, 32, 75 ng/ml.
High Standard Products................. Phencyclidine Screening Ampule: 4; 20ml each..... 4/15/94
Confirmation Calibrators; 25,
50, 75, 100 ng/ml.
High Standard Products................. Phencyclidine-d10 100ug/ml..... Ampule: 2ml.............. 5/11/93
High Standard Products................. Phencyclidine-d10; 0.1mg/ml.... Ampule: 2ml.............. 4/15/94
High Standard Products................. Phencyclidine-d5 100ug/ml...... Ampule: 2ml.............. 5/11/93
[[Page 13734]]
High Standard Products................. Phencyclidine-d5; 0.1mg/ml..... Ampule: 2ml.............. 4/15/94
High Standard Products................. Phenobarbital, 1.0mg/ml........ Ampule: 2ml.............. 3/21/95
High Standard Products................. Phenobarbital-D5............... Ampule: 2ml.............. 3/21/95
High Standard Products................. Propoxyphene, 1.0mg/ml......... Ampule: 2ml.............. 3/21/95
High Standard Products................. Propoxyphene-D5, 0.1mg/ml...... Ampule: 2ml.............. 3/21/95
High Standard Products................. Secobarbital, 1.0mg/ml......... Ampule: 2ml.............. 3/21/95
High Standard Products................. Secobarbital-D5, 0.1mg/ml...... Ampule: 2ml.............. 3/21/95
High Standard Products................. Temazepam 1.0mg/ml............. Ampule: 2ml.............. 5/11/93
High Standard Products................. Temazepam-d5 100ug/ml.......... Ampule: 2ml.............. 5/11/93
High Standard Products................. Urine Confirm (+25%)........... Ampule: 20ml............. 3/20/95
High Standard Products................. Urine Confirm (-25%)........... Ampule: 20ml............. 3/20/95
High Standard Products................. Urine Confirm (-40%) Retest.... Ampule: 20ml............. 3/20/95
High Standard Products................. Urine Confirm 3X Cutoff........ Ampule: 20ml............. 3/20/95
High Standard Products................. Urine Confirm Cutoff........... Ampule: 20ml............. 3/20/95
High Standard Products................. Urine Screen (+25%)............ Ampule: 20ml............. 3/20/95
High Standard Products................. Urine Screen (-25%)............ Ampule: 20ml............. 3/20/95
High Standard Products................. Urine Screen 3X Cutoff......... Ampule: 20ml............. 3/20/95
High Standard Products................. Urine Screen Cutoff............ Ampule: 20ml............. 3/20/95
HyClone Laboratories, Inc.............. HyQ-CCM1....................... Bottle: 50-1000ml; Lined 2/9/95
container: 10-1000L.
HyClone Laboratories, Inc.............. HyQ-CCM1 w/o Phenol Red........ Bottle: 50-1000ml; Lined 2/9/95
Container: 10-1000L.
HyClone Laboratories, Inc.............. Medium 925 w/o L-Glutamine, w/o Bottle: 50-1000ml; Lined 2/9/95
Phenol Red. Container: 10-1000L.
HyClone Laboratories, Inc.............. Medium 925 with IGF, w/o Phenol Bottle: 50-1000ml; Lined 2/9/95
Red. Container: 10-1000L.
HyClone Laboratories, Inc.............. Medium 925 with L-Glutamine, w/ Bottle: 50-1000ml; Lined 2/9/95
o Phenol Red. Container: 10-1000L.
HyClone Laboratories, Inc.............. Medium TLF with L-Glutamine.... Bottle: 50-1000ml; Lined 2/9/95
Container: 10-1000L.
Hycor Biomedical, Inc.................. Hycor AccuPINCH Cocaine Test... Bottle: 3ml Kit: 50 tests 8/21/90
Hycor Biomedical, Inc.................. Hycor AccuPINCH Morphine Test.. Bottle: 3ml Kit: 50 tests 8/21/90
Hycor Biomedical, Inc.................. Hycor AccuPINCH Phencyclidine Bottle: 3ml Kit: 50 tests 8/21/90
Test.
Hycor Biomedical, Inc.................. Hycor AccuPinch Methamphetamine Bottle: 3ml; Kit: 50 10/29/91
Test. Tests.
Hycor Biomedical, Inc.................. Hycor AccuPinch THC Test....... Bottle: 3ml; Kit: 50 10/29/91
Tests.
Hycor Biomedical, Inc.................. Sentry Drugs of Abuse Urine Bottle: 10ml Kit: 4 8/24/90
Calibrator BARBITURATES Urine bottles, 12 bottles.
Calibrator- 4 levels.
Hycor Biomedical, Inc.................. Sentry Drugs of Abuse Urine Bottle: 10ml Kit: 4 8/24/90
Calibrator DELTA-9-THC Urine bottles, 12 bottles.
Calibrator - 4 levels.
Hycor Biomedical, Inc.................. Sentry Drugs of Abuse Urine Bottle: 10ml Kit: 4 8/24/90
Calibrator NORDIAZEPAM Urine bottles, 12 bottles.
Calibrator - 3 levels.
Hycor Biomedical, Inc.................. Sentry Drugs of Abuse Urine Bottle: 10ml Kit: 4 8/24/90
Calibrator OPIATES Urine bottles, 12 bottles.
Calibrator - 4 levels.
Hycor Biomedical, Inc.................. Sentry Drugs of Abuse Urine Bottle: 10ml Kit: 4 8/24/90
Calibrator PHENCYCLIDINE Urine bottles, 12 bottles.
Calibrator - 4 levels.
Hycor Biomedical, Inc.................. Sentry Drugs of Abuse Urine Vial: 10ml, Kit: 12 3/29/89
Calibrator, Amphetamine Urine vials, Kit: 4 vials.
Calibrator - 4 level.
Hycor Biomedical, Inc.................. Sentry Drugs of Abuse Urine Vial: 10ml, Kit: 12 3/29/89
Calibrator, Benzoylecgonine vials, Kit: 4 vials.
Urine Calibrator - 4 level.
Hycor Biomedical, Inc.................. Sentry Ligand/Combo Control Vial: 10ml Box: 15 vials. 3/1/90
High Level.
Hycor Biomedical, Inc.................. Sentry Ligand/Combo Control Low Vial: 10ml Box: 15 vials. 3/1/90
Level.
Hycor Biomedical, Inc.................. Sentry Ligand/Combo Control Mid Vial: 10ml Box: 15 vials. 3/1/90
Level.
Hycor Biomedical, Inc.................. Sentry Ligand/Combo Control Kit: 15 vials............ 3/1/90
Multi-Pack.
Hycor/ICL Scientific................... Drugs of Abuse Comprehensive Bottle: 30ml............. 2/24/89
Urine Control, HIGH POSITIVE.
Hycor/ICL Scientific................... Drugs of Abuse Comprehensive Bottle: 30ml............. 2/24/89
Urine Control, LOWER THRESHOLD.
Hycor/ICL Scientific................... Drugs of Abuse Comprehensive Bottle: 30ml............. 2/24/89
Urine Control, UPPER THRESHOLD.
Hycor/ICL Scientific................... Drugs of Abuse Urine Control, Box: 4-100 ml Bottles.... 10/21/88
CONFIRMATION.
Hycor/ICL Scientific................... Drugs of Abuse Urine Control, Box: 4-30 ml Bottles..... 10/21/88
SCREEN.
ICL Scientific......................... Therapeutic Drug Control I , Glass Vial: 10ml......... 8/14/85
TDC I (High Level).
ICL Scientific......................... Therapeutic Drug Control I, II, Glass Vials (12): 10ml... 8/14/85
III, Tri-Level TDC Multipack.
ICL Scientific......................... Therapeutic Drug Control II, Glass Vial: 10ml......... 8/14/85
TDC II (Mid-Level).
ICL Scientific......................... Therapeutic Drug Control III, Glass Vial: 10ml......... 8/14/85
TDC III (Low Level).
ICN Micromedic Systems, Inc............ Immunogen: BZ-A................ Plastic Vial: 1.5 ml..... 2/29/88
ICN Micromedic Systems, Inc............ Immunogen: BZ-B................ Plastic Vial: 1.5 ml..... 2/29/88
ICN Micromedic Systems, Inc............ Immunogen: CD-A................ Plastic Vial: 1.5 ml..... 2/29/88
ICN Micromedic Systems, Inc............ Immunogen: M-A................. Plastic Vial: 1.5 ml..... 2/29/88
ICN Micromedic Systems, Inc............ Immunogen: M-B................. Plastic Vial: 1.5 ml..... 2/29/88
ICN Micromedic Systems, Inc............ Immunogen: TF-A................ Plastic Vial: 1.5 ml..... 2/29/88
[[Page 13735]]
ICN Micromedic Systems, Inc............ Micromedic Combostat THC/ Amber Glass Vial: 2 ml 2/24/88
Cocaine STANDARDS-2, 3, and 4. Plastic Bottle: 100 ml.
ICN Micromedic Systems, Inc............ Micromedic CrackPot 57Co/125I Plastic Bottle: 25 ml, 2/24/88
Tracer Solution. 1000 ml.
ICN Micromedic Systems, Inc............ Micromedic Morphine 125I Tracer Bottle: 50 ml, 1000 ml... 2/29/88
Solution.
ICN Micromedic Systems, Inc............ Micromedic Morphine Standards Bottle: 5 ml, 100 ml..... 2/29/88
2, 3 and 4.
INCSTAR Corporation.................... (125I) Human TSH Tracer Cat. Vial: 15ml............... 3/08/91
No. CA-2623.
INCSTAR Corporation.................... Anticonvulsant Drug Controls Vial: 3.5ml.............. 3/08/91
Levels I and II Cat. Nos. CA-
2419, CA-2420.
INCSTAR Corporation.................... Assay Buffer Cat. No. CA-2742.. Bottle: 150ml............ 3/08/91
INCSTAR Corporation.................... Clinical Assays Gamma Coat Kit: 50, 500 assays...... 3/08/91
(125I) Phenobarbital
Radioimmunoassay Kits Cat.
Nos. CA-2545, CA-2565.
INCSTAR Corporation.................... Clinical Assays Gamma Coat Kit: 50, 500 assays...... 3/08/91
(125I) Phenytoin
Radioimmunoassay Kits Cat.
Nos. CA-2537, CA-2557.
INCSTAR Corporation.................... Clinical Assays Gamma Coat Kit: 100, 500 assays..... 3/08/91
(125I) T3 Uptake
Radioimmunoassay Kit Catalog
Nos. CA-2539, CA-2539J, CA-
2559, CA-2559J.
INCSTAR Corporation.................... Clinical Assays Gamma Dab Kit: 125 assays; Vial: 3/08/91
(125I) hTSH Radioimmunoassay 15ml.
Kit Cat. No. CA-1591.
INCSTAR Corporation.................... HTSH Non-Specific Binding Vial: 3.5ml.............. 3/08/91
Reagent Cat. No. CA-2752.
INCSTAR Corporation.................... Human TSH Controls Levels I & Vial: 3.5ml.............. 3/08/91
II Cat. Nos. CA-2452, CA-2453.
INCSTAR Corporation.................... Human hTSH Blank Cat. No. CA- Vial: 15ml............... 3/08/91
2885.
INCSTAR Corporation.................... Phenobarbital Standards: 1, 3, Bottle: 3.5ml............ 3/08/91
10, 30, 100 ug/ml Cat. Nos. CA-
2380-2384.
INCSTAR Corporation.................... Rabbit Anti-Human TSH Serum Vial: 15ml............... 3/08/91
Cat. No. CA-2145.
INCSTAR Corporation.................... htsH Standards: 2, 5, 10, 20, Bottle: 3.5ml............ 3/08/91
50 uIU/ml Cat. Nos. CA-2886-
2890.
ISOTEC, Inc............................ (-) 11 Nor-9-Carboxy-Delta-9- Ampule: 2ml.............. 6/19/95
THC-D3, 100ug/ml.
ISOTEC, Inc............................ (-) 11-Nor-9-Carboxy-Delta-9- Ampule: 2ml.............. 6/19/95
THC, 100ug/ml.
ISOTEC, Inc............................ 6-Acetylmorphine, 1 mg/ml...... Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ 6-Acetylmorphine-D3, 100ug/ml, Ampule: 2ml.............. 6/19/95
1mg/ml.
ISOTEC, Inc............................ 6-Acetylmorphine-D6, 100ug/ml, Ampule; 2ml.............. 6/19/95
1mg/ml.
ISOTEC, Inc............................ Benzoylecgonine, 1mg/ml........ Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ Benzoylecgonine-D3, 100ug/ml, Ampule: 2ml.............. 6/19/95
1mg/ml.
ISOTEC, Inc............................ Cocaethylene, 1mg/ml........... Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ Cocaethylene-D3, 100ug/ml, 1mg/ Ampule: 2ml.............. 6/19/95
ml.
ISOTEC, Inc............................ Cocaine, 1mg/ml................ Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ Cocaine-D3, 100ug/ml, 1mg/ml... Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ Codeine, 1mg/ml................ Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ Codeine-D3, 100ug/ml, 1mg/ml... Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ DL-3, 4- Ampule: 2ml.............. 9/18/95
Methylenedioxyamphetamine, 1mg/
ml.
ISOTEC, Inc............................ DL-3, 4- Ampule: 2ml.............. 9/18/95
Methylenedioxyamphetamine-D5,
100ug/ml, 1mg/ml.
ISOTEC, Inc............................ DL-3, 4- Ampule: 2ml.............. 9/18/95
Methylenedioxymethamphetamine,
1mg/ml.
ISOTEC, Inc............................ DL-3, 4- Ampule: 2ml.............. 9/18/95
Methylenedioxymethamphetamine-
D8, 100ug/ml, 1mg/ml.
ISOTEC, Inc............................ DL-Amphetamine-D6, 100ug/ml, Ampule: 2ml.............. 6/19/95
1mg/ml.
ISOTEC, Inc............................ DL-Amphetamine, 1mg/ml......... Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ DL-Methamphetamine, 1mg/ml..... Ampule: 2ml.............. 9/18/95
ISOTEC, Inc............................ DL-Methamphetamine-D9, 100ug/ Ampule: 2ml.............. 9/18/95
ml, 1mg/ml.
ISOTEC, Inc............................ DL-Methylphenidate, 1mg/ml..... Ampule: 2ml.............. 9/18/95
ISOTEC, Inc............................ Delta-9-THC, 1mg/ml............ Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ Delta-9-THC-D3, 100ug/ml....... Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ Ecgonine Methyl Ester, 1mg/ml.. Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ Ecgonine Methyl Ester-D3, 100ug/ Ampule: 2ml.............. 6/19/95
ml, 1mg/ml.
ISOTEC, Inc............................ Ecgonine, 1mg/ml............... Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ Fentanyl, 100ug/ml, 1mg/ml..... Ampule: 2ml.............. 9/18/95
ISOTEC, Inc............................ Fentanyl-D5, 100ug/ml, 1mg/ml.. Ampule: 2ml.............. 9/18/95
ISOTEC, Inc............................ Hydrocodone, 1mg/ml............ Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ Hydrocodone-D3, 100ug/ml, 1mg/ Ampule: 2ml.............. 6/19/95
ml.
ISOTEC, Inc............................ Hydromorphone, 1mg/ml.......... Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ Hydromorphone-D3, 100ug/ml, 1mg/ Ampule: 2ml.............. 6/19/95
ml.
ISOTEC, Inc............................ Lysergic Acid Diethylamide, Ampule: 2ml.............. 6/19/95
25ug/ml.
ISOTEC, Inc............................ Lysergic Acid Diethylamide-D3, Ampule: 2ml.............. 6/19/95
25ug/ml.
ISOTEC, Inc............................ Lysergic Acid N-Methyl Ampule: 2ml.............. 6/19/95
Propylamide, 25ug/ml.
ISOTEC, Inc............................ Methadone, 1mg/ml.............. Ampule: 2ml.............. 9/18/95
ISOTEC, Inc............................ Methadone-D3, 100ug/ml, 1mg/ml. Ampule: 2ml.............. 9/18/95
ISOTEC, Inc............................ Morphine, 1mg/ml............... Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ Morphine-3-beta-D-Glucuronide, Ampule: 2ml.............. 9/18/95
100ug/ml, 1mg/ml.
ISOTEC, Inc............................ Morphine-D3, 100ug/ml, 1mg/ml.. Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ Norcocaine, 1mg/ml............. Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ Pentobarbital, 1mg/ml.......... Ampule: 2ml.............. 9/18/95
ISOTEC, Inc............................ Pentobarbital-D5, 100ug/ml, 1mg/ Ampule: 2ml.............. 9/18/95
ml.
[[Page 13736]]
ISOTEC, Inc............................ Phencyclidine, 1mg/ml.......... Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ Phencyclidine-D5, 100ug/ml..... Ampule: 2ml.............. 6/19/95
ISOTEC, Inc............................ Secobarbital, 1mg/ml........... Ampule: 2ml.............. 9/18/95
ISOTEC, Inc............................ Secobarbital-D5, 100ug/ml, 1mg/ Ampule: 2ml.............. 9/18/95
ml.
Immunotech Corp........................ Amphetamine Enzyme Conjugate... Bottle: 10.5ml........... 9/28/89
Immunotech Corp........................ Amphetamine Positive Urine Bottle: 1ml.............. 9/28/89
Calibrator.
Immunotech Corp........................ Amphetamine-ALK Phos Cat. No. Bottle: 10ml............. 3/12/90
612; 50 units, 300 units.
Immunotech Corp........................ Amphetamine-HRP Cat. No. 613; Bottle: 10ml............. 3/12/90
50 units.
Immunotech Corp........................ Benzoylecgonine-Alk Phos Cat. # Bottle: 10ml............. 3/12/90
602; 50 units, 300 units.
Immunotech Corp........................ Benzoylecgonine-HRP Cat. No. Bottle: 10ml............. 3/12/90
604; 50 units, 300 units.
Immunotech Corp........................ Cocaine Conjugate No. 0364-SIG. Bottle: 75ml............. 6/13/91
Immunotech Corp........................ Cocaine Metabolite Enzyme Vial: 10.5ml............. 9/28/89
Conjugate.
Immunotech Corp........................ Cocaine Metabolite Positive Vial: 2ml................ 9/28/90
Urine Calibrator.
Immunotech Corp........................ Delta-8-tetrahydrocannabinol- Bottle: 10 ml............ 3/12/90
ALK Phos Cat. No. 616; 50
units, 300 units.
Immunotech Corp........................ Delta-8-tetrahydrocannabinol- Bottle: 10ml............. 3/12/90
HRP Cat. No. 618; 50 units.
Immunotech Corp........................ ENDAB Phenobarbital Kit, Cat. Kit: 100 tests, 4 9/28/89
No. 119. Bottles: 1 ml ea.
Immunotech Corp........................ Methamphetamine-ALK Phos Cat. Bottle: 10ml............. 3/12/90
No. 614; 50 units.
Immunotech Corp........................ Methamphetamine-HRP Cat. No. Bottle: 10 ml............ 3/12/90
615; 50 units.
Immunotech Corp........................ Micro Dau Amphetamine Enzyme Kit: 96 tests, Bottle: 9/28/89
Immunoassay Test Kit. 10.5 ml, 2 ml.
Immunotech Corp........................ Micro Dau Benzodiazepine Enzyme Kit: 96 tests, Bottle: 9/28/89
Immunoassay Test Kit. 10.5 ml, 2 ml.
Immunotech Corp........................ Micro Dau Cocaine Metabolite Kit: 96 tests, Bottle: 9/28/89
Enzyme Immunoassay Test Kit. 10.5 ml, 2 ml.
Immunotech Corp........................ Micro Dau Opiates Enzyme Kit: 96 tests............ 12/19/89
Immunoassay Test Kit.
Immunotech Corp........................ Micro Dau PCP Enzyme Kit: 96 tests............ 7/11/90
Immunoassay Kit Cat. No. 175.
Immunotech Corp........................ Micro Dau THC Enzyme Kit: 96 tests............ 7/11/90
Immunoassay Test Kit Cat. No.
173.
Immunotech Corp........................ Morphine Positive Urine Vial: 3.5 ml............. 12/19/89
Calibrator.
Immunotech Corp........................ Morphine-ALK Phos Cat. No. 610; Bottle: 10ml............. 3/12/90
50 units, 300 units.
Immunotech Corp........................ Morphine-HRP Cat. No. 611; 50 Bottle: 10ml............. 3/12/90
units, 300 units.
Immunotech Corp........................ Opiates Enzyme Conjugate....... Vial: 10 ml.............. 12/19/89
Immunotech Corp........................ Oxazepam Enzyme Conjugate...... Bottle: 10.5ml........... 9/28/89
Immunotech Corp........................ Oxazepam Positive Urine Bottle: 2ml.............. 9/28/89
Calibrator.
Immunotech Corp........................ Oxazepam-ALK Phos Cat. No. 606; Bottle: 10ml............. 3/12/90
50 units.
Immunotech Corp........................ Oxazepam-HRP Cat No. 608; 50 Bottle: 10ml............. 3/12/90
units.
Immunotech Corp........................ PCP Enzyme Conjugate Cat. No. Vial: 20ml............... 7/11/90
375.
Immunotech Corp........................ PCP Positive Urine Calibrator Vial: 3ml................ 7/11/90
Cat. No. 418.
Immunotech Corp........................ Phenobarbital Enzyme Conjugate. Bottle: 10.0ml........... 9/28/89
Immunotech Corp........................ Phenobarbital Serum Standard: 4 Bottles: 1ml each...... 9/28/89
3ug/ml, 10ug/ml, 30ug/ml, 80ug/
ml.
Immunotech Corp........................ THC Enzyme Conjugate Cat. No. Vial: 20ml............... 7/11/90
373.
Immunotech Corp........................ THC Positive Urine Calibrator Vial: 3ml................ 7/11/90
Cat No. 416 50ng/ml, 417 100ng/
ml.
Industrial Analytical Laboratory, Inc.. 11-Nor-Carboxy-Delta-9- Ampule: 1ml.............. 9/04/85
Tetrahydrocannabinol.
Industrial Analytical Laboratory, Inc.. 11-hydroxy-delta-9- Ampule: 1 ml............. 2/18/87
tetrahydrocannabinol.
Industrial Optical..................... Opti-Kleen..................... Bottle: 5 gallon......... 6/24/81
International BioClinical, Inc......... Innofluor Phenobarbital Bottle: 3 ml............. 7/9/87
Calibrators 0.0, 3.0, 8.0,
20.0, 40.0, and 80.0 mcg/ml.
International BioClinical, Inc......... Phenobarbital Stock Tracer..... Vial: 5 ml............... 9/23/87
International Technidyne Corp.......... Hemochron Control Plasma Kit: 18 Tests; Test tube: 3/11/91
Quality Control Test Kit. 9ml; Vial: 5ml.
JRH Biosciences........................ HH4 Cell Culture Media......... Bulk Plastic Bag: 20, 10, 5/11/95
1L.
Janssen Pharmaceutica, Inc............. 3H Alfentanil.................. Vial: 0.5 ml............. 2/1/87
Janssen Pharmaceutica, Inc............. 3H Fentanyl.................... Vial: 0.5 ml............. 2/1/87
Janssen Pharmaceutica, Inc............. 3H Sufentanil.................. Vial: 0.5 ml............. 2/1/87
Janssen Pharmaceutica, Inc............. Alfentanil Radioimmunoassay Kit Kit: 200 tests........... 5/13/85
Janssen Pharmaceutica, Inc............. Fentanyl Radioimmunoassay Kit.. Kit: 200 tests........... 5/13/85
Janssen Pharmaceutica, Inc............. Sufentanil Radioimmunoassay Kit Kit: 500 tests........... 5/13/85
Kallestad Diagnostics.................. Barbital Buffer 901............ Vial..................... 5/19/81
Kallestad Diagnostics.................. IEP Buffer No. 900............. Vial: 7 Dram............. 12/26/78
Kallestad Diagnostics.................. Immunoelectrofilm Catalog No. 1 Film Sealed in 3/11/80
910. Cardboard Container.
Kallestad Diagnostics.................. Immunoelectrofilms, Catalog No. Styrofoam Container: 25 6/22/87
1013. film.
Kallestad Diagnostics.................. Immunoelectrophoresis Reagent Kit: 3 Vials............. 6/22/87
Kit, Catalog No. 1012.
Kallestad Diagnostics.................. Quanticoat 125I-T3 Uptake Kit Kit: 400 Determinations.. 12/16/85
Catalog No. 823.
Kallestad Diagnostics.................. Quanticoat 125I-T3 Uptake Kit, Kit: 100 tests........... 6/24/81
Catalog No. 833.
Kallestad Diagnostics.................. Quanticoat 125I-T3 Uptake Bottle: 500ml............ 12/16/85
Reagent Catalog No. 785.
Kallestad Diagnostics.................. Quanticoat 125I-T3 Uptake 2 Glass Bottles: 110ml... 6/24/81
Reagent No. 834.
[[Page 13737]]
LIfe Technologies, Inc................. AmnioMax-C100 Second Dilution.. Bottle: 1L............... 2/17/94
LKB Instruments, Inc................... Tris-barbiturate Buffer pH 8.6. Packet: each 6.788 g. 20 5/15/78
packets/box.
Lemmon Company......................... Etorphine Standard Solution.... Plastic Carboy: 1 Liter.. 10/31/83
Life Technologies, Inc................. AmnioMax-C100 First Dilution... Bottle: 1L............... 2/17/94
Life Technologies, Inc................. AmnioMax-C100 Stock Solution... Bottle: 1L............... 2/17/94
Life Technologies, Inc................. AmnioMax-C100 Supplement....... Bottle: 15ml, 60ml, 75ml, 2/17/94
100ml.
Life Technologies, Inc................. Testosterone Stock Solution.... Bottle: 1L............... 10/4/94
MCI Biomedical......................... IEP Buffer, pH 8.2, 0.04 Ionic Package: 6.510 grams..... 8/28/72
Strength.
Mallinckrodt Chemical, Inc............. Naloxone/6-Beta Naltrexol...... Bottle: 60ml............. 10/6/94
Mallinckrodt Chemical, Inc............. Naltrexone/6-beta Naltrexol Bottle: 60ml............. 10/4/94
Standard Solution.
Materials & Technology Systems......... 5-Ethyl-5-(1 -Carboxy-N-Propyl) Screw Cap Vial: 8ml...... 5/3/73
Barbituric Acid.
Materials & Technology Systems......... 5-Ethyl-5-(1-Carboxy-N- Vaccine Vial: 8ml........ 5/3/73
Propyl)Barbituric Acid Bovine
Serum Albumin or Rabbit Serum
Albumin.
Materials & Technology Systems......... 5-Ethyl-5-(1-Carboxy-N- Vaccine Vial: 8ml........ 5/3/73
Propyl)Barbituric Acid
Sensitized RBC.
Materials & Technology Systems......... Barbiturate Standard........... Screwcap Vial: 10ml...... 9/17/76
Materials & Technology Systems......... Benzoylecgonine................ Screw Cap Vial: 25mg and 4/18/74
100 mg.
Materials & Technology Systems......... Benzoylecgonine Standard....... Screwcap Vial: 10ml...... 9/17/76
Materials & Technology Systems......... Carboxymethylmorphine.......... Screw Cap Vial: 8ml...... 5/3/73
Materials & Technology Systems......... Carboxymethylmorphine Bovine Vaccine Vial: 8ml........ 5/3/73
Serum Albumin or Rabbit Serum
Albumin.
Materials & Technology Systems......... Carboxymethylmorphine Vaccine Vial: 50ml....... 5/3/73
Sensitized RBC.
Materials & Technology Systems......... Ecgonine Bovine Serum Albumin Vaccine Vial: 8ml........ 5/3/73
or Rabbit Serum Albumin.
Materials & Technology Systems......... Ecgonine Sensitized RBC........ Vaccine Vial: 50ml....... 5/3/73
Materials & Technology Systems......... Methadone Standard............. Screwcap Vial: 10ml...... 9/17/76
Materials & Technology Systems......... Morphine Standard.............. Screw Cap Vial: 10ml..... 7/17/73
Materials & Technology Systems......... Tropinecarboxylic Acid......... Screw Cap Vial: 8ml, 10ml 5/3/73
McGean-Rocho, Inc...................... Chloral Solution Denatured..... Plastic container; 1, 5, 1/11/91
55 Gallons.
McGean-Rocho, Inc...................... Reflexion Semi-Bright B........ Plastic container; 1, 5, 1/11/91
55 Gallons.
McGean-Rocho, Inc...................... Reflexion Semi-Bright S........ Plastic container; 1, 5, 1/11/91
55 Gallons.
Medi-Chem, Inc......................... Barbiturate Test Set (Sodium Bottle: 120ml............ 2/22/74
Secobarbital Standard 10mg % w/
v) Catalog No.250.
Medical Analysis Systems, Inc.......... ACE II Calibrator for the Glass Vial: 2238mm, 5ml.. 8/7/86
DuPont aca Level 1.
Medical Analysis Systems, Inc.......... ACE II Calibrator for the Glass Vial: 2238mm, 5ml.. 8/7/86
DuPont aca Level 2.
Medical Analysis Systems, Inc.......... ACE II Calibrator for the Glass Vial: 2238mm, 5ml.. 8/7/86
DuPont aca Level 3.
Medical Analysis Systems, Inc.......... Amobarbital, #117 Intermediate Bottle: 10-100ml......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... Benzoylecgonine, #432 Bottle: 10-250ml......... 10/22/93
Intermediate Solution.
Medical Analysis Systems, Inc.......... Benzoylecgonine, #483 Bottle: 10-100ml......... 10/22/93
Intermediate Solution.
Medical Analysis Systems, Inc.......... Benzoylecgonine, #719 Bottle: 10-1800ml........ 10/22/93
Intermediate Solution.
Medical Analysis Systems, Inc.......... Butalbital, #429 Intermediate Bottle: 10-100ml......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... CHALLENGE Liquid Therapeutic Kit: 10 Bottles.......... 1/24/91
Drug Linearity Controls.
Medical Analysis Systems, Inc.......... CHALLENGE Liquid Therapeutic Glass Bottles: 5ml; 1 1/24/91
Drug Linearity Controls TD1 A- Set: 5 Bottles.
E; TD2 A-E.
Medical Analysis Systems, Inc.......... Chemistry Control Assayed, Vial: 15ml............... 4/30/85
Level 1, 2, & 3.
Medical Analysis Systems, Inc.......... Chemistry Control, Level 1, 2, Vial: 15ml............... 4/30/85
& 3.
Medical Analysis Systems, Inc.......... Clonazepam, #473 Intermediate Bottle: 50-500ml......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... Codeine, #435 Intermediate Bottle: 10-100ml......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... D-Amphetamine, #423 Bottle: 10-250ml......... 10/22/93
Intermediate Solution.
Medical Analysis Systems, Inc.......... D-Methamphetamine, #422 Bottle: 10-250ml......... 10/22/93
Intermediate Solution.
Medical Analysis Systems, Inc.......... DOA Calibrator 1, #1921 Bulk Bottle: 10-100L.......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Calibrator 2, #1922 Bulk Bottle: 10-100L.......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Calibrator 2, #C38979 Bulk Bottle: 10-100L.......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Calibrator 3, #C38978 Bulk Bottle: 10-100L.......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Calibrator 4, #C38980 Bulk Bottle: 10-100L.......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Calibrator 4, #C38980P Bottle: 20-300L.......... 10/22/93
Pilot Solution.
Medical Analysis Systems, Inc.......... DOA Control 2, #1912 Bulk Bottle: 20-200L.......... 10/22/93
Solution.
[[Page 13738]]
Medical Analysis Systems, Inc.......... DOA Control 3, #1943 Bulk Bottle: 20-100L.......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Control 3, #1913 Bulk Bottle: 20-300L.......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Control 4, #1914 Bulk Bottle: 20-300L.......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Control 4, #1914P Pilot Bottle: .1-1L............ 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Control 4, #1944 Bulk Bottle: 20-100L.......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Control 4, #1944P Pilot Bottle: .1-1L............ 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Control G2, #1915 Bulk Bottle: 20-200L.......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Control G3, #1916 Bulk Bottle: 20-300L.......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Control G4, #1917 Bulk Bottle: 20-300L.......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Control G4, #1917P Pilot Bottle: .1-1L............ 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Cutoff Control, #1946 Bulk Bottle: 1-10L............ 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Cutoff Control, #1946P Bottle: .1-1L............ 10/22/93
Pilot Solution.
Medical Analysis Systems, Inc.......... DOA High Control, #1945 Bulk Bottle: 1-10L............ 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Liquid Drugs of Abuse Vial: 5ml, 18ml; Box: 6- 10/12/90
Controls Level 2, 3, 4. 8ml vials; Box: 8-5ml
vials.
Medical Analysis Systems, Inc.......... DOA Low Cointrol, #1947 Bulk Bottle: 1-10L............ 10/22/93
Solution.
Medical Analysis Systems, Inc.......... DOA Positive Control, #1924 Bottle: 10-100L.......... 10/22/93
Bulk Solution.
Medical Analysis Systems, Inc.......... DOA Positive Control, #1924P Bottle: .1-1L............ 10/22/93
Pilot Solution.
Medical Analysis Systems, Inc.......... DOA Positive Control, #C38981 Bottle: 10-100L.......... 10/22/93
Bulk Solution.
Medical Analysis Systems, Inc.......... Diazepam, #430 Intermediate Bottle: 10-100ml......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... Liquid Urine Control Level 1... Vial: 5 ml............... 4/03/87
Medical Analysis Systems, Inc.......... Liquimmune Immunoassay Control Bottle: 40-100L.......... 10/22/93
1, #2300 Bulk Solution.
Medical Analysis Systems, Inc.......... Liquimmune Immunoassay Control Bottle: .1-1L............ 10/22/93
1, #2300P Pilot Solution.
Medical Analysis Systems, Inc.......... Liquimmune Immunoassay Control Bottle: 20-300L.......... 10/22/93
2, #2301 Bulk Solution.
Medical Analysis Systems, Inc.......... Liquimmune Immunoassay Control Bottle: 20-300L.......... 10/22/93
3, #2302 Bulk Solution.
Medical Analysis Systems, Inc.......... Liquimmune Immunoassay Control Bottle: .1-1L............ 10/22/93
3, #2302P Pilot Solution.
Medical Analysis Systems, Inc.......... Methadone, #438 Intermediate Bottle: 10-250ml......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... Methaqualone, #439 Intermediate Bottle: 10-250ml......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... Morphine Glucuronide, #433 Bottle: 10-100ml......... 10/22/93
Intermediate Solution.
Medical Analysis Systems, Inc.......... Morphine, #434 Intermediate Bottle: 10-250ml......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... Nordiazepam, #431 Intermediate Bottle: 10-250ml......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... Pentobarbital, #426 Bottle: 10-100ml......... 10/22/93
Intermediate Solution.
Medical Analysis Systems, Inc.......... Phencyclidine, #437 Bottle: 10-100ml......... 10/22/93
Intermediate Solution.
Medical Analysis Systems, Inc.......... Phenobarbital, #418 Bottle: 50-700ml......... 10/22/93
Intermediate Solution.
Medical Analysis Systems, Inc.......... Phenobarbital, #425 Bottle: 10-100ml......... 10/22/93
Intermediate Solution.
Medical Analysis Systems, Inc.......... Phenobarbital, #745 Bottle: 50-200ml......... 10/22/93
Intermediate Solution.
Medical Analysis Systems, Inc.......... Propoxyphene, #440 Intermediate Bottle: 10-250ml......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... Secobarbital, #427 Intermediate Bottle: 10-250ml......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... TDM Plus.XL Level I, II or III Bottle: 5ml, Box: 6 9/5/90
Unassayed Enhanced Liquid Drug bottles.
Control.
Medical Analysis Systems, Inc.......... Testosterone, #748 Intermediate Bottle: 50-200ml......... 10/22/93
Solution.
Medical Analysis Systems, Inc.......... Therapeutic Drug Monitoring Bottle: 20-300L.......... 10/22/93
Control 1, #1581 Bulk Solution.
Medical Analysis Systems, Inc.......... Therapeutic Drug Monitoring Bottle: 20-300L.......... 10/22/93
Control 2, #1582 Bulk Solution.
Medical Analysis Systems, Inc.......... Therapeutic Drug Monitoring Bottle: 20-300L.......... 10/22/93
Control 3, #1583 Bulk Solution.
Medical Analysis Systems, Inc.......... Therapeutic Drug Monitoring Bottle: .1-1L............ 10/22/93
Control 3, #1583P Pilot
Solution.
Medical Analysis Systems, Inc.......... Transfer Pilot Material Glass vial: 3-5ml........ 7/29/94
Calibrators; Levels 2, 3, 4, 5.
Medical Analysis Systems, Inc.......... Transfer Pilot Material Glass vial: 3-5ml........ 7/29/94
Controls; Negative QC and
Positive QC.
Medical Analysis Systems, Inc.......... Tri-Point LiquImmune Ligand Glass Bottle: 5ml; Kit: 6 10/23/91
Control, Levels 1, 2 and 3. Bottles.
Medical Analysis Systems, Inc.......... Tri-Point LiquImmune Ligand Glass Bottle: 5ml; Kit: 6 10/23/91
Control, Levels 1, 2 and 3. bottles.
Medical Analysis Systems, Inc.......... chemTRAK Liquid Unassayed Kit: 65ml Vials.......... 10/8/86
Therapeuitic Drug Control
Level 2.
FR Doc. 96-7385 Exempt Chemical Preparations
Medical Analysis Systems, Inc.......... chemTRAK Liquid Unassayed Kit: 65ml Vials.......... 10/8/86
Therapeutic Drug Control Level
3.
Medical Analysis Systems, Inc.......... chemTRAK Liquid Unassayed Kit: 65ml Vials.......... 10/8/86
Therapeutic Drug Control Level
I.
Medical Analysis Systems, Inc.......... chemTrak Liquid Unassayed...... Vial: 15ml............... 4/30/85
Meloy Labs, Inc........................ Counterelectrophoresis Plates, Plates: 10 determinations 9/5/73
G-301.
Meloy Labs, Inc........................ Immunoelectrophoresis Plates, G- Plates: 6 / unit......... 9/5/73
201.
Merck and Co., Inc..................... Amphetamine - d6 HCl, Cat. No. Ampule: 2 or 5ml......... 8/30/89
MD-3892.
Merck and Co., Inc..................... Cocaine-d3 HCl Catalog # MD- Ampule: 2 or 5ml......... 6/13/88
3677.
Merck and Co., Inc..................... Codeine - d3 H2O (N-methyl-d3) 2ml, 5ml ampule Carton: 5 9/6/88
No. MD-3776. ampules.
Merck and Co., Inc..................... Codeine-d3 Catalog # MD-3678... Ampule: 2 or 5ml......... 6/13/88
Merck and Co., Inc..................... DL-1 Phenyl-2-aminopropane 1, Ampule: 2 or 5ml......... 6/13/88
1, 2, 3, 3, 3, -d6
(Amphetamine-d6) Catalog # MD-
3682.
Merck and Co., Inc..................... DL-1 Phenyl-2- Ampule: 2 or 5ml......... 6/13/88
methylaminopropane-1, 1, 2, 3,
3, 3-d6 HCl (Methamphetamine
d6) Catalog # MD-3683.
Merck and Co., Inc..................... DL-1-Phenyl-2-aminopropane-1, 2ml, 5ml amber ampule 9/6/88
1, 2, 3, 3, 3-d6 HCL No. MD- Carton: 5 ampules.
3778.
Merck and Co., Inc..................... Ecgonine - d3 Methyl Ester HCl Ampule: 2 or 5ml......... 6/13/88
Catalog # MD- 3679.
Merck and Co., Inc..................... Methamphetamine - d9 HCl, Cat. Ampule: 2 or 5ml......... 8/30/89
No. MD-3853.
[[Page 13739]]
Merck and Co., Inc..................... Morphine - d3 HCl 3H20 (N- 2ml, 5ml ampule Carton: 5 9/6/88
methyl-d3) No. MD-3777. ampules.
Merck and Co., Inc..................... Morphine - d3 HCl Catalog # MD- Ampule: 2 or 5 ml........ 6/13/88
3680.
Merck and Co., Inc..................... O-Benzoylecgonine-d3 Catalog # Ampule: 2 or 5 ml........ 6/13/88
MD-3676.
Merck and Co., Inc..................... Phen-d5-cyclidine HCl Catalog # Ampule: 2 or 5 ml........ 6/13/88
MD-3681.
Microdiagnostics, Inc.................. Amphetamine Bulk Tracer........ Tube: 1ml; Bottle: 10ml, 1/17/96
100ml, 500ml.
Microdiagnostics, Inc.................. Amphetamine Enzyme Conjugate... Bottle: 10ml............. 12/24/92
Microdiagnostics, Inc.................. Benzoylecgonine Bulk Tracer.... Tube: 1ml; Bottle: 10ml, 1/17/96
100ml, 500ml.
Microdiagnostics, Inc.................. Cocaine Enzyme Conjugate....... Bottle: 10ml............. 12/24/92
Microdiagnostics, Inc.................. EIA for Amphetamine Metabolites Kit: 2 bottles........... 12/24/92
Microdiagnostics, Inc.................. EIA for Cocaine Metabolites.... Kit: 2 bottles........... 12/24/92
Microdiagnostics, Inc.................. EIA for Marijuana Metabolites.. Kit: 2 bottles........... 12/24/92
Microdiagnostics, Inc.................. EIA for Opiate Metabolites..... Kit: 2 bottles........... 12/24/92
Microdiagnostics, Inc.................. EIA for PCP Metabolites........ Kit: 2 bottles........... 12/24/92
Microdiagnostics, Inc.................. Morphine Bulk Tracer........... Tube: 1ml; Bottle: 10ml, 1/17/96
100ml, 500ml.
Microdiagnostics, Inc.................. Opiate Enzyme Conjugate........ Bottle: 10ml............. 12/24/92
Microdiagnostics, Inc.................. PCP Enzyme Conjugate........... Bottle: 10ml............. 12/24/92
Microdiagnostics, Inc.................. Phencyclidine Bulk Tracer...... Tube: 1ml; Bottle: 10ml, 1/17/96
100ml, 500ml.
Microdiagnostics, Inc.................. Positive Amphetamine Standard.. Bottle: 2ml.............. 12/24/92
Microdiagnostics, Inc.................. Positive Cocaine Standard...... Bottle: 2ml.............. 12/24/92
Microdiagnostics, Inc.................. Positive Opiate Standard....... Bottle: 2ml.............. 12/24/92
Microdiagnostics, Inc.................. Positive PCP Standard.......... Bottle: 2ml.............. 12/24/92
Microdiagnostics, Inc.................. Positive THC Standard.......... Bottle: 2ml.............. 12/24/92
Microdiagnostics, Inc.................. THC Enzyme Conjugate........... Bottle: 10ml............. 12/24/92
Microdiagnostics, Inc.................. Tetrahydrocannabinol Bulk Tube: 1ml; Bottle: 10ml, 1/17/96
Tracer. 100ml, 500ml.
Microgenics Corporation................ 4-Drug Barbiturate Spiking Carboy: 2L............... 12/1/93
Solution.
Microgenics Corporation................ 4-Drug Cutoff Bulk Calibrator.. Carboy: 6L............... 12/1/93
Microgenics Corporation................ 4-Drug High Bulk Calibrator.... Carboy: 4L............... 12/1/93
Microgenics Corporation................ 4-Drug Intermediate Bulk Carboy: 4L............... 12/1/93
Calibrator.
Microgenics Corporation................ 5-Drug Cutoff Bulk Calibrator.. Carboy: 4L............... 12/1/93
Microgenics Corporation................ Amphetamine ED Bulk Reagent.... Carboy: 25L.............. 4/13/94
Microgenics Corporation................ Amphetamine Manufacturing Bulk Carboy or Beaker: 4L..... 4/20/94
Calibrators B, C, D, E, F, G,
H, I, J, K, Open.
Microgenics Corporation................ Amphetamine Manufacturing Vial: 3.5 or 5.0ml....... 4/20/94
Calibrators B, C, D, E, F, G,
H, I, J, K, Open.
Microgenics Corporation................ Amphetamine/Methamphetamine Carboy or Beaker: 4L..... 4/20/94
Bulk Manufacturing Calibrator
Open.
Microgenics Corporation................ Amphetamine/Methamphetamine Vial: 3.5 or 5.0ml....... 4/20/94
Manufacturing Calibrator Open.
Microgenics Corporation................ Amphetamines Spiking Solution.. Carboy: 2L............... 12/1/93
Microgenics Corporation................ Barbiturate Manufacturing Bulk Carboy or Beaker: 4L..... 4/20/94
Calibrators B, C, D, E, F, G,
H, I, J, K, Open.
Microgenics Corporation................ Barbiturate Spiking Solution... Carboy: 2L............... 12/1/93
Microgenics Corporation................ Barbiturate/Benzodiazepine 200 Carboy: 4L............... 12/1/93
Cutoff Calibrator.
Microgenics Corporation................ Barbiturate/Benzodiazepine 300 Carboy: 2L............... 12/1/93
Cutoff Calibrator.
Microgenics Corporation................ Barbiturate/Benzodiazepine High Carboy: 2L............... 12/1/93
Bulk Calibrator.
Microgenics Corporation................ Barbiturate/Benzodiazepine Carboy: 2L............... 12/1/93
Intermediate Bulk Calibrator.
Microgenics Corporation................ Barbiturates Manufacturing Vial: 3.5 or 5.0ml....... 4/20/94
Calibrators B, C, D, E, F, G,
H, I, J, K, Open.
Microgenics Corporation................ Benzodiazepine Ethanol Stock... Vial: 25ml............... 12/1/93
Microgenics Corporation................ Benzodiazepine Manufacturing Carboy or Beaker: 4L..... 4/20/94
Bulk Calibrators B, C, D, E,
F, G, H, I, J, K, Open.
Microgenics Corporation................ Benzodiazepine Manufacturing Vial: 3.5 or 5.0ml....... 4/20/94
Calibrators B, C, D, E, F, G,
H, I, J, K, Open.
Microgenics Corporation................ Benzodiazepine Spiking Solution Carboy: 2L............... 12/1/93
Microgenics Corporation................ Bulk Calibrator Solution 80ug/ Carboy: 10L.............. 11/13/90
ml, 40ug/ml.
Microgenics Corporation................ CEDAI DAU Opiate Assay Cat # 80- Kit: 4 Bottles, 500ml.... 12/1/93
3000.
Microgenics Corporation................ CEDIA DAU 4-Drug Cutoff Bottle: 10, 15ml......... 12/1/93
Calibrator.
Microgenics Corporation................ CEDIA DAU 4-Drug High Bottle: 10, 15ml......... 12/1/93
Calibrator.
Microgenics Corporation................ CEDIA DAU 4-Drug Intermediate Bottle: 10, 15ml......... 12/1/93
Calibrator.
Microgenics Corporation................ CEDIA DAU 5-Drug Cutoff Bottle: 5, 15ml.......... 12/1/93
Calibrator.
Microgenics Corporation................ CEDIA DAU Amphetamine Assay Kit: 4 Bottles........... 4/13/94
(For 85ml, 500ml).
Microgenics Corporation................ CEDIA DAU Amphetamine ED Vial: 100ml, 500ml....... 4/13/94
Reagent.
Microgenics Corporation................ CEDIA DAU Barb/Benz 200 Bottle: 10, 15ml......... 12/1/93
Calibrator.
Microgenics Corporation................ CEDIA DAU Barb/Benz 300 Bottle: 10, 15ml......... 12/1/93
Calibrator.
Microgenics Corporation................ CEDIA DAU Barb/Benz High Bottle: 10, 15ml......... 12/1/93
Calibrator.
Microgenics Corporation................ CEDIA DAU Barb/Benz Bottle: 10, 15ml......... 12/1/93
Intermediate Calibrator.
[[Page 13740]]
Microgenics Corporation................ CEDIA DAU Cocaine Assay Cat # Kit: 4 Bottles, 85ml..... 12/1/93
80-2300.
Microgenics Corporation................ CEDIA DAU Cocaine Assay Cat # Kit: 4 Bottles, 500ml.... 12/1/93
80-2400.
Microgenics Corporation................ CEDIA DAU Cocaine ED Reagent, Vial: 100ml.............. 12/1/93
Cat # 80-2300.
Microgenics Corporation................ CEDIA DAU Cocaine ED Reagent, Vial: 500ml.............. 12/1/93
Cat # 80-2400.
Microgenics Corporation................ CEDIA DAU Multi-Drug Control 2 Vials; 5ml/vial........ 5/10/94
Set, #80-0120.
Microgenics Corporation................ CEDIA DAU Multi-Level THC Assay Kit: 4 Bottles, 85ml..... 12/1/93
Cat # 80-2700.
Microgenics Corporation................ CEDIA DAU Multi-Level THC Assay Kit: 4 Bottles, 500ml.... 12/1/93
Cat # 80-2800.
Microgenics Corporation................ CEDIA DAU Multi-Level THC ED Vial: 100ml.............. 12/1/93
Reagent, Cat # 80-2700.
Microgenics Corporation................ CEDIA DAU Multi-Level THC ED Vial: 500ml.............. 12/1/93
Reagent, Cat # 80-2800.
Microgenics Corporation................ CEDIA DAU Multi-grug Control 2 Vials; 15ml/vial....... 5/10/94
Set, #80-0124.
Microgenics Corporation................ CEDIA DAU Opiate Assay Cat # 80- Kit: 4 Bottles, 85ml..... 12/1/93
2900.
Microgenics Corporation................ CEDIA DAU Opiate ED Reagent, Vial: 100ml.............. 12/1/93
Cat # 80-2900.
Microgenics Corporation................ CEDIA DAU Opiates ED Reagent, Vial: 500ml.............. 12/1/93
Cat # 80-3000.
Microgenics Corporation................ CEDIA DAU PPX/METD Cutoff Vial: 10ml............... 3/2/95
Calibrator.
Microgenics Corporation................ CEDIA DAU PPX/METD High Vial: 10ml............... 3/2/95
Calibrator.
Microgenics Corporation................ CEDIA DAU PPX/METD Intermediate Vial: 10ml............... 3/2/95
Calibrator.
Microgenics Corporation................ CEDIA DAU Specialty Control Set 2 Vials; 15ml/vial....... 5/10/94
1, #80-0121.
Microgenics Corporation................ CEDIA DAU Specialty Control Set 2 Vials; 15ml/vial....... 5/10/94
2, #80-0122.
Microgenics Corporation................ CEDIA DAU THC 100ng/ml Bottle: 15ml............. 12/1/93
Calibrator.
Microgenics Corporation................ CEDIA DAU THC 150ng/ml Bottle: 15ml............. 12/1/93
Calibrator.
Microgenics Corporation................ CEDIA DAU THC 25ng/ml Bottle: 15ml............. 12/1/93
Calibrator.
Microgenics Corporation................ CEDIA DAU THC 50ng/ml Bottle: 15ml............. 12/1/93
Calibrator.
Microgenics Corporation................ CEDIA DAU THC 75ng/ml Bottle: 15ml............. 12/1/93
Calibrator.
Microgenics Corporation................ Cocaine Conjugate.............. Vial: 25ml............... 12/1/93
Microgenics Corporation................ Cocaine ED Bulk Reagent........ Carboy: 25L.............. 12/1/93
Microgenics Corporation................ Cocaine Manufacturing Bulk Carboy or Beaker: 4L..... 4/20/94
Calibrators B, C, D, E, F, G,
H, I, J, K, Open.
Microgenics Corporation................ Cocaine Manufacturing Vial: 3.5 or 5.0ml....... 4/20/94
Calibrators B, C, D, E, F, G,
H, I, J, K, Open.
Microgenics Corporation................ Cocaine Spiking Solution....... Carboy: 2L............... 12/1/93
Microgenics Corporation................ In-house Phenobarbital Bulk Bottle: 2L............... 11/13/90
Primary Standard 40ug/ml, 80ug/
ml.
Microgenics Corporation................ In-house Phenobarbital Primary Micro tube: 1.5ml; Box: 11/13/90
Standard 40ug/ml, 80ug/ml. 100 tubes.
Microgenics Corporation................ In-house manufacturing Bulk Bottle: 2L............... 11/13/90
Calibrator 10ug/ml, 20ug/ml,
40 ug/ml, 60ug/ml, 80ug/ml,
90ug/ml Phenobarbital.
Microgenics Corporation................ In-house manufacturing Vial: 3.5ml.............. 11/13/90
Calibrator 10ug/ml, 20ug/ml,
40ug/ml, 60ug/ml80ug/ml, 90ug/
ml Phenobarbital.
Microgenics Corporation................ Methadone Spiking Solution..... Vial: 2L................. 3/2/95
Microgenics Corporation................ Methamphetamine Conjugate...... Vial: 25ml............... 4/13/94
Microgenics Corporation................ Methamphetamine Manufacturing Carboy or Beaker: 4L..... 4/20/94
Bulk Calibrators B, C, D,
E.F.G.H, I, J, K, Open.
Microgenics Corporation................ Methamphetamine Manufacturing Vial: 3.5ml or 5.0ml..... 4/20/94
Calibrators B, C, D, E, F, G,
H, I, J, K, Open.
Microgenics Corporation................ Microgenics CEDIA Phenobarbital Vial: 3.5ml; Kit: 2 vials 11/13/90
Assay 40ug/ml, 80ug/ml.
Microgenics Corporation................ Morphine Conjugate............. Vial: 25ml............... 12/1/93
Microgenics Corporation................ Opiate ED Bulk Reagent......... Carboy: 25L.............. 12/1/93
Microgenics Corporation................ Opiate Manufacturing Bulk Carboy or Beaker: 4L..... 4/20/94
Calibrators E, F, G, H, I, J,
K, Open.
Microgenics Corporation................ Opiate Manufacturing Vial: 3.5 or 5.0ml....... 4/20/94
Calibrators E, F, G, H, I, J,
K, Open.
Microgenics Corporation................ Opiate Spiking Solution........ Carboy: 2L............... 12/1/93
Microgenics Corporation................ PCP Spiking Solution........... Carboy: 2L............... 12/1/93
Microgenics Corporation................ PCP Stock Concentrate.......... Vial: 10ml............... 12/1/93
Microgenics Corporation................ Phencyclidine Manufacturing Carboy or Beaker: 4L..... 4/20/94
Bulk Calibrators E, F, G, H,
I, J, K, Open.
Microgenics Corporation................ Phencyclidine Manufacturing Vial: 3.5 or 5.0ml....... 4/20/94
Calibrators E, F, G, H, I, J,
K, Open.
Microgenics Corporation................ Phenobarbital Stock Solution... Flask: 100ml............. 11/13/90
Microgenics Corporation................ Propoxyphene/Methadone Cutoff Bulk: 4L................. 3/2/95
Calibrator.
Microgenics Corporation................ Propoxyphene/Methadone High Bulk: 4L................. 3/2/95
Calibrator.
Microgenics Corporation................ Propoxyphene/Methadone Bulk: 4L................. 3/2/95
Intermediate Calibrator.
Microgenics Corporation................ THC 100 Control Set............ Box: 2 Bottles; 15ml each 6/30/94
Microgenics Corporation................ THC 100 Controls (High & Low).. Bottle: 15ml............. 6/30/94
Microgenics Corporation................ THC 100 Controls (High & Low) Carboy: 150L............. 6/30/94
Bulk.
Microgenics Corporation................ THC 100ng/ml Bulk Calibrator... Carboy: 4L............... 12/1/93
Microgenics Corporation................ THC 150ng/ml Bulk Calibrator... Carboy: 4L............... 12/1/93
Microgenics Corporation................ THC 25 Control Set............. Box: 2 Bottles; 15ml each 6/30/94
Microgenics Corporation................ THC 25 Controls (High & Low)... Bottle: 15ml............. 6/30/94
Microgenics Corporation................ THC 25 Controls (High & Low) Carboy: 150L............. 6/30/94
Bulk.
Microgenics Corporation................ THC 25ng/ml Bulk Calibrator.... Carboy: 2L............... 12/1/93
Microgenics Corporation................ THC 50 Control Set............. Box: 2 Bottles; 15ml each 6/30/94
Microgenics Corporation................ THC 50 Controls (High & Low)... Bottle: 15ml............. 6/30/94
[[Page 13741]]
Microgenics Corporation................ THC 50 Controls (High & Low) Carboy: 150L............. 6/30/94
Bulk.
Microgenics Corporation................ THC 50ng/ml Bulk Calibrator.... Carboy: 4L............... 12/1/93
Microgenics Corporation................ THC 75ng/ml Bulk Calibrator.... Carboy: 1L............... 12/1/93
Microgenics Corporation................ THC Conjugate.................. Vial: 25ml............... 12/1/93
Microgenics Corporation................ THC ED Bulk Reagent............ Carboy: 25L.............. 12/1/93
Microgenics Corporation................ THC Manufacturing Bulk Carboy or Beaker: 4L..... 4/20/94
Calibrators B, C, D, E, F, G,
H, I, J, K, L, Open.
Microgenics Corporation................ THC Manufacturing Calibrators Vial: 3.5 or 5.0ml....... 4/20/94
B, C, D, E, F, G, H, I, J, K,
L, Open.
Micromedic Systems..................... Micromedic Neonatal T4 125I Nalgene Bottle: 4 oz..... 6/25/87
Tracer Solution.
Micromedic Systems..................... Micromedic Neonatal T4 Elution Nalgene Bottle: 2 oz..... 6/25/87
Solution.
Micromedic Systems..................... Neonatal T4 125I Tracer Vial: 30ml............... 5/21/80
Solution.
Micromedic Systems..................... Neonatal T4 Buffer Solution.... Bottle: 8ounce........... 5/21/80
Micromedic Systems..................... T3 RIA 125I Tracer Solution.... Vial: 30ml............... 12/14/76
Micromedic Systems..................... T3 RIA Buffer Solution......... High Density Polyethylene 12/14/76
Bottle: 8 ounce.
Micromedic Systems..................... T3 Uptake 125I Tracer Solution. Vial: 30ml............... 12/14/76
Micromedic Systems..................... T3 Uptake Buffer Solution...... High Density Polyethylene 12/14/76
Bottle: 8 ounce.
Micromedic Systems..................... T4 RIA 125I Tracer Solution.... Vial: 30ml............... 12/14/76
Micromedic Systems..................... T4 RIA Buffer Solution......... High Density Polyethylene 12/14/76
Bottle: 8 ounce.
Miles Inc.............................. Immuno-1 Setpoint TDM Glass Bottles: 5ml; Kit: 1/3/91
Calibrators Kit No. T03-2864 5 Bottles.
Component No. T13-2864(02-06).
Miles Inc.............................. Technicon Immuno 1 TESTpoint Glass vial; 5ml; Kit: 6 3/16/92
Ligand Controls, Kit No. T03- vials.
3393-01; Level I T13-3394-01;
Level II T13-3395-01; Level
III T13-3396-01.
Miles Inc.............................. Technicon RA Systems Set Point. Vial: 5ml Kit: 5 vials... 7/20/90
Miles Laboratories, Inc................ SERALYZER ARIS Phenobarbital Kit: 2 vials; 1ml/vial... 4/29/93
Calibrator Kit, # 6453.
Miles Laboratories, Inc................ SERALYZER ARIS Phenobarbital Kit: 4 vials; 1ml/vial... 4/29/93
Calibrator and Control Kit, #
6455T.
Miles Laboratories, Inc................ SERALYZER ARIS Phenobarbital Kit: 2 vials; 1ml/vial... 4/29/93
Control Kit, # 6454T.
Miles Laboratories, Inc................ SERALYZER ARIS Phenytoin Bulk Bulk..................... 6/15/94
Reagent Paper.
Miles Laboratories, Inc................ Seralyzer ARIS Drug Assay Vial: 1ml................ 1/17/84
Control.
Miles Laboratories, Inc................ Seralyzer ARIS Drug Assay High Vial: 0.5ml.............. 1/17/84
Calibrator.
Miles Laboratories, Inc................ Seralyzer ARIS Drug Assay Low Vial: 0.5ml.............. 1/17/84
Calibrator.
Miles Laboratories, Inc................ Seralyzer ARIS Phenytoin Bottle Containing 25 and 5/28/86
Reagent Strips. 50 Strips.
Miles Laboratories, Inc................ T-4 Buffer..................... Glass Screwtop Vial: \3/ 3/28/77
4\ ounce.
Monobind, Inc.......................... Monobind T3 Antibody Reagent... Test Tube w/Cap: 70ml.... 11/8/77
Monobind, Inc.......................... Monobind T3 Tracer Reagent..... Wheaton Glass Container: 11/8/77
55ml.
Monobind, Inc.......................... Monobind T4 Antibody Reagent... Test Tube w/Cap: 70ml.... 11/8/77
Monobind, Inc.......................... Monobind T4 Tracer Reagent..... Wheaton Glass Container 11/8/77
55ml.
Monobind, Inc.......................... Monobind TSH Antibody Reagent.. Test Tube w/Cap: 10.5ml.. 11/8/77
Monobind, Inc.......................... Monobind TSH Non-Specific Wheaton Glass: 1.05ml.... 11/8/77
Buffer.
Monobind, Inc.......................... Monobind TSH Precipitating Plastic Container w/Cap : 11/8/77
Reagent. 105ml.
Monobind, Inc.......................... Monobind TSH Tracer Reagent.... Wheaton Glass Container 11/8/77
10.5ml.
Monobind, Inc.......................... T3 Adsorbent Reagent........... Glass Bottle: 110ml, 50ml 5/15/78
Plastic Bottle: 260ml.
Monobind, Inc.......................... T3 Uptake Tracer Reagent....... Glass Bottle: 55ml, 30ml 5/15/78
Plastic Bottle: 125ml.
Monobind, Inc.......................... TSH Radioimmunoassay Test Kit: 100 Tests........... 11/8/77
System.
Monobind, Inc.......................... Thyroxine Radioimmunoassay Test Kit: 100 Tests........... 11/8/77
System.
Monobind, Inc.......................... Triiodothyronine Kit: 100 tests........... 11/8/77
Radioimmunoassay Test System.
Monoclonal Antibodies, Inc............. Test Kit for Cocaine Kit: 50 tests............ 10/17/86
Metabolites in Urine.
Monoclonal Antibodies, Inc............. Test Kit for Opiates in Urine.. Kit: 50 tests............ 10/17/86
Monoclonal Antibodies, Inc............. Test Kit for Kit: 50 tests............ 10/17/86
Tetrahydrocannabinol (THC) in
Urine.
NSI Technology Services Corp........... Alpha, alpha-dimethyl- Amber Ampoule: 2ml....... 3/02/89
phenethylamine.
Nuclear Diagnostics, Inc............... MAAT T3 Uptake Reagent......... Bottle: 105ml, 210ml; 11/16/90
Kit: 1 bottle 210ml.
Nuclear Diagnostics, Inc............... SPINSEP-TBG Reagent Catalog No. Polypropylene Bottle: 12/15/77
17100. 105ml.
Nuclear Diagnostics, Inc............... TETRIA P.E.G. Antiserum Catalog Polypropylene Bottle: 3/10/78
No. 16100A. 55ml.
Nuclear Diagnostics, Inc............... TETRIA P.E.G. Reagent Catalog Polypropylene Bottle: 7/8/77
No. 16100. 105ml.
Nuclear Diagnostics, Inc............... TETRIA P.E.G. Reagent Catalog Polypropylene Bottle: 3/10/78
No. 16100R. 55ml.
Nuclear Diagnostics, Inc............... TRIA-P.E.G. Antiserum Catalog Polypropylene Bottle: 3/10/78
No. 12100A. 55ml.
Nuclear Diagnostics, Inc............... TRIA-P.E.G. Reagent Catalog Polypropylene Bottle: 3/10/78
No.12100R. 55ml.
OMI International Corporation.......... Compound N Solution............ Steel Drum: 55 gallon.... 10/1/75
Organon Teknika Corp................... Barbital Buffered Saline with Plastic Bottle: 1L....... 1/5/90
Azide.
[[Page 13742]]
Organon Teknika Corp................... Modified Barbital Buffer....... Plastic Bottle: 1L....... 1/5/90
Organon Teknika Corp................... Owren's Veronal Buffer for Bottle: 37 ml............ 5/7/80
FIBRIQUIK.
Organon Teknika Corp................... Platelin....................... Vial: 7.3ml.............. 3/13/72
Organon Teknika Corp................... Simplastin..................... Vial: 4.7ml, 7.3ml, and 3/13/72
16.5ml.
Organon Teknika Corp................... Simplastin-A................... Vial: 7.3ml.............. 3/13/72
Organon Teknika Corp................... TRIS/Barbital Buffer........... Plastic Bottle: 1L....... 1/5/90
Ortho Diagnostic Systems, Inc.......... Activated ThromboFAX No.721000. Bottle: 3.2ml............ 9/21/71
Ortho Diagnostic Systems, Inc.......... ORTHO Owren's Buffer........... Kit: 6-20 ml vials....... 8/26/88
Ortho Diagnostic Systems, Inc.......... Ortho Activated PTT Reagent.... Glass Vial: 30 5/23/83
determination size, 100.
Ortho Diagnostic Systems, Inc.......... Ortho Plasma Coagulation Glass Vial: 5ml.......... 10/25/83
Control Level I.
Ortho Diagnostic Systems, Inc.......... Ortho Plasma Coagulation Glass Vial: 5ml.......... 10/25/83
Control Level II.
Ortho-McNeil Pharmaceutical............ Codeine-N-Oxide................ Bottle: 2ml.............. 10/11/95
PB Diagnostic Systems, Inc............. Estradiol Reagent.............. 6 Vials; 1ml/vial........ 10/28/93
PB Diagnostic Systems, Inc............. Estradiol Test Module.......... Plastic plate: 1.7''x 10/28/93
.7''x 3.5''.
PB Diagnostic Systems, Inc............. OPUS Estradiol Kit............. Kit: 50 Tests............ 10/28/93
PB Diagnostic Systems, Inc............. OPUS Phenobarbital Calibrators: Vial: 2.5ml Carton: 5 8/7/90
5, 10, 20, 40, 80g/ml. vials.
PB Diagnostic Systems, Inc............. OPUS Phenobarbital Test Modules Plastic Test Module, 8/7/90
Tray: 5 modules, Carton:
50 modules.
Pacific Hemostasis..................... Barbital Buffered Saline....... Vial: 100ml.............. 5/24/84
Pacific Hemostasis..................... Barbital Buffered Saline (Bulk) Carboy: 100L............. 10/5/94
Pacific Hemostasis..................... Barbital Buffered Saline with Vial: 90ml............... 5/24/84
Heparin.
Pacific Hemostasis..................... Barbital Buffered Saline with Carboy: 100L............. 10/5/94
Heparin (Bulk).
Pacific Hemostasis..................... Barbital Buffered with Heparin. Bulk in Process.......... 1/24/95
Pacific Hemostasis..................... Diluting Fluid................. Bulk in Process.......... 1/24/95
Pacific Hemostasis..................... Diluting Fluid................. Vial: 20ml............... 5/24/84
Pacific Hemostasis..................... Diluting Fluid (Bulk).......... Carboy: 100L............. 10/5/94
Pacific Hemostasis..................... Kontact........................ Bulk in Process.......... 1/24/95
Pacific Hemostasis..................... Kontact........................ Vial: 4ml, 10ml.......... 3/22/94
Pacific Hemostasis..................... Kontact (Bulk)................. Carboy: 200L............. 10/5/94
Pacific Hemostasis..................... Kontact Kit (10ml) Cat # 224- Kit: 10 Vials............ 3/22/94
006.
Pacific Hemostasis..................... Kontact Kit (4ml) Cat # 257-324 Kit: 10 Vials............ 3/22/94
Pantex................................. Immuno T3 Kit: (1)L- Kit Containing Bottles: 1/4/79
Triiodothyronine 125I (2)1st (1)10ml (2)10ml (3)50ml
Antiserum (3)2nd Antiserum (4)5ml (5)3ml.
(4)Diluent (5)Standards.
Pantex................................. Immuno-Digoxin Kit Containing: Kit Containing Bottles: 1/4/79
(1)Digoxin 125I (2)1st (1)10ml (2)20ml (3)50ml
Antiserum (3) 2nd Antiserum (4)5ml.
(4)Diluent.
Pantex................................. Immuno-Estriol 125I Kit: 2nd Bottle: 50ml............. 1/4/79
Antiserum.
Pantex................................. Immuno-Estriol Kit: (1)Estriol Kit Containing Bottles: 1/4/79
3H RIA (2)Estriol 3H Recovery (1)10ml (2)5ml (3)10ml
(3)1st Antiserum (4)2nd (4)20ml (5)100ml (6)50ml
Antiserum (5)Diluent (6)Buffer (7)5ml.
(7)Standards.
Pantex................................. Immuno-T4 Kit: (1)Thyroxine Kit Containing Bottles: 1/4/79
125I (2)1st Antiserum (3)2nd (1)100ml, 1000ml (2)50ml
Antiserum (4)Diluent (3)100ml (4)5ml (5)3ml.
(5)Standards.
Pantex................................. Immuno-Testosterone 125I Kit: Kit Containing Bottles: 1/4/79
(1)Testosterone 125I (2)1st (1)10ml (2)10ml (3)50ml
Antiserum (3)2nd Antiserum (4)100ml (5)5ml.
(4)Diluent (5)Standards.
Pantex................................. T3 Uptake Kit: L- Bottle: 100ml, 1000ml.... 1/4/79
Triiodothyronine 125I.
Perkin-Elmer Corporation............... Amphetamine Polarization Kit: 100 tests........... 12/18/86
Fluoroimmunoassay Kit.
Perkin-Elmer Corporation............... Barbiturates Polarization Kit: 100 tests........... 12/18/86
Fluoroimmunoassay Kit.
Perkin-Elmer Corporation............... Cocaine Polarization Kit: 100 tests........... 12/18/86
Fluoroimmunoassay Kit.
Perkin-Elmer Corporation............... Methadone Polarization Kit: 100 tests........... 12/18/86
Fluoroimmunoassay Kit.
Perkin-Elmer Corporation............... Morphine Polarization Kit: 100 tests........... 12/18/86
Fluoroimmunoassay Kit.
Perkin-Elmer Corporation............... Opiates Polarization Kit: 100 tests........... 12/18/86
Fluoroimmunoassay Kit.
Princeton Separations, Inc............. Panagel 16..................... Pouch: 1 slide........... 6/29/87
Princeton Separations, Inc............. Panagel 8...................... Pouch: 1 slide........... 6/29/87
Princeton Separations, Inc............. Panagel Electrobuffer.......... Fiber Drum: 25 kg........ 6/29/87
Princeton Separations, Inc............. Panagel Electrode Buffer....... Pouch: 18.3 gms.......... 6/29/87
Princeton Separations, Inc............. Panagel LD Isoenzyme Electrode Pouch: 11.85 gms......... 6/29/87
Buffer.
Princeton Separations, Inc............. Panagel LD Isoenzyme Slide..... Pouch: 1 slide........... 6/29/87
Quality Assurance Service Corp......... Q.A. Toxicology Blood Controls. Vial: 6ml, 12ml Plastic 1/23/90
Bottle: 60ml, 90ml,
250ml, 625ml Glass
Bottle: 6ml-100ml.
Quality Assurance Service Corp......... Q.A. Toxicology Serum Controls. Vial: 6ml, 12ml Plastic 1/23/90
Bottle: 60ml, 90ml,
250ml, 625ml Glass
Bottle: 6ml-100ml.
Quality Assurance Service Corp......... Q.A. Toxicology Urine Controls. Vial: 6ml, 12ml Plastic 1/23/90
Bottle: 60ml, 90ml,
250ml, 625ml Glass
Bottle: 6ml-100ml.
Quantimetrix........................... Quantimetrix Anticonvulsant Polyethylene Dropper 4/16/86
Serum Drug Control, Liquid Bottle: 15ml.
Level II Control No. 17-0303-2.
[[Page 13743]]
Quantimetrix........................... Quantimetrix Antidepressant Polyethylene Dropper 4/16/86
Serum Drug Control, Liquid Bottle: 15ml.
Level I Control No. 17-0303-1.
Quantimetrix........................... Quantimetrix Antidepressant Polyethylene Dropper 4/16/86
Serum Drug Control, Liquid Bottle: 15ml.
Level I Control No. 17-0305-1.
Quantimetrix........................... Quantimetrix Antidepressant Polyethylene Dropper 4/16/86
Serum Drug Control, Liquid Bottle: 15ml.
Level II Control No. 17-0305-2.
Quantimetrix........................... Urine Drugs of Abuse Control Dropper Bottle: 15 ml.... 2/23/87
Catalog No. 12-2411-1.
Quin-Tec, Inc.......................... Additive SB-1.................. Drum: 55 gals............ 5/11/87
Quin-Tec, Inc.......................... Quin-Tec Brightener 402........ Plastic Pail: 5 gallons, 10/13/81
Plastic Drum: 55 gallons.
Quin-Tec, Inc.......................... Quin-Tec Brightener 404........ Plastic Pail: 5 gallons, 10/13/81
Plastic Drum: 55 gallons.
Radian Corporation..................... (+/-) 11-Nor-9-Carboxy-delta 9- Vial: 2ml................ 6/12/91
THC-D9 0.01mg/ml, 0.1mg/ml,
1.0mg/ml.
Radian Corporation..................... (-)-11-Nor-9-carboxy-delta-9 Vial: 2ml................ 1/25/95
THC; 1.0mg/ml, 100g/
ml.
Radian Corporation..................... 17alpha-Methyl-5alpha- Ampule: 2ml.............. 7/07/95
androstane-3alpha, 17beta-
diol, 100g/ml, 1mg/ml.
Radian Corporation..................... 17alpha-Methyl-5beta-androstane- Ampule: 2ml.............. 7/07/95
3alpha, 17beta-diol, 100g/ml, 1mg/ml.
Radian Corporation..................... 2-S Methcathinone-D5 HCl Ampule: 2ml.............. 12/22/93
100g/ml, 1.0mg/ml.
Radian Corporation..................... 2R-Cathinone HCL 100g/ Ampule: 2ml.............. 12/22/93
ml, 1.0mg/ml.
Radian Corporation..................... 2R-Cathinone-D5 HCL 100g/ml, 1.0mg/ml.
Radian Corporation..................... 2R-Methcathinone HCL 100g/ml, 1.0mg/ml.
Radian Corporation..................... 2R-Methcathinone-D5 HCL Ampule: 2ml.............. 12/22/93
100g/ml, 1.0mg/ml.
Radian Corporation..................... 2S-Cathinone HCL 100g/ Ampule: 2ml.............. 12/22/93
ml, 1.0mg/ml.
Radian Corporation..................... 2S-Cathinone-D5 HCL 100g/ml, 1.0mg/ml.
Radian Corporation..................... 2S-Methcathinone HCL 100g/ml, 1.0mg/ml.
Radian Corporation..................... 3'-Hydroxystanozolol-D3; Ampule: 2ml.............. 6/06/94
100g/ml, 1.0mg/ml.
Radian Corporation..................... 3'-Hydroxystanozolol; 100g/ml, 1.0mg/ml.
Radian Corporation..................... 3, 4-Methylenedioxy-amphetamine- 2 ml amber ampule........ 10/19/88
D5 0.1 mg/ml.
Radian Corporation..................... 3, 4-Methylenedioxy-amphetamine- 2 ml amber ampule........ 10/19/88
D5 1.0 mg/ml.
Radian Corporation..................... 3, 4-Methylenedioxy- 2 ml amber ampule........ 10/19/88
methamphetamine-D5 0.1 mg/ml.
Radian Corporation..................... 3, 4-Methylenedioxy- 2 ml amber ampule........ 10/19/88
methamphetamine-D5 1.0 mg/ml.
Radian Corporation..................... 3, 4-Methylenedioxyamphetamine Amber glass ampule: 2ml.. 1/12/89
0.1, 1.0 mg/ml.
Radian Corporation..................... 3, 4- Amber glass ampule: 2ml.. 1/12/89
Methylenedioxymethamphetamine
0.1, 1.0 mg/ml.
Radian Corporation..................... 4-Methylaminorex 100g/ Ampule: 2ml.............. 1/29/93
ml, 1.0mg/ml.
Radian Corporation..................... 4-Methylaminorex-D5 100g/ml, 1.0mg/ml.
Radian Corporation..................... 6-Acetylmorphine............... Ampule: 2 ml............. 12/4/87
Radian Corporation..................... 6-Acetylmorphine-D3............ Ampule: 2 ml............. 12/4/87
Radian Corporation..................... 6-Acetylmorphine-D6; 100g/ml, 1.0mg/ml.
Radian Corporation..................... 6beta-Hydroxyfluoxymesterone, Ampule: 2ml.............. 7/7/95
100g/ml, 1mg/ml.
Radian Corporation..................... 6beta-Hydroxymethandienone, Ampule: 2ml.............. 7/7/95
100g/ml, 1mg/ml.
Radian Corporation..................... 9-Carboxy-11-nor-Delta-9- Ampule: 2 ml............. 12/4/87
Tetrahydrocannabinol-D3.
Radian Corporation..................... 9-Carboxy-11-nor-delta-9-THC Amber glass ampule: 2ml.. 1/12/89
0.1, 1.0 mg/ml.
Radian Corporation..................... Alpha-Hydroxyalprazolam 0.1 mg/ Vial: 2ml................ 6/12/91
ml, 1.0 mg/ml.
Radian Corporation..................... Alpha-Hydroxyalprazolam-D5 0.1 Vial: 2ml................ 6/12/91
mg/ml, 1.0 mg/ml.
Radian Corporation..................... Alpha-Hydroxytriazolam 0.1mg/ Ampule: 2ml.............. 4/27/92
ml, 1.0mg/ml.
Radian Corporation..................... Alpha-Hydroxytriazolam-D4, Ampule: 2ml.............. 4/27/92
0.1mg/ml, 1.0mg/ml.
Radian Corporation..................... Alprazolam 0.1mg/ml, 1.0mg/ml.. Ampule: 2ml.............. 11/5/90
Radian Corporation..................... Alprazolam-D5 0.1mg/ml, 1.0mg/ Ampule: 2ml.............. 11/5/90
ml.
Radian Corporation..................... Amobarbital 0.1mg/ml, 1.0mg/ml. Ampule: 2ml.............. 4/27/92
Radian Corporation..................... Amphetamine-D3 0.1 mg/ml....... Ampule: 2 ml............. 12/4/87
Radian Corporation..................... Anhydroecgonine 100g/ Ampule: 2ml.............. 1/29/93
ml, 1.0mg/ml.
Radian Corporation..................... Anhydroecgonine HCL, 100g/ml, 1mg/ml.
Radian Corporation..................... Anhydroecgonine methyl ester, Ampule: 2ml.............. 7/7/95
100g/ml, 1mg/ml.
Radian Corporation..................... Anhydroecgonine-D3 100g/ml, 1.0mg/ml.
Radian Corporation..................... Benzoylecgonine................ Ampule: 2ml.............. 12/4/87
Radian Corporation..................... Benzoylecgonine isopropyl Ampule: 2ml.............. 7/7/95
ester, 100g/ml, 1mg/
ml.
Radian Corporation..................... Benzoylecgonine-D3............. Ampule: 2ml.............. 12/4/87
Radian Corporation..................... Bromazepam; 1.0mg/ml, 100g/ml.
Radian Corporation..................... Buprenorphine 0.1.............. Ampule: 2ml.............. 2/1/91
Radian Corporation..................... Buprenorphine-D4 0.1 mg/ml..... Ampule: 2ml.............. 2/1/91
Radian Corporation..................... Chlordiazepoxide 100g/ Ampule: 2ml.............. 12/22/93
ml, 1.0mg/ml.
Radian Corporation..................... Clobazam, 100g/ml, 1mg/ Ampule: 2ml.............. 7/7/95
ml.
Radian Corporation..................... Clonazepam-D4; 1.0mg/ml, Vial: 2ml................ 1/25/95
100g/ml.
Radian Corporation..................... Cocaethylene 0.1mg/ml, 1.0mg/ml Ampule: 2ml.............. 12/13/90
Radian Corporation..................... Cocaethylene-D3................ Ampule: 2ml.............. 12/13/90
Radian Corporation..................... Cocaethylene-D8 100g/ Ampule: 2ml.............. 12/22/93
ml, 1.0mg/ml.
Radian Corporation..................... Cocaine 0.1, 1.0 mg/ml......... Amber glass ampule: 2ml.. 1/12/89
Radian Corporation..................... Cocaine-D3..................... Ampule: 2 ml............. 12/4/87
Radian Corporation..................... Codeine........................ Ampule: 2 ml............. 3/9/88
Radian Corporation..................... Codeine-D3..................... Ampule: 2 ml............. 12/4/87
[[Page 13744]]
Radian Corporation..................... D-Amphetamine 0.1, 1.0 mg/ml... Amber glass ampule: 2ml.. 1/12/89
Radian Corporation..................... D-Methamphetamine 0.1 mg/ml, Vial: 2ml................ 6/12/91
1.0 mg/ml.
Radian Corporation..................... D-Propoxyphene 0.1, 1.0 mg/ml.. Amber glass ampule: 2ml.. 4/27/92
Radian Corporation..................... D-Propoxyphene 0.1mg/ml, 1.0mg/ Ampule: 2ml.............. 4/27/92
ml.
Radian Corporation..................... DL-3, 4-MDEA 100g/ml, Ampule: 2ml.............. 12/22/93
1.0mg/ml.
Radian Corporation..................... DL-3, 4-MDEA-D5 100g/ Ampule: 2ml.............. 12/22/93
ml, 1.0mg/ml.
Radian Corporation..................... DL-Amphetamine 0.1, 1.0 mg/ml.. Ampule: 2ml.............. 12/4/87
Radian Corporation..................... DL-Amphetamine-D11, 0.1mg/ml, Ampule: 2ml.............. 4/27/92
1.0mg/ml.
Radian Corporation..................... DL-Amphetamine-D3 0.1, 1.0 mg/ Ampule: 2ml.............. 12/4/87
ml.
Radian Corporation..................... DL-Amphetamine-D5 (SC) 0.1, 1.0 Ampule: 2ml.............. 12/4/87
mg/ml.
Radian Corporation..................... DL-Amphetamine-D5 0.1, 1.0 mg/ Ampule: 2 ml............. 12/4/87
ml.
Radian Corporation..................... DL-Amphetamine-D5 0.1, 1.0 mg/ Ampule: 2ml.............. 12/4/87
ml.
Radian Corporation..................... DL-Amphetamine-D8, 0.1mg/ml, Ampule: 2ml.............. 4/27/92
1.0mg/ml.
Radian Corporation..................... DL-MDEA-D6; 1.0mg/ml, 100g/ml.
Radian Corporation..................... DL-Methamphetamine 0.1, 1.0 mg/ Amber glass ampule: 2ml.. 1/12/89
ml.
Radian Corporation..................... DL-Methamphetamine-D11 0.1mg/ Ampule: 2ml.............. 6/16/93
ml, 1.0mg/ml.
Radian Corporation..................... DL-Methamphetamine-D5 0.1, 1.0 Ampule: 2 ml............. 12/4/87
mg/ml.
Radian Corporation..................... DL-Methamphetamine-D8 (Phenyl- Ampule: 2ml.............. 4/6/93
D5 & N-Methyl-D3) 100g/ml, 1.0mg/ml.
Radian Corporation..................... DL-Methamphetamine-D8 0.1 mg/ml Ampule: 2ml.............. 12/4/87
Radian Corporation..................... DL-Methamphetamine-D8, 0.1mg/ Ampule: 2ml.............. 4/27/92
ml, 1.0mg/ml.
Radian Corporation..................... DL-Propoxyphene-D5 0.1, 1.0 mg/ 2 ml amber ampule........ 10/19/88
ml.
Radian Corporation..................... Delta-9-Tetrahydrocannabinol Amber glass ampule: 2ml.. 1/12/89
0.1, 1.0 mg/ml.
Radian Corporation..................... Delta-9-Tetrahydrocannabinol-D3 Ampule: 2 ml............. 12/4/87
Radian Corporation..................... Diazepam 0.1, 1.0 mg/ml........ Amber glass ampule: 2ml.. 1/12/89
Radian Corporation..................... Diazepam-D5 0.1 mg/ml.......... 2 ml amber ampule........ 10/19/88
Radian Corporation..................... Diazepam-D5 1.0 mg/ml.......... 2 ml amber ampule........ 10/19/88
Radian Corporation..................... Ecgonine 0.1 mg/ml, 1.0 mg/ml.. Vial: 2ml................ 6/12/91
Radian Corporation..................... Ecgonine Methyl Ester 0.1, 1.0 Amber glass ampule: 2ml.. 1/12/89
mg/ml.
Radian Corporation..................... Ecgonine Methyl Ester-D3 0.1 mg/ 2 ml amber ampule........ 10/19/88
ml.
Radian Corporation..................... Ecgonine Methyl Ester-D3 1.0 mg/ 2 ml amber ampule........ 10/19/88
ml.
Radian Corporation..................... Ecgonine ethyl ester, 100ug/ml, Ampule: 2ml.............. 7/7/95
1mg/ml.
Radian Corporation..................... Ecgonine-D3 0.1 mg/ml, 1.0 mg/ Vial: 2ml................ 6/12/91
ml.
Radian Corporation..................... Estazolam; 1.0mg/ml, 100ug/ml.. Vial: 2ml................ 1/25/95
Radian Corporation..................... Fentanyl....................... Ampule: 2ml.............. 1/2/91
Radian Corporation..................... Fentanyl-D5.................... Ampule: 2ml.............. 1/2/91
Radian Corporation..................... Flunitrazepam; 1.0mg/ml, 100ug/ Vial: 2ml................ 1/25/95
ml.
Radian Corporation..................... Fluoxymesterone, 100ug/ml, 1mg/ Ampule: 2ml.............. 7/7/95
ml.
Radian Corporation..................... Flurazepam 0.1mg/ml, 1.0mg/ml.. Ampule: 2ml.............. 4/27/92
Radian Corporation..................... Heroin-D3; 1.0mg/ml, 100ug/ml.. Vial: 2ml................ 1/25/95
Radian Corporation..................... Heroin-D6; 1.0mg/ml, 100ug/ml.. Vial: 2ml................ 1/25/95
Radian Corporation..................... Heroin-D9; 1.0mg/ml, 100ug/ml.. Vial: 2ml................ 1/25/95
Radian Corporation..................... Heroin; 1.0mg/ml, 100ug/ml..... Ampule: 2ml.............. 8/23/94
Radian Corporation..................... Hexobarbital; 1.0mg/ml, 100ug/ Ampule: 2ml.............. 8/23/94
ml.
Radian Corporation..................... Hydrocodone-D3 0.1 mg/ml....... 2 ml amber ampule........ 10/19/88
Radian Corporation..................... Hydrocodone-D3 1.0 mg/ml....... 2 ml amber ampule........ 10/19/88
Radian Corporation..................... Hydrocodone 0.1, 1.0 mg/ml..... Amber glass ampule: 2ml.. 1/12/89
Radian Corporation..................... Hydromorphone-D3 0.1 mg/ml..... 2 ml amber ampule........ 10/19/88
Radian Corporation..................... Hydromorphone-D3 1.0 mg/ml..... 2 ml amber ampule........ 10/19/88
Radian Corporation..................... Hydromorphone 0.1, 1.0 mg/ml... Amber glass ampule: 2ml.. 1/12/89
Radian Corporation..................... Ibogaine 100ug/ml, 1.0mg/ml.... Ampule: 2ml.............. 12/22/93
Radian Corporation..................... Ibogaine-D3 100ug/ml, 1.0mg/ml. Ampule: 2ml.............. 12/22/93
Radian Corporation..................... Lorazepam 0.1mg/ml, 1.0mg/ml... Ampule: 2ml.............. 4/27/92
Radian Corporation..................... Lorazepam glucuronide, 50ug/ml, Ampule: 2ml.............. 7/7/95
100ug/ml, 1mg/ml.
Radian Corporation..................... Lorazepam-D4, 0.1mg/ml, 1.0mg/ Ampule: 2ml.............. 4/27/92
ml.
Radian Corporation..................... Lormetazepam, 100ug/ml, 1mg/ml. Ampule: 2ml.............. 7/7/95
Radian Corporation..................... Meperidine 0.1mg/ml, 1.0mg/ml.. Ampule: 2ml.............. 4/27/92
Radian Corporation..................... Meperidine 0.1mg/ml, 1.0mg/ml.. Ampule: 2ml.............. 4/27/92
Radian Corporation..................... Meprobamate 0.1mg/ml, 1.0mg/ml. Ampule: 2ml.............. 4/27/92
Radian Corporation..................... Mescaline 100ug/ml, 1.0mg/ml... Ampule: 2ml.............. 1/29/93
Radian Corporation..................... Mescaline-D9 100ug/ml, 1.0mg/ml Ampule: 2ml.............. 1/29/93
Radian Corporation..................... Methadone-D5 0.1 mg/ml......... 2 ml amber ampule........ 10/19/88
Radian Corporation..................... Methadone-D5 1.0 mg/ml......... 2 ml amber ampule........ 10/19/88
Radian Corporation..................... Methadone 0.1, 1.0 mg/ml....... Amber glass ampule: 2ml.. 1/12/89
Radian Corporation..................... Methandienone, 100ug/ml, 1mg/ml Ampule: 2ml.............. 7/7/95
Radian Corporation..................... Methaqualone-D4 0.1 mg/ml...... 2 ml amber ampule........ 10/19/88
Radian Corporation..................... Methaqualone-D4 1.0 mg/ml...... 2 ml amber ampule........ 10
FR Doc. 96-7385 Exempt Chemical Preparations
/19/88
Radian Corporation..................... Methaqualone 0.1, 1.0 mg/ml.... Amber glass ampule: 2ml.. 1/12/89
Radian Corporation..................... Methcathinone 100ug/ml, 1.0mg/ Ampule: 2ml.............. 1/29/93
ml.
Radian Corporation..................... Methcathinone-D5 100ug/ml, Ampule: 2ml.............. 1/29/93
1.0mg/ml.
Radian Corporation..................... Methenolone, 100ug/ml, 1mg/ml.. Ampule: 2ml.............. 7/7/95
Radian Corporation..................... Method 8270 Supplemental Stock Vial: 2ml................ 1/25/95
Standard--2000ug/ml.
[[Page 13745]]
Radian Corporation..................... Methohexital 0.1mg/ml, 1.0mg/ml Ampule: 2ml.............. 4/27/92
Radian Corporation..................... Methohexital-D5; 1.0mg/ml, Ampule: 2ml.............. 8/23/94
100ug/ml.
Radian Corporation..................... Methylphenidate 0.1mg/ml, 1.0mg/ Ampule: 2ml.............. 4/27/92
ml.
Radian Corporation..................... Methylphenidate HCL, 100ug/ml, Ampule: 2ml.............. 7/7/95
1mg/ml.
Radian Corporation..................... Methyltestosterone; 1.0mg/ml, Vial: 2ml................ 1/25/95
100ug/ml.
Radian Corporation..................... Midazolam; 1.0mg/ml, 100ug/ml.. Vial: 2ml................ 1/25/95
Radian Corporation..................... Morphine....................... Ampule: 2 ml............. 3/9/88
Radian Corporation..................... Morphine-3-Beta-D-glucuronide Ampule: 2ml.............. 2/1/91
0.1, 1.0mg/ml.
Radian Corporation..................... Morphine-3-Beta-D-glucuronide- Ampule: 2ml.............. 2/1/91
D3 0.1, 1.0mg/ml.
Radian Corporation..................... Morphine-D3.................... Ampule: 2 ml............. 12/4/87
Radian Corporation..................... N-Ethylamphetamine; 1.0mg/ml, Vial: 2ml................ 1/25/95
100ug/ml.
Radian Corporation..................... Nitrazepam 0.1 mg/ml, 1.0 mg/ml Ampule: 2ml.............. 9/17/90
Radian Corporation..................... Nitrazepam-D5 0.1 mg/ml, 1.0 mg/ Ampule: 2ml.............. 9/17/90
ml.
Radian Corporation..................... Norbenzoylecgonine, 100ug/ml, Ampule: 2ml.............. 7/7/95
1mg/ml.
Radian Corporation..................... Norcocaethylene, 100ug/ml, 1mg/ Ampule: 2ml.............. 7/7/95
ml.
Radian Corporation..................... Norcocaine 0.1 mg/ml, 1.0 mg/ml Vial: 2ml................ 6/12/91
Radian Corporation..................... Norcocaine-D8 100ug/ml, 1.0mg/ Ampule: 2ml.............. 12/22/93
ml.
Radian Corporation..................... Nordiazepam-D5 0.1 mg/ml....... 2 ml amber ampule........ 10/19/88
Radian Corporation..................... Nordiazepam-D5 1.0 mg/ml....... 2 ml amber ampule........ 10/19/88
Radian Corporation..................... Nordiazepam 0.1, 1.0 mg/ml..... Amber glass ampule: 2ml.. 1/12/89
Radian Corporation..................... Norethandrolone, 100ug/ml, 1mg/ Ampule: 2ml.............. 7/7/95
ml.
Radian Corporation..................... Noroxycodone 0.1mg/ml, 1.0mg/ml Ampule: 2ml.............. 6/16/93
Radian Corporation..................... Noroxymorphone 100ug/ml, 1.0mg/ Ampule: 2ml.............. 6/16/93
ml.
Radian Corporation..................... Oxazepam-D5 0.1 mg/ml.......... 2 ml amber ampule........ 10/19/88
Radian Corporation..................... Oxazepam-D5 1.0 mg/ml.......... 2 ml amber ampule........ 10/19/88
Radian Corporation..................... Oxazepam-3-Beta-D-Glucuronide- Ampule: 2ml.............. 4/25/94
D5; 100ug/ml, 1.0mg/ml.
Radian Corporation..................... Oxazepam 0.1, 1.0 mg/ml........ Amber glass ampule: 2ml.. 1/12/89
Radian Corporation..................... Oxazepam-3-Beta-D-Glucuronide; Ampule: 2ml.............. 4/25/94
100ug/ml, 1.0mg/ml.
Radian Corporation..................... Oxycodone-D6 0.1mg/ml, 1.0mg/ml Ampule: 2ml.............. 6/16/93
Radian Corporation..................... Pentobarbital 0.1 mg/ml, 1.0 mg/ Ampule: 2ml.............. 9/24/90
ml.
Radian Corporation..................... Pentobarbital-D5 0.1 mg/ml, 1.0 Ampule: 2ml.............. 9/24/90
mg/ml.
Radian Corporation..................... Phencyclidine 0.1 mg/ml, 1.0 mg/ Amber glass ampule: 2ml.. 1/12/89
ml.
Radian Corporation..................... Phencyclidine-D5............... Ampule: 2 ml............. 12/4/87
Radian Corporation..................... Phenobarbital 0.1 mg/ml, 1.0 mg/ Amber glass ampule: 2ml.. 1/12/89
ml.
Radian Corporation..................... Phenobarbital-D5 0.1 mg/ml, 1.0 Ampule: 2 ml............. 12/4/87
mg/ml.
Radian Corporation..................... Phentermine-D3; 1.0mg/ml, 100ug/ Vial: 2ml................ 1/25/95
ml.
Radian Corporation..................... Phentermine; 1.0mg/ml, 100ug/ml Vial: 2ml................ 1/25/95
Radian Corporation..................... Prazepam 100ug/ml, 1.0mg/ml.... Ampule: 2ml.............. 1/29/93
Radian Corporation..................... Prazepam-D5 100ug/ml, 1.0mg/ml. Ampule: 2ml.............. 1/29/93
Radian Corporation..................... Quazepam; 1.0mg/ml, 100ug/ml... Vial: 2ml................ 1/25/95
Radian Corporation..................... Stanozolol-D3; 100ug/ml, 1.omg/ Ampule: 2ml.............. 6/6/94
ml.
Radian Corporation..................... Stanozolol; 100ug/ml, 1.omg/ml. Ampule: 2ml.............. 6/6/94
Radian Corporation..................... Temazepam 0.1 mg/ml, 1.0 mg/ml. Ampule: 2ml.............. 9/17/90
Radian Corporation..................... Temazepam-D5 0.1 mg/ml, 1.0 mg/ Ampule: 2ml.............. 9/17/90
ml.
Radian Corporation..................... Triazolam 0.1mg/ml, 1.0mg/ml... Ampule: 2ml.............. 4/27/92
Radian Corporation..................... Triazolam-D4 0.1mg/ml, 1.0mg/ml Ampule: 2ml.............. 4/27/92
Radian Corporation..................... alpha-Hydroxyalprazolam Ampule: 2ml.............. 7/7/95
glucuronide, 50ug/ml, 100ug/
ml, 1mg/ml.
Radian Corporation..................... alpha-Hydroxymidazolam, 100ug/ Ampule: 2ml.............. 7/7/95
ml, 1mg/ml.
Radian Corporation..................... alpha-Hydroxytriazolam Ampule: 2ml.............. 7/7/95
glucuronide, 50ug/ml, 100ug/
ml, 1mg/ml.
Radian Corporation..................... m-Hydroxybenzoylecgonine; 1.0mg/ Vial: 2ml................ 1/25/95
ml, 100ug/ml.
Research Diagnostics................... 3H Alfentanil.................. Vial: 0.5ml.............. 6/15/89
Research Diagnostics................... 3H Fentanyl.................... Vial: 0.5ml.............. 6/15/89
Research Diagnostics................... 3H Sufentanil.................. Vial: 0.5ml.............. 6/15/89
Research Diagnostics................... Alfentanil Radioimmunoassay.... Kit: 200 tests........... 6/15/89
Research Diagnostics................... Alfentanil Radioimmunoassay.... Kit: 200 tests........... 6/15/89
Research Diagnostics................... Fentanyl Analogs Reference Amber Ampule: 1 ml, 10/17/89
Standards for Drug Analysis. Plastic Shell: 5
ampules, Kit: 2 shells
(10 ampules).
Research Diagnostics................... Fentanyl Radioimmunoassay...... Kit: 200 tests........... 6/15/89
Research Diagnostics................... Sufentanil Radioimmunoassay.... Kit: 200 tests........... 6/15/89
Research Triangle Institute............ 11-Nor-9-carboxy-delta-9 THC Kit Containing: 18-21ml 10/26/81
Blood Standards Kit. Ampuls; 1-5ml Ampul.
Research Triangle Institute............ 11-Nor-9-carboxy-delta-9 THC Kit Containing: 18-21ml 10/26/81
Plasma Standards Kit. Ampuls; 1-5ml Ampul.
Research Triangle Institute............ Delta-9 THC Blood Standards Kit Kit Containing: 16-2ml 10/26/81
Ampuls; 1-5ml Ampul.
Research Triangle Institute............ Delta-9 THC Plasma Standards Kit Containing: 16-2ml 11/2/81
Kit. Ampuls; 1-5ml Ampul.
[[Page 13746]]
Research Triangle Institute............ Iodine Kit for Radioimmunoassay Kit Containing: 26-1ml 10/26/81
of 11-Nor-9-carboxy-delta-9 Ampuls; 2-20ml Vials; 2-
THC in Blood. 250ml Bottles.
Research Triangle Institute............ Iodine Kit for Radioimmunoassay Kit Containing: 24-1ml 10/26/81
of 11-Nor-9-carboxy-delta-9 Ampuls; 2-20ml Vials; 2-
THC in Plasma. 250ml Bottles.
Research Triangle Institute............ Iodine Kit for Radioimmunoassay Kit Containing: 20-1ml 10/20/80
of Delta-9 THC. Ampules; 2-20ml Vials; 2-
250ml Bottles.
Research Triangle Institute............ Iodine Kit for Radioimmunoassay Kit Containing: 22-1ml 7/10/81
of Delta-9 THC in Blood. Ampules; 2-20ml Vials; 2-
250ml Bottles.
Research Triangle Institute............ Tritium Kit for Kit Containing: 20-1ml 6/27/80
Radioimmunoassay of Delta-9 Ampules; 2- 20ml Vials;
THC. 2- 250ml Bottles.
Restek Corp............................ Alprazolam..................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Amobarbital.................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Amphetamine.................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Aprobarbital................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Barbital....................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Benzoylecgonine................ Ampule: 2ml.............. 1/8/93
Restek Corp............................ Benzphetamine.................. Ampule: 2ml.............. 1/8/93
Restek Corp............................ Bromazepam..................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Butabarbital................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Butalbital..................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Cannabidiol delta-8............ Ampule: 2ml.............. 1/8/93
Restek Corp............................ Cannabinol..................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Chlordiazepoxide............... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Clobazam....................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Clonazepam..................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Cocaethylene................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Cocaine........................ Ampule: 2ml.............. 1/8/93
Restek Corp............................ Codeine........................ Ampule: 2ml.............. 1/8/93
Restek Corp............................ Desmethyl Diazepam............. Ampule: 2ml.............. 1/8/93
Restek Corp............................ Diacetylmorphine............... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Diazepam....................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ EPA Exempt Mix #1.............. Ampule: 1.25ml........... 3/18/94
Restek Corp............................ EPA Exempt Mix #2.............. Ampule: 1.25ml........... 3/18/94
Restek Corp............................ EPA Exempt Mix #3.............. Ampule: 1.25ml........... 3/18/94
Restek Corp............................ Ecgonine....................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Ecgonine methyl ester.......... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Fenfluramine................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Fentanyl....................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Flunitrazepam.................. Ampule: 2ml.............. 1/8/93
Restek Corp............................ Flurazepam..................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Glutethimide................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Hexobarbital................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Hydrocodone.................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Levorphanol.................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Lorazepam...................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Medazepam...................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Meperidine..................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Mephobarbital.................. Ampule: 2ml.............. 1/8/93
Restek Corp............................ Meprobamate.................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Methadone...................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Methamphetamine................ Ampule: 2ml.............. 1/8/93
Restek Corp............................ Methohexital................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Methyprylon.................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Morphine....................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Nitrazepam..................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Oxazepam....................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Oxycodone...................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Pentazocine.................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Pentobarbital.................. Ampule: 2ml.............. 1/8/93
Restek Corp............................ Phencyclidine.................. Ampule: 2ml.............. 1/8/93
Restek Corp............................ Phendimetrazine................ Ampule: 2ml.............. 1/8/93
Restek Corp............................ Phenmetrazine.................. Ampule: 2ml.............. 1/8/93
Restek Corp............................ Phenobarbital.................. Ampule: 2ml.............. 1/8/93
Restek Corp............................ Phentermine.................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Prazepam....................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Propoxyphene................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Secobarbital................... Ampule: 2ml.............. 1/8/93
[[Page 13747]]
Restek Corp............................ Talbutal....................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Temazepam...................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Tetrahydrocannabinol 11-nor Ampule: 2ml.............. 1/8/93
delta-9-THC-carboxylic acid.
Restek Corp............................ Tetrahydrocannabinol delta-9... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Thebaine....................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Thiamylal...................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Thiopental..................... Ampule: 2ml.............. 1/8/93
Restek Corp............................ Triazolam...................... Ampule: 2ml.............. 1/8/93
Roche Diagnostic Systems, Inc.......... Abuscreen Calibration Standard Kit: 2 Vials............. 10/12/87
for Amphetamine.
Roche Diagnostic Systems, Inc.......... Abuscreen Calibration Standard Kit: 2 Vials............. 10/12/87
for Barbiturate.
Roche Diagnostic Systems, Inc.......... Abuscreen Calibration Standard Kit: 2 Vials............. 10/12/87
for Cannabinoids.
Roche Diagnostic Systems, Inc.......... Abuscreen Calibration Standard Kit: 2 Vials............. 10/12/87
for Cocaine Metabolite.
Roche Diagnostic Systems, Inc.......... Abuscreen Calibration Standard Kit: 2 Vials............. 10/12/87
for LSD (Lysergic Acid
Diethylamide).
Roche Diagnostic Systems, Inc.......... Abuscreen Calibration Standard Kit: 2 vials............. 5/27/92
for Methamphetamine (High
Specificity).
Roche Diagnostic Systems, Inc.......... Abuscreen Calibration Standard Kit: 2 Vials............. 10/12/87
for Morphine.
Roche Diagnostic Systems, Inc.......... Abuscreen Calibration Standard Kit: 2 Vials............. 10/12/87
for Phencyclidine (PCP).
Roche Diagnostic Systems, Inc.......... Abuscreen ONLINE Bottle: 4.5L............. 3/31/94
Benzoylecgonine Microparticle
Reagent.
Roche Diagnostic Systems, Inc.......... Abuscreen ONLINE Calibration Kit: 8 vials............. 5/18/92
Pack.
Roche Diagnostic Systems, Inc.......... Abuscreen ONLINE Calibrator Pack: 6 vials............ 5/18/92
Level 3.
Roche Diagnostic Systems, Inc.......... Abuscreen ONLINE Cannabinoids Bottle: 4.5L............. 3/31/94
Microparticle Reagent.
Roche Diagnostic Systems, Inc.......... Abuscreen ONLINE Opiates Bottle: 4.5L............. 3/31/94
Microparticle Reagent.
Roche Diagnostic Systems, Inc.......... Abuscreen ONLINE Positive Pack: 6 vials............ 5/18/92
Control.
Roche Diagnostic Systems, Inc.......... Abuscreen ONLINE THC Positive Kit: 6 vials; 4ml/vial... 3/22/93
Control.
Roche Diagnostic Systems, Inc.......... Abuscreen ONLINE for Cocaine Kit: 100, 1000, 8000 3/19/91
Metabolite. Tests.
Roche Diagnostic Systems, Inc.......... Abuscreen ONLINE for Opiates... Kit: 100, 1000, 8000 3/19/91
Tests.
Roche Diagnostic Systems, Inc.......... Abuscreen ONLINE for THC....... Vial: 100, 1000, 8000 3/19/91
Tests.
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK Amphetamine... Kit: 50 tests, 100 tests. 3/14/88
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK Amphetamine Vial: 4 ml............... 3/14/88
Positive Control.
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK Barbiturate... Kit: 50 tests, 100 tests. 3/14/88
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK Barbiturates Vial: 4 ml............... 3/14/88
Positive Control.
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK Kit: 50 Tests, 100 Tests. 5/3/91
Benzodiazepines.
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK Cocaine Kit: 50 tests, 100 tests. 3/14/88
Metabolite.
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK Cocaine Vial: 4 ml............... 3/14/88
Metabolite Positive Control.
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK Methadone..... Kits: 50, 100 Tests...... 9/8/93
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK Morphine...... Kits: 50 tests, 100 tests 3/14/88
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK Morphine Vial: 4 ml............... 3/14/88
Positive Control.
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK Multianalyte Kit: 1 Vial, 8ml......... 9/18/95
Positive Control.
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK Phencyclidine Kit: 50 tests, 100 tests. 11/22/89
(PCP).
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK Phencyclidine Vial: 4 ml............... 11/22/89
(PCP) Positive Control.
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK THC (100ng/ml) Kit: 50 tests, 100 tests. 3/14/88
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK THC (50ng/ml). Kit: 50 Tests, 100 Tests. 5/3/91
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK THC Positive Vial: 4 ML............... 3/14/88
Control.
Roche Diagnostic Systems, Inc.......... Abuscreen ONTRAK for Vial: 4ml................ 3/22/93
Benzodiazepines Positive
Control.
Roche Diagnostic Systems, Inc.......... Abuscreen Radioimmunoassay for Kit: 100 tests, 2500 9/13/85
Amphetamine High Specificity. tests.
Roche Diagnostic Systems, Inc.......... Abuscreen Radioimmunoassay for Kit: 100 tests, 2500 2/15/83
Barbiturates. tests.
Roche Diagnostic Systems, Inc.......... Abuscreen Radioimmunoassay for Kit: 100 tests, 2500 3/6/87
Benzodiazepines. tests.
Roche Diagnostic Systems, Inc.......... Abuscreen Radioimmunoassay for Kit: 100 Tests 2, 500 8/14/81
Cannabinoids. Tests.
Roche Diagnostic Systems, Inc.......... Abuscreen Radioimmunoassay for Kit: 100 Tests, 2500 2/15/83
Cocaine Metabolite. Tests.
Roche Diagnostic Systems, Inc.......... Abuscreen Radioimmunoassay for Kit: 100 tests, 2500 1/28/86
LSD (Lysergic Acid tests.
Diethylamide).
Roche Diagnostic Systems, Inc.......... Abuscreen Radioimmunoassay for Kit: 100 tests, 2500 3/1/89
Methamphetamine High tests.
Specificity.
Roche Diagnostic Systems, Inc.......... Abuscreen Radioimmunoassay for Kit: 100 tests, 2500 2/15/83
Methaqualone. tests.
Roche Diagnostic Systems, Inc.......... Abuscreen Radioimmunoassay for Kit: 100 tests, 2500 2/15/83
Morphine. tests.
Roche Diagnostic Systems, Inc.......... Abuscreen Radioimmunoassay for Kit: 100 tests, 2500 2/15/83
Phencyclidine (PCP). tests.
Roche Diagnostic Systems, Inc.......... Abuscreen Reference Controls Kit: 3 Vials, 100ml each. 10/12/87
and Calibrator for Amphetamine.
Roche Diagnostic Systems, Inc.......... Abuscreen Reference Controls Kit: 3 Vials, 100ml each. 10/12/87
and Calibrator for Barbiturate.
Roche Diagnostic Systems, Inc.......... Abuscreen Reference Controls Kit: 3 Vials, 100ml each. 10/12/87
and Calibrator for
Cannabinoids.
Roche Diagnostic Systems, Inc.......... Abuscreen Reference Controls Kit: 3 Vials, 100ml each. 10/12/87
and Calibrator for Cocaine
Metabolite.
Roche Diagnostic Systems, Inc.......... Abuscreen Reference Controls Kit: 3 Vials, 100ml each. 10/12/87
and Calibrator for LSD
(Lysergic Acid Diethylamide).
Roche Diagnostic Systems, Inc.......... Abuscreen Reference Controls Kit: 3 vials, 100ml each. 5/27/92
and Calibrator for
Methamphetamine (High
Specificity).
Roche Diagnostic Systems, Inc.......... Abuscreen Reference Controls Kit: 3 Vials, 100ml each. 10/12/87
and Calibrator for Morphine.
Roche Diagnostic Systems, Inc.......... Abuscreen Reference Controls Kit: 3 Vials, 100ml each. 10/12/87
and Calibrator for
Phencyclidine (PCP).
[[Page 13748]]
Roche Diagnostic Systems, Inc.......... Abuscreenm ONTRAK Methadone Vial: 4ml................ 9/08/93
Positive Reference Control.
Roche Diagnostic Systems, Inc.......... CAL PACK Abuscreen ONLINE THC Kit: 4 vials............. 9/11/91
Calibration Pack.
Roche Diagnostic Systems, Inc.......... COBAS FP Phenobarbital Kit: 6 Vials............. 11/13/84
Calibrators.
Roche Diagnostic Systems, Inc.......... COBAS FP Reagents for Kit: 100 tests........... 11/13/84
Phenobarbital.
Roche Diagnostic Systems, Inc.......... COBAS FP TDM Controls.......... Kit: 6 Vials............. 11/13/84
Roche Diagnostic Systems, Inc.......... COBAS INTEGRA Cassette for Kit: 3 Vials............. 9/27/95
Cannabinoids.
Roche Diagnostic Systems, Inc.......... COBAS INTEGRA Cassette for Kit: 3 Vials............. 9/27/95
Cocaine Metabolite.
Roche Diagnostic Systems, Inc.......... COBAS INTEGRA Cassette for Kit: 3 Vials............. 9/27/95
Opiates.
Roche Diagnostic Systems, Inc.......... Immunizing Preparation No. 1, Vial: 10, 20, 50, or 1/25/83
2, 3, 4, 5, 6, 7, or 8. 100ml.
Roche Diagnostic Systems, Inc.......... Immunizing Preparation No. 9... Vial: 10ml, 20ml, 50ml, 7/24/84
or 100ml.
Roche Diagnostic Systems, Inc.......... Immunizing Preparation No. 9A.. Vial: 10ml, 20ml, 50ml, 7/24/84
or 100ml.
Roche Diagnostic Systems, Inc.......... Immunizing Preparation No.10... Vial: 10ml, 20ml, 50ml, 4/2/86
or 100ml.
Roche Diagnostic Systems, Inc.......... Immunizing Preparation No.10A.. Vial: 10ml, 20ml, 50ml, 4/2/86
or 100ml.
Roche Diagnostic Systems, Inc.......... Immunizing Preparations No. 1A, Vial: 10ml, 20ml, 50ml, 7/12/83
2A, 3A, 4A, 5A, 6A, 7A, or 8A. or 100ml.
Roche Diagnostic Systems, Inc.......... OnTrak TesTcup Positive Control Box: 6 Vials............. 9/25/95
Rowley Biochemical Institute, Inc...... Aldehyde Fuchsin Solution...... Bottle: Pint, Quart, 2/2/84
Gallon.
Rowley Biochemical Institute, Inc...... Aldehyde Thionin Solution...... Bottle: Pint, Quart, 2/2/84
Gallon.
Rowley Biochemical Institute, Inc...... Mayer's Hematoxylin Solution... Bottle: Pint, Quart, 2/2/84
Gallon.
Schering Corp.......................... Hepaquik....................... Vial: 9 Dram and Plate... 7/16/72
Serex Inc.............................. Benzoylecgonine Positive Bottle: 1 ml............. 12/16/89
Control.
Serex Inc.............................. Benzoylecgonine Standards...... Bottle: 1 ml............. 12/16/89
Serex Inc.............................. CoMA EIA for Cocaine Metabolite Kit: 96 tests, 2 Bottles: 10/17/89
5 ml ea., Assay Plate:
96 wells.
Serex Inc.............................. Cocaine Metabolite Standards Kit: 3 bottles--100 12/16/89
and Controls Kit. Assays.
Serex, Inc............................. Automates CoMA Cocaine Kit: 3 Bottles; 50, 1000 7/22/92
Metabolite Assay. Tests.
Serex, Inc............................. Automates CoMA Cocaine Bottle: 12.5ml, 50ml..... 7/22/92
Metabolite Assay Reagent B.
Serex, Inc............................. Automates CoMA High Calibrator. Vial: 5ml................ 7/22/92
Serex, Inc............................. Automates CoMA Plus Cocaine Kit: 3 Bottles; 50, 1000 7/22/92
Metabolite Assay. Tests.
Serex. Inc............................. Automates CoMA Low Calibrator.. Vial: 5ml................ 7/22/92
Serex. Inc............................. Automates CoMA Plus Cocaine Bottle: 12, 5ml, 50ml.... 7/22/92
Metabolite Assay Reagent B.
Serono Diagnostics, Inc................ rT3 Barbital Buffer............ Glass Vial: 120ml........ 10/26/84
Serono Diagnostics, Inc................ rT3-125I....................... Glass Vial: 13ml......... 10/26/84
Serono Diagnostics, Inc................ rT3-Antiserum.................. Glass Vial: 13ml......... 10/26/84
Sherwood Medical Company............... Lancer Fibrinogen Kit...................... 4/17/75
Determination, Reagent Kit
Catalog No. 8889-007608.
Sigma Chemical Co...................... (+)Deoxyephedrine-d5 HCl #D- Ampule: 2ml.............. 8/28/90
5914.
Sigma Chemical Co...................... (+/-)-(2 Ampule: 1ml.............. 7/30/92
Methylamino)propiophenone
Hydrochloride.
Sigma Chemical Co...................... (+/-) 2, 5-Dimethoxy-4-bromo- Ampule: 2ml.............. 9/25/91
amphetamine Hydrobromide, D-
7633.
Sigma Chemical Co...................... (+/-) 2, 5-Dimethoxy-4-methyl- Ampule: 2ml.............. 9/25/91
amphetamine HCl, D-7883.
Sigma Chemical Co...................... (+/-) Deoxyephedrine HCl, D- Ampule: 2ml.............. 9/25/91
7508.
Sigma Chemical Co...................... (-) Deoxyephedrine, D-7258..... Ampule: 2ml.............. 9/25/91
Sigma Chemical Co...................... 1-Dehydrotestosterone, Product Ampule: 2ml.............. 1/30/92
#D5791.
Sigma Chemical Co...................... 1-Tetrahydrocannabinol, Product Vial: 1ml................ 5/11/81
No. T4764.
Sigma Chemical Co...................... 11-Hydroxy-delta 9 Ampule: 2ml.............. 11/6/91
Tetrahydrocannabinol Cat. No.
H3879.
Sigma Chemical Co...................... 11-nor-delta-9- Glass Ampule: 2 ml....... 6/29/89
Tetrahyrocannabinol, 9-
carboxylic .05 mg/ml acid, No.
N-5642.
Sigma Chemical Co...................... 11-nor-delta-9THC-9-Carboxylic Ampule: 2ml.............. 8/28/90
Acid #N-6893.
Sigma Chemical Co...................... 11Beta-Hydroxytestosterone, H- Vial: 2ml................ 2/04/94
4646.
Sigma Chemical Co...................... 17alpha-Methyltestosterone, Ampule: 2ml.............. 1/30/92
Product #M8783.
Sigma Chemical Co...................... 19-Nortesterone 17- Ampule: 1ml.............. 7/30/92
Phenylpropionate, N 2771.
Sigma Chemical Co...................... 19-Nortesterone 17-Propionate, Ampule: 1ml.............. 7/30/92
N 2896.
Sigma Chemical Co...................... 19-Nortestosterone 17- Ampule: 1ml.............. 7/30/92
Decanoate, N 3021.
Sigma Chemical Co...................... 19-Nortestosterone, Product Ampule: 2ml.............. 1/30/92
#N1269.
Sigma Chemical Co...................... 3,4 Glass Ampule: 2 ml....... 6/29/89
Methylenedioxymethamphetamine
1 mg/ml, No. M-5029.
Sigma Chemical Co...................... 3,4-Methylenedioxyamphetamine, Glass Ampule: 2ml........ 6/6/89
No. M-3272.
Sigma Chemical Co...................... 3-Methylfentanyl HCl, M-6255... Ampule: 2ml.............. 9/25/91
Sigma Chemical Co...................... 5,5-Diallylbarbituric Acid, Sealed Ampule: 1ml....... 6/30/77
Product No. D-6013.
Sigma Chemical Co...................... 5-Alpha-Androstan-17beta-ol-3- Ampule: 1ml.............. 7/30/92
one Benzoate, A 9768.
Sigma Chemical Co...................... 5-Androstene-3Beta, 17Beta- Ampule: 2ml.............. 1/30/92
Diol, Product #A0684.
Sigma Chemical Co...................... 6-Tetrahydrocannabinol, Product Vial: 1ml................ 5/11/81
No. T-4889.
Sigma Chemical Co...................... AST Reagent A, Stock No. 56-2.. Vial: 10ml............... 6/27/79
Sigma Chemical Co...................... Acid Hematoxylin Solution, No. Bulk: 1000L.............. 5/04/93
285-2.
Sigma Chemical Co...................... Acid Hematoxylin Solution, Bottle: 25ml, 100ml...... 8/6/73
No.285-2.
[[Page 13749]]
Sigma Chemical Co...................... Adenosine Phosphate Substrate, Bottle: 4 ounce.......... 7/25/83
Product No. 675-1.
Sigma Chemical Co...................... Allylcyclopentylbarbituric Acid Sealed Ampule: 1ml....... 4/10/85
(A-7787).
Sigma Chemical Co...................... Allylisobutylbarbituric Acid (A- Sealed Ampule: 1ml....... 4/10/85
1038).
Sigma Chemical Co...................... Alpha-Ethyltryptamine Acetate, Vial: 2ml................ 2/4/94
Product #E1392.
Sigma Chemical Co...................... Alphaprodine Hydrochloride (A- Ampule: 1ml.............. 8/27/84
1537).
Sigma Chemical Co...................... Alphenal (A-1163).............. Ampule: 1ml.............. 4/10/85
Sigma Chemical Co...................... Alprazolam .25 mg/ml, No. A- Glass Ampule: 2 ml....... 6/29/89
5052.
Sigma Chemical Co...................... Alprazolam-d5 #A-7055.......... Ampule: 2ml.............. 8/28/90
Sigma Chemical Co...................... Ammonia Reagent , Stock No. 170- Vial: 10ml............... 2/17/77
10.
Sigma Chemical Co...................... Ammonia Reagent Kit: Stock No. Kit: 10 Vials............ 2/17/77
170-10.
Sigma Chemical Co...................... Ammonia Reagent Stock No. 170- Vial: 30ml............... 12/13/77
10.
Sigma Chemical Co...................... Ammonia in Plasma Kit.......... Kit: 100 tests, 30 tests. 12/13/77
Sigma Chemical Co...................... Amobarbital , Product No. A- Sealed Ampule: 1ml....... 6/30/77
5142.
Sigma Chemical Co...................... Amobarbital Sodium Salt, Ampule: 1ml.............. 5/13/93
Product No. A-7441.
Sigma Chemical Co...................... Antibody Sensitized Sheep Vials: 2ml and 5X 2ml.... 4/2/86
Erythrocytes (EA7S).
Sigma Chemical Co...................... Aprobarbital, Product No. A- Sealed Ampule: 1ml....... 6/30/77
7023.
Sigma Chemical Co...................... Barbital Buffer, Product No. B- Polyethylene Vial: 30ml.. 5/11/77
6632.
Sigma Chemical Co...................... Barbital Buffer 5X Concentrate Bottle: 200ml............ 11/14/91
Electrophoresis Reagent Cat.
No. B-3506.
Sigma Chemical Co...................... Barbital Buffer with Albumin Vial: 20ml............... 7/11/80
Stock No. 880-3.
Sigma Chemical Co...................... Barbital, Product No. B-8632... Sealed Ampule: 1ml....... 6/30/77
Sigma Chemical Co...................... Benzoylecgonine 1 mg/ml, No. B- Glass Ampule: 2 ml....... 6/29/89
8900.
Sigma Chemical Co...................... Benzoylecgonine-d3 #B-3277..... Ampule: 2ml.............. 8/28/90
Sigma Chemical Co...................... Benzphetamine Hydrochloride, Sealed Ampule: 1ml....... 6/8/84
Product No. B-8765.
Sigma Chemical Co...................... Bolasterone, Product #B3404.... Ampule: 1ml.............. 1/30/92
Sigma Chemical Co...................... Bromazepam #B-5402............. Ampule: 2ml.............. 8/28/90
Sigma Chemical Co...................... Bufotenine Monooxalate, Product Sealed Ampule: 1ml....... 6/30/77
No. B-8757.
Sigma Chemical Co...................... Buprenorphine Hydrochloride.... Vial: 2ml................ 9/12/94
Sigma Chemical Co...................... Butabarbital , Product No. B- Sealed Ampule: 1ml....... 6/30/77
8882.
Sigma Chemical Co...................... Butalbital, Product No. B-5514. Sealed Ampule: 1ml....... 9/19/83
Sigma Chemical Co...................... Butethal (B-7516).............. Ampule: 1ml.............. 9/5/85
Sigma Chemical Co...................... Cannabidiol, Product No. C-6395 Vial: 1ml................ 5/11/81
Sigma Chemical Co...................... Cannabinol, Product No. C-6520. Vial: 1ml................ 5/11/81
Sigma Chemical Co...................... Chloral Hydrate , Product No. C- Sealed Ampule: 1ml....... 6/30/77
6516.
Sigma Chemical Co...................... Chloral Hydrate, Product #C9954 Ampule: 1ml.............. 5/10/95
Sigma Chemical Co...................... Chlorazepam Dipotassium Salt, Ampule: 1ml.............. 5/24/85
(C-9531).
Sigma Chemical Co...................... Chlordiazepoxide (C-4782)...... Ampule: 1ml.............. 9/5/85
Sigma Chemical Co...................... Chlordiazepoxide Hydrochloride Ampule: 2ml.............. 6/26/90
Acetonitrile Drug Standard #C-
9547.
Sigma Chemical Co...................... Chlordiazepoxide-d5 #C-5047.... Ampule: 2ml.............. 8/28/90
Sigma Chemical Co...................... Clobazam, No. C-6667........... Glass Ampule: 2ml........ 6/6/89
Sigma Chemical Co...................... Clonazepam, Product No. C-4404. Sealed Ampule: 1ml....... 6/8/84
Sigma Chemical Co...................... Cocaethylene, #C-8205.......... Ampule: 1ml.............. 10/9/95
Sigma Chemical Co...................... Cocaethylene, C-7313........... Vial: 2ml................ 2/4/94
Sigma Chemical Co...................... Cocaethylene-D5, #C-7073....... Ampule: 1ml.............. 10/9/95
Sigma Chemical Co...................... Cocaine Hydrochloride Product Sealed Ampule: 1ml....... 9/19/83
No. C-1528.
Sigma Chemical Co...................... Cocaine-d3 #C-3547............. Ampule: 2ml.............. 8/28/90
Sigma Chemical Co...................... Codeine-d3 HCl #C-3672......... Ampule: 2ml.............. 8/28/90
Sigma Chemical Co...................... Codeine, Product No. C-1653.... Sealed Ampule: 1ml....... 9/19/83
Sigma Chemical Co...................... D-Amphetamine Sulfate, Product Vial: 1ml................ 5/11/81
No. A-3278.
Sigma Chemical Co...................... D-Propoxyphene Hydrochloride, P- Ampule: 1ml.............. 9/27/84
1550.
Sigma Chemical Co...................... DL-Amphetamine HCL , Product Sealed Ampule: 1ml....... 6/30/77
No. A-5017.
Sigma Chemical Co...................... Delorazepam #D-5789............ Ampule: 2ml.............. 8/28/90
Sigma Chemical Co...................... Desmethyldiazepam 1 mg/ml, No. Glass Ampule: 2 ml....... 6/29/89
D-3162.
Sigma Chemical Co...................... Desmethyldiazepam-d5 #D-6039... Ampule: 2ml.............. 8/28/90
Sigma Chemical Co...................... Diazepam, Product No. D-9900... Sealed Ampule: 1ml....... 6/8/84
Sigma Chemical Co...................... Diazepam-d5 #D-5664............ Ampule: 2ml.............. 8/28/90
Sigma Chemical Co...................... Diethylpropion Hydrochloride, Sealed Ampule: 1ml....... 9/19/83
Product No. D-7274.
Sigma Chemical Co...................... Diphenoxylate HCL, Product Ampule: 1ml.............. 9/5/85
#D0780.
Sigma Chemical Co...................... Drug Standard Mix 1, D-3155.... Ampule: 2ml.............. 4/18/86
Sigma Chemical Co...................... Drug Standard Mix 2, D-3030.... Ampule: 2ml.............. 4/18/86
Sigma Chemical Co...................... Ecgonine Hydrochloride 1 mg/ml, Glass Ampule: 2 ml....... 6/29/89
No. E-9762.
Sigma Chemical Co...................... Ecgonine-d3 HCl #E-2014........ Ampule: 2ml.............. 8/28/90
Sigma Chemical Co...................... Ecgonine-d3 Methyl Ester HCl #E- Ampule: 2ml.............. 8/28/90
2139.
Sigma Chemical Co...................... Estazolam #E-1139.............. Ampule: 2ml.............. 8/28/90
Sigma Chemical Co...................... Ethinamate (E-8508)............ Ampule: 1ml.............. 4/10/85
Sigma Chemical Co...................... Ethylmorphine, E-3377.......... Ampule: 2ml.............. 9/25/91
Sigma Chemical Co...................... Fencamfamine Hydrochloride..... Vial: 2ml................ 9/12/94
Sigma Chemical Co...................... Fenfluramine Hydrochloride, Sealed Ampule: 1ml....... 9/19/83
Product No. F-1884.
Sigma Chemical Co...................... Fenproporex Hydrochloride, No. Glass Ampule: 2ml........ 6/6/89
F-7261.
Sigma Chemical Co...................... Fentanyl Citrate, No. F-5886... Glass Ampule: 2 ml....... 6/6/89
Sigma Chemical Co...................... Fentanyl-d5 Citrate #F-2520.... Ampule: 2ml.............. 8/28/90
[[Page 13750]]
Sigma Chemical Co...................... Flunitrazepam No. F-8763....... Vial: 1 ml............... 6/30/87
Sigma Chemical Co...................... Fluoxymesterone, Product #F6891 Ampule: 2ml.............. 1/30/92
Sigma Chemical Co...................... Flurazepam Dihydrochloride Vial: 1 ml............... 10/20/89
Product #F9134.
Sigma Chemical Co...................... Gelatin Veronal Buffer (GVB2+) Vial: 50 ml, 250ml....... 9/15/86
No. G-6514.
Sigma Chemical Co...................... Glutethimide, Product No. G- Sealed Ampule: 1 ml...... 6/30/77
3134.
Sigma Chemical Co...................... Glycerophosphate Substrate, Bottle: 4 ounce.......... 7/25/83
Product No. 675-2.
Sigma Chemical Co...................... Heroin Hydrochloride .1 mg/ml, Glass Ampule: 2 ml....... 6/29/89
No. H-5144.
Sigma Chemical Co...................... Hexobarbital, Product No. H- Sealed Ampule: 1 ml...... 6/30/77
2007.
Sigma Chemical Co...................... Hydrocodone Bitartrate, No. H- Glass Ampule: 2 ml....... 6/6/89
2269.
Sigma Chemical Co...................... Hydromorphone Hydrochloride No. Vial: 1 ml............... 6/30/87
H-7141.
Sigma Chemical Co...................... Hydroxytestosterone, Product Vial: 0.5 ml............. 5/10/95
#H9901.
Sigma Chemical Co...................... Ibogaine HCL, Product No. I- Sealed Ampule: 1 ml...... 6/30/77
4630.
Sigma Chemical Co...................... LDH Electrophoresis Buffer, Bottle: 30 ml............ 1/4/77
Stock No. 705-1.
Sigma Chemical Co...................... LDH-P Reagent No. 125-100...... Vial: 100 ml............. 5/29/73
Sigma Chemical Co...................... Levorphanol Tartrate 1 mg/ml, Glass Ampule: 2 ml....... 6/29/89
No. L-0896.
Sigma Chemical Co...................... Lorazepam (L-0140)............. Ampule: 1 ml............. 5/24/85
Sigma Chemical Co...................... Lormetazepam, No. 8145......... Glass Ampule: 2 ml....... 6/6/89
Sigma Chemical Co...................... Lysergic Acid , Product No. L- Sealed Ampule: 1 ml...... 6/30/77
5881.
Sigma Chemical Co...................... Lysergic Acid Diethylamide #L- Ampule: 2 ml............. 8/28/90
8147.
Sigma Chemical Co...................... Lysergic Acid Diethylamide, Ampule: 1 ml............. 8/17/94
Drug Standard No. L-5406.
Sigma Chemical Co...................... Mayer's Hematoxylin Solution, Bottle: 3 ml, 6 ml, 25 8/6/73
MHS-1, MHS-16, MHS-32, MHS-80, ml, 100 ml, 225 ml, 500
MHS-128. ml, 1.0L, 2.5L, 4.0L.
Sigma Chemical Co...................... Mayer's Hematoxylin Solution, Bulk: 1000L.............. 5/4/93
No. MHS-1.
Sigma Chemical Co...................... Mebutamate (M-3772)............ Ampule: 1 ml............. 9/5/85
Sigma Chemical Co...................... Medazepam (M-7646)............. Ampule: 1 ml............. 5/24/85
Sigma Chemical Co...................... Meperidine Hydrochloride (M- Ampule: 1 ml............. 8/27/84
1020).
Sigma Chemical Co...................... Mephobarbital, Product No. M- Vial: 1 ml............... 5/11/81
3514.
Sigma Chemical Co...................... Meprobamate (M-0271)........... Ampule: 1 ml............. 5/24/85
Sigma Chemical Co...................... Mescaline HC1 , Product No. M- Sealed Ampule: 1 ml...... 6/30/77
5153.
Sigma Chemical Co...................... Mesterolone, Product #M8283.... Ampule: 2 ml............. 1/30/92
Sigma Chemical Co...................... Methadone Hydrochloride, Sealed Ampule: 1 ml...... 9/19/83
Product No. M-3268.
Sigma Chemical Co...................... Methadone-d3 #M-4781........... Ampule: 2 ml............. 8/28/90
Sigma Chemical Co...................... Methamphetamine HC1 , Product Sealed Ampule: 1 ml...... 6/30/77
No. M-5260.
Sigma Chemical Co...................... Methandrostenolone, Product Ampule: 2 ml............. 1/30/92
#M6910.
Sigma Chemical Co...................... Methaqualone Hydrochloride, Sealed Ampule: 1 ml...... 9/19/83
Product No. M-3393.
Sigma Chemical Co...................... Methaqualone-d4 #M-5406........ Ampule: 2 ml............. 8/28/90
Sigma Chemical Co...................... Methylphenidate Hydrochloride Ampule: 1 ml............. 10/31/84
(M-1145).
Sigma Chemical Co...................... Methyprylon, Product No. M-1769 Sealed Ampule: 1 ml...... 6/8/84
Sigma Chemical Co...................... Morphine Sulfate, No. M-9524... Glass Ampule: 2 ml....... 6/6/89
Sigma Chemical Co...................... Morphine-3-B-D Glucuronide, Ampule: 1 ml............. 10/21/82
Product No. M-4266.
Sigma Chemical Co...................... Morphine-d3 HCl, M-6380........ Ampule: 2 ml............. 9/25/91
Sigma Chemical Co...................... N, N-Diethyltryptamine, Product Vial: 1 ml............... 5/11/81
No. D-0392.
Sigma Chemical Co...................... N, N-Dimethyltryptamine, Sealed Ampule: 1 ml...... 6/30/77
Product No. D-6263.
Sigma Chemical Co...................... Nalorphine Hydrochloride....... Ampule: 1 ml............. 8/27/84
Sigma Chemical Co...................... Nitrazepam, N-3397............. Ampule: 1 ml............. 9/8/93
Sigma Chemical Co...................... Norcodeine Hydrochloride, No. N- Glass Ampule: 2 ml....... 6/6/89
3017.
Sigma Chemical Co...................... Normorphine HCl #N-7393........ Ampule: 2 ml............. 8/28/90
Sigma Chemical Co...................... Noroxymorphone #N-7018......... Ampule: 2 ml............. 8/28/90
Sigma Chemical Co...................... Owren's Buffer, No. 05880...... Bottle: 500 ml; Vial: 20 4/5/89
ml; Box: 5vials.
Sigma Chemical Co...................... Oxazepam, No. O-1755........... Vial: 1 ml............... 6/30/87
Sigma Chemical Co...................... Oxazepam-d5 #O-1381............ Ampule: 2 ml............. 8/28/90
Sigma Chemical Co...................... Oxazolam, No. O-8005........... Glass Ampule: 2 ml....... 6/6/89
Sigma Chemical Co...................... Oxycodone Hydrochloride, Sealed Ampule: 1 ml...... 9/19/83
Product No. O-2628.
Sigma Chemical Co...................... Oxymetholone, Product #O4006... Ampule: 2 ml............. 1/30/92
Sigma Chemical Co...................... Paraldehyde, Product No. P-3778 Ampule: 1 ml............. 10/21/82
Sigma Chemical Co...................... Pemoline, Product No. P-3518... Sealed Ampule: 1 ml...... 6/30/77
Sigma Chemical Co...................... Pentazocine Hydrochloride, Sealed Ampule: 1 ml...... 9/19/83
Product No. P-7530.
Sigma Chemical Co...................... Pentobarbital, Product No. P- Sealed Ampule: 1ml....... 6/30/77
3393.
Sigma Chemical Co...................... Phencyclidine HCL, Product Vial: 1 ml............... 6/30/87
#P7043.
Sigma Chemical Co...................... Phencyclidine-d5 HCl #P-6054... Ampule: 2ml.............. 8/28/90
Sigma Chemical Co...................... Phendimetrazine Bitartrate, Vial: 1ml................ 5/11/81
Product #P3524.
Sigma Chemical Co...................... Phenobarbital FPIA Calibrator Kit: 6 vials............. 11/21/89
Set Cat. No. P9051.
Sigma Chemical Co...................... Phenobarbital FPIA Calibrator: Vial: 2.5 ml............. 11/21/89
A-No.P8301, B-No.P8426, C-
No.P8551, D-No.P8676, E-
No.P8801, F-No.P8926.
Sigma Chemical Co...................... Phenobarbital Primary Stock Bottle: 10, 5, 1L, 500, 2/1/91
Solution No. Z-5419. 100ml.
Sigma Chemical Co...................... Phenobarbital Prod. No.P-3643.. Sealed Ampule: 1ml....... 6/30/77
Sigma Chemical Co...................... Phentermine Hydrochloride, Sealed Ampule: 1ml....... 9/19/83
Product No. P-7655.
Sigma Chemical Co...................... Phenylacetone, Product #P3958.. Ampule: 1ml.............. 5/10/95
Sigma Chemical Co...................... Phenylacetone, Product No. P- Vial: 1ml................ 5/11/81
2024.
Sigma Chemical Co...................... Prazepam, No. P-7168........... Vial: 1 ml............... 6/30/87
[[Page 13751]]
Sigma Chemical Co...................... Psilocin #P-4054............... Ampule: 2ml.............. 8/28/90
Sigma Chemical Co...................... SIA Cocaine Metabolites........ Kit: 96 Tests............ 7/11/91
Sigma Chemical Co...................... SIA Conjugate Cocaine Bottle: 75ml............. 7/11/91
Metabolites.
Sigma Chemical Co...................... SIA Positive Reference Cocaine Vial: 1ml................ 7/11/91
Metabolites.
Sigma Chemical Co...................... Secobarbital, Product No. S- Sealed Ampule: 1ml....... 6/30/77
4006.
Sigma Chemical Co...................... Secobarbital-d5, S-4628........ Ampule: 2ml.............. 9/25/91
Sigma Chemical Co...................... Stanozolol, Product #S7649..... Ampule: 2ml.............. 1/30/92
Sigma Chemical Co...................... Stanozolol-d3, Product #S7774.. Ampule: 2ml.............. 1/30/92
Sigma Chemical Co...................... Temazepam, No. T-4903.......... Vial: 1 ml............... 6/30/87
Sigma Chemical Co...................... Tenocyclidine HCl, T-3507...... Ampule: 2ml.............. 9/25/91
Sigma Chemical Co...................... Testosterone 17beta-Cypionate, Ampule: 1ml.............. 7/30/92
T 3415.
Sigma Chemical Co...................... Testosterone Acetate, Product Ampule: 2ml.............. 1/30/92
#T5661.
Sigma Chemical Co...................... Testosterone Benzoate, Product Ampule: 2ml.............. 1/30/92
#T1913.
Sigma Chemical Co...................... Testosterone Enanthate, T 3540. Ampule: 1ml.............. 7/30/92
Sigma Chemical Co...................... Testosterone Propionate, T 3665 Ampule: 1ml.............. 7/30/92
Sigma Chemical Co...................... Testosterone, Product #T5411... Ampule: 2ml.............. 1/30/92
Sigma Chemical Co...................... Testosterone-d3, Product #T5536 Ampule: 2ml.............. 1/30/92
Sigma Chemical Co...................... Thebaine, Product No. T-5270... S
FR Doc. 96-7385 Exempt Chemical Preparations
ealed Ampule: 1ml....... 9/19/83
Sigma Chemical Co...................... Thiamylal Sodium, Product No. T- Sealed Ampule: 1ml....... 6/8/84
6896.
Sigma Chemical Co...................... Thiopental (T-1022)............ Ampule: 1ml.............. 8/27/84
Sigma Chemical Co...................... Triazolam #T-7658.............. Ampule: 2ml.............. 8/28/90
Sigma Chemical Co...................... Trizma-Barbital Buffer, Stock Bottle: 30ml............. 1/4/77
No. 710-1.
Sigma Chemical Co...................... Tropacocaine HCL, Product Vial: 1ml................ 5/11/81
#T4576.
Sigma Chemical Co...................... Z9999, Field Test Sample Vial: 400ml.............. 3/14/91
PSEUDOnarcotics Marihuana
Formulation.
Sigma Chemical Co...................... d-Amphetamine-d3 Sulfate #A- Ampule: 2ml.............. 8/28/90
7180.
Sigma Chemical Co...................... d-Lysergic Acid Cat. No. L-9752 Ampule: 2ml.............. 11/6/91
Sigma Chemical Co...................... d-Propoxyphene-d7 HCl #P-4179.. Ampule: 2ml.............. 8/28/90
Sigma Chemical Co...................... delta-9-tetrahydrocannabinol-d3 Ampule: 2ml.............. 8/28/90
#T-8783.
Sigma Chemical Co...................... dl-Amphetamine, A-2262......... Ampule: 2ml.............. 9/25/91
Sigma Chemical Co...................... l-Amphetamine, A-9136.......... Ampule: 2ml.............. 9/25/91
Sigma Chemical Co...................... p-Methoxyamphetamine HCl #M- Ampule: 2ml.............. 8/28/90
4656.
Sigma Diagnostics...................... Amelung Systems Buffer......... Box: 6 Vials; Bottle: 2/8/96
25ml.
Sigma Diagnostics...................... CA System Buffer............... Bottle: 500ml............ 9/9/93
Smart Chemical Co...................... Regal 180XL.................... Plastic Drum: 55 gallon.. 6/12/86
SmithKline Beecham..................... Benzo/PCP QC................... Bottle: 10ml............. 7/31/95
SmithKline Beecham..................... GC/MS 1........................ Bottle: 50ml............. 7/31/95
SmithKline Beecham..................... NIDA LODQC..................... Bottle: 50ml............. 7/31/95
SmithKline Beecham..................... SAP LODQC...................... Bottle: 50ml............. 7/31/95
SmithKline Beecham..................... SB50N.......................... Bottle: 10, 25, 50ml..... 7/31/95
SmithKline Beecham..................... SB50P.......................... Bottle: 10, 25, 50ml..... 7/31/95
SmithKline Beecham..................... Urine Drug Standards Pool A, B, Bottle: 25ml............. 7/31/95
C, D, E, F, G.
SolarCare Technology Corporation....... Benzoylecgonine Cutoff Vial: 4ml................ 6/5/90
Calibrator.
SolarCare Technology Corporation....... Benzoylecgonine Negative Vial: 4ml................ 6/5/90
Control.
SolarCare Technology Corporation....... Benzoylecgonine Positive Vial: 4ml................ 6/5/90
Control.
SolarCare Technology Corporation....... Cocaine Cutoff Calibrator...... Vial: 4ml................ 6/5/90
SolarCare Technology Corporation....... Cocaine EIA.................... Kit: 3 vials............. 6/5/90
SolarCare Technology Corporation....... Cocaine Metabolite EIA......... Kit: 30 vials............ 6/5/90
SolarCare Technology Corporation....... Cocaine Negative Control....... Vial: 4ml................ 6/5/90
SolarCare Technology Corporation....... Cocaine Positive Control....... Vial: 4ml................ 6/5/90
SolarCare Technology Corporation....... LSD Cutoff Calibrator.......... Vial: 4ml................ 6/5/90
SolarCare Technology Corporation....... LSD EIA........................ Kit: 3 vials............. 6/5/90
SolarCare Technology Corporation....... LSD Negative Control........... Vial: 4ml................ 6/5/90
SolarCare Technology Corporation....... LSD Positive Control........... Vial: 4ml................ 6/5/90
SolarCare Technology Corporation....... Low Level Benzodiazepine Kit: 3 vials............. 6/5/90
(Triazolam) EIA.
SolarCare Technology Corporation....... Triazolam Cutoff Control....... Vial: 4ml................ 6/5/90
SolarCare Technology Corporation....... Triazolam Negative Control..... Vial: 4ml................ 6/5/90
[[Page 13752]]
SolarCare Technology Corporation....... Triazolam Positive Control..... Vial: 4ml................ 6/5/90
Supelco, Inc........................... Gamma-DEX Programmed Column Ampule: 1ml.............. 9/15/95
Test Mix.
Supelco, Inc........................... Alk Mix No. 04-9210............ Vial: 1ml................ 8/28/73
Supelco, Inc........................... Amobarbital, No. 04-9170....... Ampule: 1ml.............. 12/22/72
Supelco, Inc........................... Amph. Mix Catalog No. 4-9205... Glass Ampule: 2ml........ 6/9/86
Supelco, Inc........................... Amphetamine No. 04-9165........ Ampule: 1ml.............. 12/22/72
Supelco, Inc........................... Anticonvulsant Mixture No. 1; Glass Serum Bottle: 50ml. 6/16/77
No. 04-9202.
Supelco, Inc........................... Antiepileptic Calibration Kit: 3 Ampules........... 5/21/80
Standard Kit, No. 4-9259.
Supelco, Inc........................... Antiepileptic Calibration Glass Ampule: 5ml........ 5/21/80
Standards, Nos. 4-9256, 4-
9257, 4-9258.
Supelco, Inc........................... Appendix IX Contract Mix 3..... Ampule: 2ml.............. 12/22/94
Supelco, Inc........................... Aprobarbital No. 04-9171....... Ampule: 1ml.............. 12/22/72
Supelco, Inc........................... Barb. Mix 1, Catalog No. 4-9200 Glass Ampule: 2ml........ 6/9/86
Supelco, Inc........................... Barb. Mix 2, Catalog No. 4-9201 Glass Ampule: 2ml........ 6/9/86
Supelco, Inc........................... Barbital, Catalog No. 4-9279... Glass Ampule: 10ml....... 6/9/86
Supelco, Inc........................... Barbiturates Test Mix Catalog Ampule: 2 ml............. 2/25/87
No. 4-9295.
Supelco, Inc........................... Cannabidiol, No. 04-9221....... Ampule: 1ml.............. 11/27/74
Supelco, Inc........................... Cannabinol, No. 04-9235........ Ampule: 1ml.............. 11/27/74
Supelco, Inc........................... Chloral Hydrate Kit, Product # Kit: 19 Vials; 2ml each.. 9/6/94
4-8112.
Supelco, Inc........................... Chloral Hydrate, Product # 4- Ampule: 2ml.............. 9/15/95
7335.
Supelco, Inc........................... Cocaine, No. 04-9188........... 1000 mcg /Glass Ampule... 6/5/75
Supelco, Inc........................... Codeine No. 04-9161............ Ampule: 1ml.............. 12/22/72
Supelco, Inc........................... Custom Appendix IX Mix-3, Ampule: 10ml............. 4/6/95
Product # 86-8043.
Supelco, Inc........................... Cyclobarbital No. 04-9175...... Ampule: 1ml.............. 12/22/72
Supelco, Inc........................... Delta-1 THC, No. 04-9237....... Ampule: 1ml.............. 11/27/74
Supelco, Inc........................... Delta-6 THC, No. 04-9238....... Ampule: 1ml.............. 11/27/74
Supelco, Inc........................... Dextroamphetamine, No. 4-9185.. Glass Ampule: 1ml........ 5/21/80
Supelco, Inc........................... EPA 8270 Base/Neutrals Mix B, Vial: 2ml................ 8/31/94
Product # 4-8195.
Supelco, Inc........................... Glutethimide No. 04-9173....... Ampule: 1ml.............. 12/22/72
Supelco, Inc........................... Heroin No. 04-9162............. Ampule: 1ml.............. 12/22/72
Supelco, Inc........................... Hexobarbital No. 04-9177....... Ampule: 1ml.............. 12/22/72
Supelco, Inc........................... Mephobarbital No. 04-9178...... Ampule: 1ml.............. 12/22/72
Supelco, Inc........................... Meprobamate, No. 4-9184........ Glass Ampule: 1ml........ 5/21/80
Supelco, Inc........................... Methadone No. 04-9163.......... Ampule: 1ml.............. 12/22/72
Supelco, Inc........................... Methamphetamine No. 04-9168.... Ampule: 1ml.............. 12/22/72
Supelco, Inc........................... Methaqualone, No. 04-9183...... 1000 mcg /Glass Ampule... 6/5/75
Supelco, Inc........................... Morphine No. 04-9160........... Glass Ampule: 1000mcg.... 3/8/78
Supelco, Inc........................... NET Appendix IX Mix-3, Product Ampule: 2ml.............. 5/3/95
# 86-8-58.
Supelco, Inc........................... Pentobarbital No. 04-9179...... Glass Ampule: 1000mcg.... 3/8/78
Supelco, Inc........................... Phenobarbital No. 04-9181...... Glass Ampule: 1000mcg.... 3/8/78
Supelco, Inc........................... Psilocybin, No. 04-9191........ 1000 mcg /Glass Ampule... 6/5/75
Supelco, Inc........................... Secobarbital No. 04-9180....... Glass Ampule: 1000mcg.... 3/8/78
Supelco, Inc........................... alpha, alpha- Ampule: 2ml.............. 2/7/95
Dimethylphenethylamine.
Supelco, Inc........................... alpha, alpha- Vial: 2ml................ 8/31/94
Dimethylphenethylamine,
Product # 4-8377.
Sure-Tech Diagnostic Associates, Inc... 3, 4-Methylenedioxyamphetamine Vial: 20ml............... 4/24/92
in Urine Matrix; Prod 928.
Sure-Tech Diagnostic Associates, Inc... 3, 4- Vial: 20ml............... 4/24/92
Methylenedioxymethylamphetamin
e in Urine Matrix; Prod 929.
Sure-Tech Diagnostic Associates, Inc... Alprazolam in Urine Matrix; Vial: 20ml............... 4/24/92
Prod. 920.
Sure-Tech Diagnostic Associates, Inc... Codeine in Urine Matrix; Prod Vial: 20ml............... 4/24/92
924.
Sure-Tech Diagnostic Associates, Inc... D-Methamphetamine/D-Amphetamine Vial: 20ml............... 4/24/92
in Urine Matrix; Prod 926.
Sure-Tech Diagnostic Associates, Inc... D-Propoxyphene in Urine Matrix; Vial: 20ml............... 4/24/92
Prod 936.
Sure-Tech Diagnostic Associates, Inc... Drugs of Abuse Urine Control Vial: 4ml Kit: 1 vial.... 5/11/90
(Blind Sample) Positive
Amphetamine Kit No. ST 904,
Vial No. 904-P.
Sure-Tech Diagnostic Associates, Inc... Drugs of Abuse Urine Control Kit: 2 vials............. 5/11/90
(Blind Sample) Positive
Cocaine & Marijuana Kit No. ST
903.
Sure-Tech Diagnostic Associates, Inc... Drugs of Abuse Urine Control Vial: 4ml Kit: 1 vial.... 5/11/90
(Blind Sample) Positive
Cocaine, Kit No. ST 901, Vial
No. 901-P.
Sure-Tech Diagnostic Associates, Inc... Drugs of Abuse Urine Control Vial: 4ml Kit: 1 vial.... 5/11/90
(Blind Sample) Positive
Marijuana, Kit No. ST 902,
Vial No. 902-P.
Sure-Tech Diagnostic Associates, Inc... Drugs of Abuse Urine Control Vial: 4ml Kit: 1 vial.... 5/11/90
(Blind Sample) Positive
Opiates Kit No. ST 905, Vial
No. 905-P.
Sure-Tech Diagnostic Associates, Inc... Drugs of Abuse Urine Control Vial: 4ml Kit: 1 vial.... 5/11/90
(Blind Sample) Positive
Phencyclidine Kit No. ST 906,
Vial No. 906-P.
Sure-Tech Diagnostic Associates, Inc... Drugs of Abuse: Urine Controls Vial: 20ml; Box: 1 vial.. 9/13/90
(Blind Samples) positive
Codeine No. 907-P.
[[Page 13753]]
Sure-Tech Diagnostic Associates, Inc... Drugs of Abuse: Urine Controls Vial: 20ml; Box: 1 vial.. 9/13/90
(Blind Samples) positive
Methadone No. 908-P.
Sure-Tech Diagnostic Associates, Inc... Drugs of Abuse: Urine Controls Vial: 20ml; Box: 1 vial.. 9/13/90
(Blind Samples) positive
Methamphetamine No. 909-P.
Sure-Tech Diagnostic Associates, Inc... Drugs of Abuse: Urine Controls Vial: 20ml, Box: 1 vial.. 9/13/90
(Blind Samples) positive
Methaqualone No. 913-P.
Sure-Tech Diagnostic Associates, Inc... Drugs of Abuse: Urine Controls Vial: 20ml, Box: 1 vial.. 9/13/90
(Blind Samples) positive
Oxazepam No. 910-P.
Sure-Tech Diagnostic Associates, Inc... Drugs of Abuse: Urine Controls Vial: 20ml, Box: 1 vial.. 9/13/90
(Blind Samples) positive
Propoxyphene No. 911-P.
Sure-Tech Diagnostic Associates, Inc... Drugs of Abuse: Urine Controls Vial: 20ml, Box: 1 vial.. 9/13/90
(Blind Samples) positive
Secobarbital No. 912-P.
Sure-Tech Diagnostic Associates, Inc... Meperidine in Urine Matrix; Vial: 20ml............... 4/24/92
Prod 930.
Sure-Tech Diagnostic Associates, Inc... Methadone in Urine Matrix; Prod Vial: 20ml............... 4/24/92
925.
Sure-Tech Diagnostic Associates, Inc... Methaqualone in Urine Matrix; Vial: 20ml............... 4/24/92
Prod 927.
Sure-Tech Diagnostic Associates, Inc... Morphine-3-Glucuronide in Urine Vial: 20ml............... 4/24/92
Matrix; Prod 931.
Sure-Tech Diagnostic Associates, Inc... Nordiazepam in Urine Matrix; Vial: 20ml............... 4/24/92
Prod 932.
Sure-Tech Diagnostic Associates, Inc... Normeperidine in Urine Matrix; Vial: 20ml............... 4/24/92
Prod 933.
Sure-Tech Diagnostic Associates, Inc... Oxazepam in Urine Matrix; Prod Vial: 20ml............... 4/24/92
934.
Sure-Tech Diagnostic Associates, Inc... Phencyclidine in Urine Matrix; Vial: 20 ml.............. 4/24/92
Prod 935.
Sure-Tech Diagnostic Associates, Inc... Secobarbital in Urine Matrix; Vial: 20ml............... 4/24/92
Prod 937.
Sure-Tech Diagnostic Associates, Inc... Temazepam in Urine Matrix; Prod Vial: 20ml............... 4/24/92
938.
Sure-Tech Diagnostic Associates, Inc... Triazolam in Urine Matrix; Prod Vial: 20ml............... 4/24/92
939.
Sure-Tech Diagnostics Associates, Inc.. 9-Carboxyl-11 Nor-A-9-THC in Vial: 20ml............... 4/24/92
Urine Matrix; Prod 923.
Sure-Tech Diagnostics Associates, Inc.. Benzoylecgonine in Urine Vial: 20ml............... 4/24/92
Matrix; Prod 922.
Sure-Tech Diagnostics Associates, Inc.. D-Amphetamine in Urine Matrix; Vial: 20ml............... 4/24/92
Prod. 921.
Syva Co................................ AccuLevel Phenobarbital Test Flask: 50ml.............. 10/31/85
Control Stock Solution.
Syva Co................................ AccuLevel Phenobarbital Test (1) Glass Vial: 6ml; (2) 1/24/86
Kit (Catalog No. 10C019) Glass Vial: 9ml, 12
Contains: (1) AccuLevel Vials per test kit.
Phenobarbital Control (2)
AccuLevel Reagent I.
Syva Co................................ Advance T-3 Uptake Assay....... Kit: 100 tests........... 5/11/82
Syva Co................................ Advance Thyroxin Assay......... Kit: 100 tests........... 5/11/82
Syva Co................................ Antiepileptic Drug Control..... Vial: 10ml , Lyophilized. 8/27/74
Syva Co................................ EMIT 2000 Phenobarbital Bulk Bottle: 1000ml........... 7/14/94
Reagent 1.
Syva Co................................ EMIT 2000 Phenobarbital Bulk Bottle: 200ml............ 2/22/93
Reagent B.
Syva Co................................ EMIT 2000 Phenobarbital Bottle: 3ml.............. 7/14/94
Calibrators 5, 10, 20, 40 and
80.
Syva Co................................ EMIT IIC Cannabinoid Assay Bottle: 500ml............ 12/15/93
Reagent 2.
Syva Co................................ EMIT IIC Cannabinoid Assay..... Kit: 2 Bottles........... 12/15/93
Syva Co................................ EMIT IIC Phencyclidine Assay... Kit: 2 Bottles........... 12/15/93
Syva Co................................ EMIT IIC Phencyclidine Assay Bottle: 500ml............ 12/15/93
Reagent 2.
Syva Co................................ EMIT Thyroxine Assay, Cat. No. Glass Bottle: 4oz., Kit: 1/23/89
6J909. 500 Assays.
Syva Co................................ Emit 2000 Phenobarbital Assay Kit: 1 cassette; 8/5/91
(Convenience Pack). Cassette: 11ml.
Syva Co................................ Emit 2000 Phenobarbital Assay; Kit: 1 bottle; Bottle: 8/5/91
Enzyme Reagent 2. 15ml.
Syva Co................................ Emit 2000 Phenobarbital Bulk Bottle: 200ml............ 6/9/93
Reagent.
Syva Co................................ Emit 2000 Phenobarbital Kit: 5 vials............. 8/5/91
Calibrators (5, 10, 20, 40,
80).
Syva Co................................ Emit 700 Amphetamine Assay Bottle: 180ml............ 10/12/84
Catalog No. 3C919.
Syva Co................................ Emit 700 Barbiturate Assay Bottle: 180ml............ 10/12/84
Catalog No.3D919.
Syva Co................................ Emit 700 Benzodiazepine Assay Glass Bottle: 180ml, Kit: 2/21/89
Reagent 2. 2 bottles.
Syva Co................................ Emit 700 Calibrator A Catalog Bottle: 3ml.............. 10/5/84
No. 3A919.
Syva Co................................ Emit 700 Calibrator B Catalog Bottle: 3ml.............. 10/5/84
No. 3A969.
Syva Co................................ Emit 700 Cannabinoid (100) Bottle: 180ml............ 10/12/84
Assay Catalog No. 3M919.
Syva Co................................ Emit 700 Cannabinoid (100) Bottle: 3ml.............. 10/9/84
Calibrator Catalog No. 3M969.
Syva Co................................ Emit 700 Cannabinoid (20) Plastic Bottle: 180ml.... 9/15/86
Assay, Catalog No. 3M959.
Syva Co................................ Emit 700 Cannabinoid 100ng Bottle: 3ml.............. 7/31/89
Assay, Positive Control.
Syva Co................................ Emit 700 Cannabinoid 20ng Assay Glass Bottle: 5ml, Kit: 2 2/21/89
Calibrator. bottles.
[[Page 13754]]
Syva Co................................ Emit 700 Cannabinoid 20ng Assay Glass Bottle: 5ml, Kit: 2 2/21/89
Control Set-Positive Control. bottles.
Syva Co................................ Emit 700 Cannabinoid Control 2 Bottles: 3ml........... 10/9/84
Set Catalog No. 3M989.
Syva Co................................ Emit 700 Cocaine Metabolite Bottle: 180ml............ 10/12/84
Assay Catalog No. 3H919.
Syva Co................................ Emit 700 Control Set A Catalog 2 Bottles: 3ml........... 10/9/84
No. 3A939.
Syva Co................................ Emit 700 Control Set B Catalog 2 Bottles: 3ml........... 10/9/84
No. 3A989.
Syva Co................................ Emit 700 Methaqualone Assay Bottle: 180ml............ 10/19/84
Catalog No. 3Q919.
Syva Co................................ Emit 700 Opiate Assay Catalog Bottle: 180ml............ 10/12/84
No.3B919.
Syva Co................................ Emit 700 Phencyclidine Assay Bottle: 180ml............ 10/12/84
Catalog No. 3J919.
Syva Co................................ Emit AED-No. 1 Calibrator...... Vial: 3ml , Lyophilized.. 8/27/74
Syva Co................................ Emit AED-No. 2 Calibrator...... Vial: 3ml , Lyophilized.. 8/27/74
Syva Co................................ Emit AED-No. 3 Calibrator...... Vial: 3ml , Lyophilized.. 8/27/74
Syva Co................................ Emit AED-No. 4 Calibrator...... Vial: 3ml , Lyophilized.. 8/27/74
Syva Co................................ Emit AED-No. 5 Calibrator...... Vial: 3ml , Lyophilized.. 8/27/74
Syva Co................................ Emit Amphetamine Bulk Powder Bottle: 1000ml........... 10/4/89
Reagent 2.
Syva Co................................ Emit Amphetamine Bulk Powder Bottle: 4 oz............. 4/20/90
Reagent 2 Satellite.
Syva Co................................ Emit Amphetamine Bulk Reagent B Glass bottle: 1000ml..... 12/5/90
Syva Co................................ Emit Barbiturate Bulk Powder Bottle: 1000ml........... 10/4/89
Reagent 2.
Syva Co................................ Emit Barbiturate Bulk Powder Bottle: 4 oz............. 4/20/90
Reagent 2 Satellite.
Syva Co................................ Emit Barbiturate Bulk Reagent B Glass Bottle: 1000ml..... 12/5/90
Syva Co................................ Emit Benzodiazepine Bulk Powder Bottle: 1000ml........... 10/4/89
Reagent 2.
Syva Co................................ Emit Benzodiazepine Bulk Powder Bottle: 4 oz............. 4/20/90
Reagent 2 Satellite.
Syva Co................................ Emit Benzodiazepine Bulk Glass Bottle: 1000ml..... 12/5/90
Reagent B.
Syva Co................................ Emit Calibrator B Level 1 Vial: 5ml, 25ml.......... 6/19/91
(cutoff).
Syva Co................................ Emit Calibrator B Level 2 Vial: 5ml, 25ml.......... 6/19/91
(high).
Syva Co................................ Emit Cannabinoid (100) Bulk Bottle: 1000ml........... 10/4/89
Powder Reagent 2.
Syva Co................................ Emit Cannabinoid (100) Bulk Bottle: 4 oz............. 4/20/90
Powder Reagent 2 Satellite.
Syva Co................................ Emit Cannabinoid Bulk Reagent B Glass bottle: 1000ml..... 12/5/90
Syva Co................................ Emit Cocaine Metabolite Bulk Bottle: 1000ml........... 10/4/89
Powder Reagent 2.
Syva Co................................ Emit Cocaine Metabolite Bulk Bottle: 4 oz............. 4/20/90
Powder Reagent 2 Satellite.
Syva Co................................ Emit Cocaine Metabolite Bulk Glass Bottle: 1000ml..... 12/5/90
Reagent B.
Syva Co................................ Emit Convenience Pack Plastic Cassette: 100 11/23/87
Phenobarbital Assay: Catalog tests.
No. 5D009.
Syva Co................................ Emit Convenience Pack: T-Uptake Kit: 100 Tests Ea. Kit- 5/9/88
Assay (Thyroid Hormone Binding Plastic Cassette: 16 ml.
Ratio).
Syva Co................................ Emit Convenience Pack: Plastic Cassette: 8ml, 2/22/89
Thyroxine Assay Enzyme Reagent Kit: 100 Assays.
B.
Syva Co................................ Emit Delta 9 Cannabinoid 100 ng/ Vial: 3ml................ 8/22/89
ml Calibrator/Control.
Syva Co................................ Emit Delta 9 Cannabinoid 20 ng/ Vial: 3ml................ 8/22/89
ml Calibrator/Control.
Syva Co................................ Emit Delta 9 Cannabinoid 400 ng/ Vial: 3ml................ 8/22/89
ml Calibrator/Control.
Syva Co................................ Emit Delta 9 Cannabinoid 50 ng/ Vial: 3ml................ 8/22/89
ml Calibrator/Control.
Syva Co................................ Emit HVA Amphetamine Assay Kit: 2500 Assays......... 6/30/88
Catalog No. 3C619.
Syva Co................................ Emit HVA Barbiturate Assay Kit: 2500 Assays......... 6/30/88
Catalog No. 3D619.
Syva Co................................ Emit HVA Calibrator Kit Catalog Kit: 500 Tests Each Kit - 5/10/88
No. 3A619. 2 Glass Bottles 100 ml.
Syva Co................................ Emit HVA Cannabinoid 100 ng Kit: 2 Bottles, 50 ml ea. 7/15/88
Assay Control Kit, Catalog No.
3M739.
Syva Co................................ Emit HVA Cannabinoid 100 ng. Kit: 3 Bottles 50 ml ea.. 7/15/88
Assay Calibrator Kit, Catalog
No. 3M729.
Syva Co................................ Emit HVA Cannabinoid 100 ng. Kit: 2500 Assays......... 7/15/88
Assay Kit, Catalog No. 3M719.
Syva Co................................ Emit HVA Cocaine Metabolite Bottle: 125 ml........... 5/10/88
Assay Catalog No. 3H619.
Syva Co................................ Emit HVA Control Kit Catalog Kit: 500 Tests Each Kit-2 5/10/88
No. 3A629. Glass Bottles--100ml.
Syva Co................................ Emit HVA Opiate Assay Catalog Bottle: 125ml............ 5/10/88
No. 3B619.
Syva Co................................ Emit HVA Phencyclidine Assay Bottle: 125ml............ 5/19/88
Catalog No. 3J619.
Syva Co................................ Emit II Barbiturate Assay...... Kit: 100ml, 500ml Bottle: 6/29/90
4oz, 500ml.
Syva Co................................ Emit II Calibrator A Level 1 Vial: 10ml, 50ml......... 6/29/90
(Cutoff).
Syva Co................................ Emit II Calibrator A Level 2 Vial: 10ml, 50ml......... 6/29/90
(high).
Syva Co................................ Emit II Cannabinoid 20ng, 50ng, Bottle: 4oz, 500ml; Kit: 10/12/90
100ng Assay. 100ml, 500ml.
Syva Co................................ Emit II Cocaine Metabolite Kit: 100ml, 500ml Bottle: 6/29/90
Assay. 4oz, 500ml.
Syva Co................................ Emit II Delta 9 Cannabinoid Vial: 10ml, 50ml......... 10/12/90
20ng/ml, 50ng/ml, 100ng/ml,
200ng/ml, Calibrator/Control.
Syva Co................................ Emit II Methadone Assay........ Kit: 2 vials............. 1/26/93
Syva Co................................ Emit II Methadone Assay Reagent Bottle: 100ml, 500ml..... 1/26/93
2.
Syva Co................................ Emit II Methaqualone Assay..... Kit: 2 vials............. 1/26/93
Syva Co................................ Emit II Methaqualone Assay Bottle: 100ml, 500ml..... 1/26/93
Reagent 2.
Syva Co................................ Emit II Monoclonal Amphetamine/ Kit: 2 vials............. 1/26/93
Methamphetamine Assay.
Syva Co................................ Emit II Monoclonal Amphetamine/ Vial: 100ml, 500ml....... 1/26/93
Methamphetamine Assay Enzyme
Reagent 2.
[[Page 13755]]
Syva Co................................ Emit II Opiate Assay........... Kit: 100ml, 500ml Bottle: 6/29/90
4oz, 500ml.
Syva Co................................ Emit II Phencyclidine Assay.... Bottle: 4oz, 500ml; Kit: 10/26/90
100ml, 500ml.
Syva Co................................ Emit IIC Barbiturate Assay..... Kit: 2 Vials............. 1/6/94
Syva Co................................ Emit IIC Barbiturate Enzyme Vial: 500ml.............. 1/6/94
Reagent 2.
Syva Co................................ Emit IIC Calibrators 0, 1, 2, Vial: 10ml............... 1/6/94
3, 4, 5.
Syva Co................................ Emit IIC Opiate Assay.......... Kit: 2 Vials............. 1/6/94
Syva Co................................ Emit IIC Opiate Enzyme Reagent Vial: 500ml.............. 1/6/94
2.
Syva Co................................ Emit Methadone Bulk Powder Bottle: 1000 ml.......... 10/4/89
Reagent 2.
Syva Co................................ Emit Methadone Bulk Powder Bottle: 4 oz............. 4/20/90
Reagent 2 Satellite.
Syva Co................................ Emit Methadone Bulk Reagent.... Bottle: 1000ml........... 6/7/93
Syva Co................................ Emit Methaqualone Bulk Powder Bottle: 1000 ml.......... 10/4/89
Reagent 2.
Syva Co................................ Emit Methaqualone Bulk Powder Bottle: 4 oz............. 4/20/90
Reagent 2 Satellite.
Syva Co................................ Emit Opiate Bulk Powder Reagent Bottle: 1000 ml.......... 10/4/89
2.
Syva Co................................ Emit Opiate Bulk Powder Reagent Bottle: 4 oz............. 4/20/90
2 Satellite.
Syva Co................................ Emit Opiate Bulk Reagent B..... Glass bottle: 1000ml..... 12/5/90
Syva Co................................ Emit Phencyclidine Bulk Powder Bottle: 1000 ml.......... 10/4/89
Reagent 2.
Syva Co................................ Emit Phencyclidine Bulk Powder Bottle: 4 oz............. 4/20/90
Reagent 2 Satellite.
Syva Co................................ Emit Phencyclidine Bulk Reagent Glass Bottle: 1000ml..... 12/5/90
B.
Syva Co................................ Emit Phenobarbital Bulk Powder Bottle: 1000 ml.......... 10/4/89
Reagent B.
Syva Co................................ Emit Phenobarbital Bulk Powder Bottle: 4 oz............. 4/20/90
Reagent B Satellite.
Syva Co................................ Emit Phenobarbital Enzyme Vial: 6 ml , Lyophilized. 8/27/74
Reagent B.
Syva Co................................ Emit Qst Phenobarbital Bulk Steel Drum: 7 gallon..... 6/5/86
Powder Reagent.
Syva Co................................ Emit Qst Primidone Assay Glass Vial: 6ml, 50 Vials/ 11/12/85
Catalog No. 60819. Kit.
Syva Co................................ Emit Serum Barbiturate-Enzyme Bottle: 3ml.............. 5/22/79
Reagent B.
Syva Co................................ Emit T-Uptake Assay............ Bottle: 4 oz., 1L, Kit: 5/25/89
500 tests, 5000 tests.
Syva Co................................ Emit T-Uptake Assay (Thyroid Polyethylene Bottle: 4 oz 2/29/88
Hormone Binding Ratio) Catalog
No. 6J519.
Syva Co................................ Emit T-Uptake Bulk Powder Bottle: 1000 ml.......... 10/4/89
Reagent A.
Syva Co................................ Emit T-Uptake Bulk Powder Bottle: 4 oz............. 4/20/90
Reagent A Satellite.
Syva Co................................ Emit THC 50/100ng Assay........ Kit; 2vials, 500ml each.. 10/11/93
Syva Co................................ Emit THC Calibrators; 0ng/mlk, Vial: 10ml............... 10/11/93
50ng/ml, 100ng/ml, 200ng/ml.
Syva Co................................ Emit THC Controls; Levels I, Vial: 10ml............... 10/11/93
II, III, IV.
Syva Co................................ Emit Thyroxine Assay........... Glass Bottle: 8 oz., 1L, 5/25/89
Kit: 1300 tests, 5000
tests.
Syva Co................................ Emit Thyroxine Bulk Powder Bottle: 1000 ml.......... 10/4/89
Reagent B.
Syva Co................................ Emit Thyroxine Bulk Powder Bottle: 4 oz............. 4/20/90
Reagent B Satellite.
Syva Co................................ Emit Tox Serum Benzodiazepine Bottle: 3ml.............. 2/1/79
Assay Kit Containing: Emit
Enzyme Reagent B.
Syva Co................................ Emit d.a.u. Amphetamine Assay Kit: 100 tests, 1000 9/27/84
Catalog Nos. 3C019, 3C119. tests.
Syva Co................................ Emit d.a.u. Amphetamine Class Glass Vial: 5ml.......... 1/30/89
Low Calibrator, Cat. No. 3C179.
Syva Co................................ Emit d.a.u. Amphetamine Class Glass Vial: 5ml.......... 1/30/89
Medium Calibrator, Cat. No.
3C189.
Syva Co................................ Emit d.a.u. Barbiturate Assay Kit: 100 tests, 1000 9/27/84
Catalog Nos. 3D019, 3D119. tests.
Syva Co................................ Emit d.a.u. Benzodiazepine Kit: 100 tests, 1000 9/27/84
Assay Catalog Nos. 3F019, tests.
3F119.
Syva Co................................ Emit d.a.u. Cannabinoid 100 ng Kit: 1000 tests.......... 9/12/86
Assay, Catalog No. 3M119.
Syva Co................................ Emit d.a.u. Cannabinoid 100ng Kit: 3 vials............. 7/31/89
Assay Calibrator.
Syva Co................................ Emit d.a.u. Cannabinoid 100ng Vial: 3ml................ 7/31/89
Assay Low Calibrator.
Syva Co................................ Emit d.a.u. Cannabinoid 100ng Vial: 3ml................ 7/31/89
Assay Medium Calibrator.
Syva Co................................ Emit d.a.u. Cannabinoid 20ng Kit: 100 tests........... 2/10/86
Assay Catalog No. 3M619.
Syva Co................................ Emit d.a.u. Cannabinoid 20ng Vial: 10ml Lyophilized 2/10/86
Enzyme Reagent B. Powder.
Syva Co................................ Emit d.a.u. Cannabinoid 50 ng Vial: 5 ml............... 6/1/88
Assay Calibrators, Low And
Medium: Cat. No. 3M509.
Syva Co................................ Emit d.a.u. Cannabinoid 50 ng Kit: 100 tests........... 6/1/88
Assay: Cat. No. 3M519.
Syva Co................................ Emit d.a.u. Cannabinoid Assay Kit: 100 tests........... 9/24/84
Catalog No. 3M019.
Syva Co................................ Emit d.a.u. Cannabinoid Urine Kit: 3 Vials, 3ml Each... 1/3/80
Calibrator Set.
Syva Co................................ Emit d.a.u. Cocaine Metabolite Kit: 100 tests, 1000 9/27/84
Assay Catalog Nos. 3H019, tests.
3H119.
Syva Co................................ Emit d.a.u. Low Calibrator A... Bottle: 5ml.............. 7/20/84
Syva Co................................ Emit d.a.u. Low Calibrator A... Vial: 5 ml............... 6/30/89
Syva Co................................ Emit d.a.u. Low Calibrator A, 5 ml vial................ 10/6/88
Catalog No. 3C579.
Syva Co................................ Emit d.a.u. Low Calibrator B... Bottle: 5ml.............. 8/3/84
Syva Co................................ Emit d.a.u. Medium Calibrator A Bottle: 5ml.............. 7/20/84
Syva Co................................ Emit d.a.u. Medium Calibrator A Vial: 5 ml............... 6/30/89
Syva Co................................ Emit d.a.u. Medium Calibrator 5 ml vial................ 10/6/88
A, Catalog No. 3C569.
Syva Co................................ Emit d.a.u. Medium Calibrator B Bottle: 5ml.............. 8/3/84
Syva Co................................ Emit d.a.u. Methadone Assay Kit: 100 tests, 1000 10/5/84
Catalog Nos. 3E019, 3E119. tests.
[[Page 13756]]
Syva Co................................ Emit d.a.u. Monoclonal Kit: 100 tests, 1000 10/6/88
Amphetamine/Methamphetamine tests.
Assay, Catalog No3C549 100
tests, 3C559 1000 tests.
Syva Co................................ Emit d.a.u. Opiate Assay Kit: 100 tests, 1000 9/27/84
Catalog Nos. 3B019, 3B119. tests.
Syva Co................................ Emit d.a.u. Phencyclidine Assay Bottle: 6ml.............. 2/1/79
Kit Containing: (1)Emit
Phencyclidine Enzyme Reagent B.
Syva Co................................ Emit-Qst Phenobarbital Assay, Kit: 50 Vials............ 1/18/84
Catalog Number 6D819.
Syva Co................................ Emit-Tox Serum Barbiturate Kit: 50 tests............ 5/22/79
Assay.
Syva Co................................ Emit-Tox Serum Calibrators; Low Bottle: 3ml.............. 2/1/79
and Medium.
Syva Co................................ Emit-d.a.u. Methaqualone Assay. Kit: 100 tests........... 4/27/82
Syva Co................................ Emit-st Amphetamine Assay...... Vial: 3ml, 80 vials/kit.. 10/3/80
Syva Co................................ Emit-st Barbiturate Assay...... Vial: 3ml, 80 vials/kit.. 10/3/80
Syva Co................................ Emit-st Benzodiazepine Assay... Vial: 3ml, 80 vials/kit.. 10/3/80
Syva Co................................ Emit-st Cannabinoid Assay Vial: 6ml, 80 Vials/Kit.. 9/27/84
Catalog No. 3M319.
Syva Co................................ Emit-st Cannabinoid Calibrator. Vial: 3ml, 2 vials/kit... 7/10/81
Syva Co................................ Emit-st Cannabinoid Controls... Vial: 3ml, 2 vials/kit... 7/10/81
Syva Co................................ Emit-st Opiate Assay........... Kit: 3ml, 80 vials/kit... 10/3/80
Syva Co................................ Emit-st Phencyclidine Assay.... Vial: 3ml, 80 vials/kit.. 1/7/81
Syva Co................................ Emit-st Serum Barbiturate Assay Vial: 3ml, 80 vials/kit.. 2/16/81
Syva Co................................ Emit-st Serum Benzodiazepine Vial: 3ml, 80 vials/kit.. 2/16/81
Assay.
Syva Co................................ Emit-st Serum Calibrator....... Vial: 3ml................ 2/16/81
Syva Co................................ Emit-st Serum Controls......... Vial: 3ml, 2 vials/kit... 2/16/81
Syva Co................................ Emit-st Serum Phencyclidine Vial: 3ml, 80 vials/kit.. 2/16/81
Assay.
Syva Co................................ Emit-st Urine Calibrator A..... Vial: 1ml, 3 vials/kit... 10/3/80
Syva Co................................ Emit-st Urine Cocaine Vial: 3 ml, 80 Vials/Kit. 3/16/82
Metabolite Assay.
Syva Co................................ Emit-st Urine Controls A....... Vial: 1ml, 6 vials/kit... 10/3/80
Syva Co................................ Emit-st Urine Methadone Assay.. Vial: 3ml , 80 vials/kit. 3/22/82
Syva Co................................ Emit-st Urine Methaqualone Kit: 80 Vials............ 4/27/82
Assay.
Syva Co................................ Emit-st Urine Methaqualone Vial: 3ml................ 4/27/82
Calibrator.
Syva Co................................ Emit-st Urine Methaqualone Vial: 3ml................ 4/27/82
Controls.
Syva Co................................ IL test AED Calibrator 1....... Vial: 5 ml............... 4/6/90
Syva Co................................ IL test AED Calibrator 2....... Vial: 5ml................ 4/6/90
Syva Co................................ IL test AED Calibrator 3....... Vial: 5ml................ 4/6/90
Syva Co................................ IL test AED Calibrator 4....... Vial: 5ml................ 4/6/90
Syva Co................................ IL test AED Calibrator 5....... Vial: 5ml................ 4/6/90
Syva Co................................ IL test Cannabinoid 100ng, Vial: 5ml................ 4/6/90
400ng calibrator.
Syva Co................................ IL test set A calibrator....... Vial: 5ml................ 4/6/90
Syva Co................................ IL test set A control.......... Vial: 5ml................ 4/6/90
Syva Co................................ IL test set B calibrator....... Vial: 5ml................ 4/6/90
Syva Co................................ IL test set B control.......... Vial: 5ml................ 4/6/90
Syva Co................................ Vista Thyroxine Uptake Reagent Cartridge: 4ml........... 1/22/93
Cartridge.
Syva Co................................ Vista Triiodothyronine (T3) Cartridge: 2.02 ml....... 9/11/92
Reagent Cartridge.
Tempil Division. Big Three Industries, Tempilaq Striped Mylar......... Plastic Sheet: 6 by 12 9/22/76
Inc. in. 50 sheets per
envelope.
The Binding Site, Inc.................. I.F.E. Buffer.................. Plastic Bottle: 125ml.... 12/5/91
The Binding Site, Inc.................. Immunofixation Kit............. Kit: 125ml Plastic Bottle 12/5/91
The Theta Corp......................... Allobarbital No.FP305.......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Amobarbital No. FP313.......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Amphetamine No. FP604.......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Anileridine No. FP203.......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Aprobarbital No. FP306......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Barbital No.FP314.............. Vial: 2ml................ 4/10/73
The Theta Corp......................... Benzoylecgonine FP-1001........ Vial: 2 ml............... 1/24/87
The Theta Corp......................... Butabarbital No. FP315......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Butalbital No. FP307........... Vial: 2ml................ 4/10/73
The Theta Corp......................... Chloral Betaine No. FP502...... Vial: 2ml................ 4/10/73
The Theta Corp......................... Chloral Hydrate No. FP501...... Vial: 2ml................ 4/10/73
The Theta Corp......................... Cocaine No. FP601.............. Vial: 2ml................ 4/10/73
The Theta Corp......................... Codeine No. FP102.............. Vial: 2ml................ 4/10/73
The Theta Corp......................... Cyclobarbital No. FP308........ Vial: 2ml................ 4/10/73
The Theta Corp......................... Dihydrocodeine No. FP108....... Vial: 2ml................ 4/10/73
The Theta Corp......................... Diphenoxylate No. FP205........ Vial: 2ml................ 4/10/73
The Theta Corp......................... Ethchlorvynol No. FP508........ Vial: 2ml................ 4/10/73
The Theta Corp......................... Ethylmorphine No. FP106........ Vial: 2ml................ 4/10/73
The Theta Corp......................... FP207.......................... Vial: 2ml................ 9/4/80
The Theta Corp......................... FP210.......................... Vial: 2ml................ 5/15/84
The Theta Corp......................... FP214.......................... Vial: 2ml................ 4/10/84
The Theta Corp......................... FP327.......................... Vial: 2ml................ 4/10/84
The Theta Corp......................... FP405.......................... Vial: 2ml................ 3/8/79
The Theta Corp......................... FP411.......................... Vial: 2ml................ 5/15/84
The Theta Corp......................... FP412.......................... Vial: 2ml................ 5/15/84
The Theta Corp......................... FP416.......................... Vial: 2ml................ 5/15/84
The Theta Corp......................... FP512.......................... Vial: 2ml................ 3/8/79
[[Page 13757]]
The Theta Corp......................... FP513.......................... Vial: 2ml................ 3/8/79
The Theta Corp......................... FP514.......................... Vial: 2ml................ 5/15/84
The Theta Corp......................... FP515.......................... Vial: 2ml................ 3/8/79
The Theta Corp......................... FP556.......................... Vial: 2ml................ 4/10/84
The Theta Corp......................... FP601A......................... Vial: 2ml................ 5/15/84
The Theta Corp......................... FP607.......................... Vial: 2ml................ 5/15/84
The Theta Corp......................... FP609.......................... Vial: 2ml................ 5/15/84
The Theta Corp......................... Fentanyl No. FP211............. Vial: 2ml................ 4/10/73
The Theta Corp......................... Glutethimide No. FP404......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Heptabarbital No. FP309........ Vial: 2ml................ 4/10/73
The Theta Corp......................... Hexabarbital No. FP303......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Hydrocodone No. FP107.......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Hydromorphone No. FP103........ Vial: 2ml................ 4/10/73
The Theta Corp......................... Levorphanol No. FP208.......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Marker Mixture No. FPM-104..... Vial: 2ml................ 4/10/73
The Theta Corp......................... Marker Mixture No. FPM-201..... Vial: 2ml................ 4/10/73
The Theta Corp......................... Meperidine No.FP201............ Vial: 2ml................ 4/10/73
The Theta Corp......................... Mephobarbital No. FP301........ Vial: 2ml................ 4/10/73
The Theta Corp......................... Meprobamate No. FP402.......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Methadone No. FP206............ Vial: 2ml................ 4/10/73
The Theta Corp......................... Methamphetamine No. FP603...... Vial: 2ml................ 4/10/73
The Theta Corp......................... Metharbital No. FP302.......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Methohexital No. FP304......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Methylphenidate No. FP605...... Vial: 2ml................ 4/10/73
The Theta Corp......................... Monthly Urine Test No. FPM-103. Vial: 2ml................ 4/10/73
The Theta Corp......................... Morphine No. FP101............. Vial: 2ml................ 4/10/73
The Theta Corp......................... Oxycodone No. FP109............ Vial: 2ml................ 4/10/73
The Theta Corp......................... Oxymorphone No. FP104.......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Paraldehyde No.FP506........... Vial: 2ml................ 4/10/73
The Theta Corp......................... Pentobarbital No. FP318........ Vial: 2ml................ 4/10/73
The Theta Corp......................... Phenazocine No. FP213.......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Phenmetrazine No. FP606........ Vial: 2ml................ 4/10/73
The Theta Corp......................... Phenobarbital No. FP320........ Vial: 2ml................ 4/10/73
The Theta Corp......................... Piminodine No. FP202........... Vial: 2ml................ 4/10/73
The Theta Corp......................... Probarbital No. FP319.......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Secobarbital No. FP310......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Talbutal No. FP311............. Vial: 2ml................ 4/10/73
The Theta Corp......................... Test Mixture SM No. 1.......... Vial: 2ml................ 6/19/74
The Theta Corp......................... Test Mixture SM No. 2.......... Vial: 2ml................ 6/19/74
The Theta Corp......................... Test Mixture SM No. 3.......... Vial: 2ml................ 6/19/74
The Theta Corp......................... Test Mixture SM No. 4.......... Vial: 2ml................ 6/19/74
The Theta Corp......................... Test Mixture SP No. 1.......... Vial: 2ml................ 6/19/74
The Theta Corp......................... Test Mixture SP No. 2.......... Vial: 2ml................ 6/19/74
The Theta Corp......................... Test Mixture SP No. 3.......... Vial: 2ml................ 6/19/74
The Theta Corp......................... Test Mixture SP No. 4.......... Vial: 2ml................ 6/19/74
The Theta Corp......................... Test Mixture TM No. 1.......... Vial: 2ml................ 6/19/74
The Theta Corp......................... Test Mixture TM No. 2.......... Vial: 2ml................ 6/19/74
The Theta Corp......................... Thiamylal No. FP322............ Vial: 2ml................ 4/10/73
The Theta Corp......................... Thiopental No. FP321........... Vial: 2ml................ 4/10/73
The Theta Corp......................... Vinbarbital No. FP312.......... Vial: 2ml................ 4/10/73
The Theta Corp......................... Weekly Urine Test (FDA) No. FPM- Vial: 2ml................ 4/10/73
101.
The Theta Corp......................... Weekly Urine Test (States) No. Vial: 2ml................ 4/10/73
FPM-102.
The Upjohn Company..................... DDHQ Spent Oxidant............. Fiber Drum: 30 Gallons... 12/19/94
Toxi-Lab, Inc.......................... Proficiency Sample............. Plastic bottle containing 6/22/82
40 ml.
Toxi-Lab, Inc.......................... Special Toxi-Discs............. Plastic vial or bottle 3/30/77
containing 50 Standard
Discs.
Toxi-Lab, Inc.......................... Supplemental Standard Toxi- Plastic vial containing 6/15/88
Discs No. SD-4 Catalog No. 234. 50 Standard Discs.
Toxi-Lab, Inc.......................... Supplemental Standard Toxi- Plastic vial containing 6/15/88
Discs No. SD-5 Catalog No. 235. 50 Standard Discs.
Toxi-Lab, Inc.......................... Supplemental Standard Toxi- Plastic vial containing 6/15/88
Discs No. SD-6 Catalog No. 236. 50 Standard Discs.
Toxi-Lab, Inc.......................... Toxi-Control................... Plastic bottle containing 3/30/77
50 ml.
Toxi-Lab, Inc.......................... Toxi-Control THC............... Plastic bottle containing 10/5/83
50 ml.
Toxi-Lab, Inc.......................... Toxi-Disc A Series............. Plastic vial containing 5/6/75
50 Standard Discs.
Toxi-Lab, Inc.......................... Toxi-Disc B Series............. Plastic vial containing 5/6/75
50 Standard Discs.
Toxi-Lab, Inc.......................... Toxi-Discs Library II, No 3 Plastic vial containing 6/15/88
Catalog No. 131C. 50 Standard Discs.
Toxi-Lab, Inc.......................... Toxi-Discs Library II, No. 1 Plastic vial containing 6/15/88
Catalog No. 131A. 50 Standard Discs.
[[Page 13758]]
Toxi-Lab, Inc.......................... Toxi-Discs Library II, No. 10 Plastic vial containing 6/15/88
Catalog No. 131K. 50 Standard Discs.
Toxi-Lab, Inc.......................... Toxi-Discs Library II, No. 11, Plastic vial containing 6/15/88
Catalog No. 131L. 50 Standard Discs.
Toxi-Lab, Inc.......................... Toxi-Discs Library II, No. 12 Plastic vial containing 6/15/88
Catalog No. 131M. 50 Standard Discs.
Toxi-Lab, Inc.......................... Toxi-Discs Library II, No. 2 Plastic vial containing 6/15/88
Catalog No. 131B. 50 Standard Discs.
Toxi-Lab, Inc.......................... Toxi-Discs Library II, No. 5 Plastic vial containing 6/15/88
Catalog No. 131E. 50 Standard Discs.
Toxi-Lab, Inc.......................... Toxi-Discs Library II, No. 8 Plastic vial containing 6/15/88
Catalog No. 131H. 50 Standard Discs.
Toxi-Lab, Inc.......................... Toxi-Discs THC................. Plastic vial containing 10/5/83
50 Standard Discs.
Toxi-Lab, Inc.......................... Toxi-Grams..................... Glass jar containing 50 9/24/80
or 100 Chromatograms.
Toxi-Lab, Inc.......................... Toxi-Lab Cannabinoid (THC) Kit: 50 tests............ 10/5/83
Screen.
Tudor Laboratories, Inc................ FPIA Phenobarbital Kit--Cat. Kit: 100 tests........... 11/27/89
No. 105.
Tudor Laboratories, Inc................ Phenobarbital Calibrator Kit Kit: 6 vials............. 11/27/89
Cat. No. 205.
Tudor Laboratories, Inc................ Phenobarbital Calibrators B, C, Vial: 4.0 ml............. 11/27/89
D, E, F.
Universal Reagents, Inc................ Drug Monitoring & Toxicology Bottle: 10ml............. 10/9/90
No. DM 90-5, DM-62.
Utak Laboratories...................... Toxicology Control-High Range Bottle: 10ml............. 4/14/80
Anticonvulsants No. 71910.
Utak Laboratories...................... Toxicology Control-High Range Bottle: 10ml............. 4/14/80
Barbiturates No. 71916.
Utak Laboratories...................... Toxicology Control-High Range Bottle: 10ml............. 4/14/80
Hypnotic Plus Acetaminophem,
No. 71918.
Utak Laboratories...................... Toxicology Control-High Range Bottle: 10ml............. 4/14/80
Hypnotic Plus Salicylate, No.
71920.
Utak Laboratories...................... Toxicology Control-Mid Range Bottle: 10ml............. 4/14/80
Anticonvulsants No. 71911.
Utak Laboratories...................... Toxicology Control-Mid Range Bottle: 10ml............. 4/14/80
Barbiturates No. 71917.
Utak Laboratories...................... Toxicology Control-Mid Range Bottle: 10ml............. 4/14/80
Hypnotic Plus Acetaminophem,
No. 71919.
Utak Laboratories...................... Toxicology Control-Mid Range Bottle: 10ml............. 4/14/80
Hypnotic Plus Salicylate, No.
71921.
Utak Laboratories...................... Toxicology Serum Control Dried Bottle: 10ml............. 7/29/82
#88112.
Utak Laboratories...................... Toxicology Serum Control Dried Bottle: 10ml............. 7/29/82
#88113.
Utak Laboratories...................... Toxicology Serum Control Dried Bottle: 10ml............. 7/29/82
#88120.
Utak Laboratories...................... Toxicology Serum Control-Dried In Bottles............... 5/24/76
Catalog Nos. 44610, 44612,
44632, 44635, 44636, 44637,
44642, 44645, 44646, 44647,
44658.
Utak Laboratories...................... Toxicology Urine Control Dried Bottle: 20ml............. 7/29/82
#88100.
Utak Laboratories...................... Toxicology Urine Control Dried Bottle: 10ml............. 7/29/82
#88121.
Utak Laboratories...................... Toxicology Urine Control-Dried Bottle: 1 oz............. 5/24/76
Catalog Nos. 44650, 44651,
44652, 44653.
Ventrex Laboratories, Inc.............. PTH Antiserum.................. Vial: 5ml................ 4/12/90
Ventrex Laboratories, Inc.............. PTH Assay Buffer............... Vial: 10ml............... 4/12/90
Ventrex Laboratories, Inc.............. PTH Omega Radioimmunoassay Kit. Kit: 60 tests............ 4/12/90
Ventrex Laboratories, Inc.............. PTH Second Antibody............ Vial: 10ml............... 4/12/90
Ventrex Laboratories, Inc.............. PTH Tracer Buffer.............. Vial: 5 ml............... 4/12/90
Wien Laboratories, Inc................. 3H Dihydrotestosterone Cat. No. Vial: 5.5ml.............. 2/21/91
D-1916.
Wien Laboratories, Inc................. 3H Epi-Testosterone Cat. No. T- Vial: 5.5ml.............. 2/21/91
1028.
Wien Laboratories, Inc................. 3H Testosterone Cat. No. T-3027 Vial: 5.5ml.............. 2/21/91
Wien Laboratories, Inc................. ANS Buffer pH 8.6 Catalog No. T- Plastic Bottle: 100ml.... 5/14/75
5144.
Wien Laboratories, Inc................. Buffer Reagent pH 8.6 Catalog Bottle: 4oz.............. 12/22/72
No. T-5065.
Wien Laboratories, Inc................. Coated Charcoal Suspension No. Bottle: 4oz.............. 12/22/72
T-5077.
Wien Laboratories, Inc................. Dihydrotestosterone Standard Vial: 5.5ml.............. 2/21/91
1ng/ml Cat. No. D-1928.
Wien Laboratories, Inc................. Epi-Testosterone Standard, 10ng/ Vial: 5.5ml.............. 2/21/91
ml Cat. No. T-1016.
Wien Laboratories, Inc................. Epi-Testosterone Test Set Cat. Kit: 2 Bottles........... 2/21/91
No. TS-1010.
Wien Laboratories, Inc................. Methamphetamine: HRP EIA Vial: 5ml, 10ml.......... 6/25/90
Conjugate.
Wien Laboratories, Inc................. T3 Buffer Reagent Catalog No. T- Plastic Vial: 20ml....... 9/13/78
5156.
Wien Laboratories, Inc................. Testosterone Standard, 10ng/ml Vial: 5.5ml.............. 2/21/91
Cat. No. T-3039.
Wien Laboratories, Inc................. Testosterone Test Set Cat. No. Kit: 2 Bottles........... 2/21/91
TS-333.
Windsor Laboratories, Inc.............. Calibrators FPR Phenobarbital.. Kit: 6 Vials............. 10/30/86
Windsor Laboratories, Inc.............. Phenobarbital Fluorescence Kit: 100 tests........... 11/20/86
Polarization Immunoassay Kit.
----------------------------------------------------------------------------------------------------------------
[[Page 13759]]
Dated: March 18, 1996.
Gene R. Haislip,
Deputy Assistant Administrator, Office of Diversion Control, Drug
Enforcement Administration.
[FR Doc. 96-7385 Filed 3-27-96; 8:45 am]
BILLING CODE 4410-09-P
Complete official Federal Register PDF
FR Doc. 96-7364 Removal of Procedures for Receipt and Consideration of Written Comments Submitted Under Subsection 2(b) of the Antitrust Procedures and Penalties Act
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13763-13764]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7364]
-----------------------------------------------------------------------
DEPARTMENT OF JUSTICE
28 CFR Part 50
[AG ORDER NO. 2013-96]
RIN 1105-AA40
Removal of Procedures for Receipt and Consideration of Written
Comments Submitted Under Subsection 2(b) of the Antitrust Procedures
and Penalties Act
AGENCY: Department of Justice.
[[Page 13764]]
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This rule removes procedures for receipt and consideration of
written comments submitted under subsection 2(b) of the Antitrust
Procedures and Penalties Act from the Code of Federal Regulations. The
regulation is unnecessary, and its removal will help to streamline the
Code of Federal Regulations.
EFFECTIVE DATE: This final rule is effective March 28, 1996.
FOR FURTHER INFORMATION CONTACT: Howard Blumenthal, Assistant Chief,
Legal Policy Section, Antitrust Division, Room 3121 Main Justice
Building, 10th & Pennsylvania Avenue NW., Washington, DC 20530;
telephone (202) 514-2513.
SUPPLEMENTARY INFORMATION: 28 CFR 50.13 was promulgated pursuant to
section 2 of the Antitrust Procedures and Penalties Act (``Tunney Act''
or ``Act''), Pub. L. No. 93-528 (codified at 15 U.S.C. 16(b)-(h), as
amended). The Tunney Act requires that the Department of Justice
(``Department'') file proposed consent judgments in civil cases brought
under the antitrust laws with the district court before which such
cases are pending for a judicial determination that entry of such
judgments would be in the public interest. At least 60 days prior to
the effective date of any such judgment, the Department must publish in
the Federal Register the proposed judgment and a competitive impact
statement (``CIS'') setting forth certain additional information
including the background of the violation, an explanation of the
proposed consent judgment, and an evaluation of alternatives to the
proposed judgment actually considered by the United States. Summaries
of the judgment and CIS must also be published in several appropriate
newspapers. Both the Federal Register and newspaper notices must
solicit public comments concerning the proposed consent judgment. The
Department must supply the court with, and publish in the Federal
Register, copies of any comments received and the response of the
Department of such comments.
The Act requires the Attorney General or his designee to establish
procedures to carry out the Act's provisions concerning the receipt and
consideration of comments. 15 U.S.C. 16(d). In response, the Department
promulgated 28 CFR 50.13, which provides that comments should be
directed to the chief of the litigating section of the Antitrust
Division (``Division'') to which the case is assigned, and sets out
certain general procedures for handling such comments once they have
been received by the Division.
This regulation is not necessary, nor is it particularly helpful.
First, while the regulation provides generally that comments should be
sent to the chief of the section of the Antitrust Division handling the
case, the name and address of the Division attorney to whom comments
should be sent concerning particular proposed consent judgments is
always set out in the Federal Register and newspaper notices requesting
such comments. Second, more complete Division procedures for handling
Tunney Act comments once they have been received than are set out in 28
CFR 50.13 can be established by the Department without the need for a
regulation, and these procedures can then be adjusted without the need
formally to revise a regulation.
Therefore, because 28 CFR 50.13 is unnecessary and is not required
to be promulgated by the Tunney Act, the Department is removing this
provision from the Code of Federal Regulations.
Administrative Procedure Act, 5 U.S.C. 553
Because this regulation imposes no new requirements or
restrictions, the Department of Justice finds good cause for exempting
it from the provisions of the Administrative Procedure Act (5 U.S.C.
553) requiring notice of proposed rulemaking, the opportunity for
public comment, and delay in effective date.
Regulatory Flexibility Act
The Attorney General, in accordance with the Regulatory Flexibility
Act (5 U.S.C. 605(b)), has reviewed this regulation and by approving it
certifies that this regulation will not have a significant economic
impact on a substantial number of small entities.
Executive Order 12612
This regulation will not have substantial direct effects on the
states, on the relationship between the national government and the
states, or on the distribution of power and responsibilities among the
various levels of government. Therefore, in accordance with E.O. 12612,
it is determined that this rule does not have sufficient federalism
implications to warrant the preparation of a Federalism Assessment.
Executive Order 12866
This regulation has been drafted and reviewed in accordance with
E.O. 12866, Sec. 1(b), Principles of Regulation. The Department of
Justice has determined that this rule is not a ``significant regulatory
action'' under E.O. 12866, Sec. 3(f), and accordingly this rule has not
been reviewed by the Office of Management and Budget.
List of Subjects in 28 CFR Part 50
Administrative practice and procedure, Antitrust.
Accordingly, for the reasons set forth in the preamble, part 50 of
chapter I of title 28 of the Code of Federal Regulations is amended as
follows:
PART 50--STATEMENTS OF POLICY
1. The authority citation for part 50 is revised to read as
follows:
Authority: 5 U.S.C. 301, 552, 552a; 21 U.S.C. 881(f)(2); 28
U.S.C. 508, 509, 510, 516, 517, 518, 519; E.O. 12250, 45 FR 72995, 3
CFR, 1980 Comp., p. 298.
Sec. 50.13 [Removed]
2. Section 50.13 is removed.
Dated: March 19, 1996.
Janet Reno,
Attorney General.
[FR Doc. 96-7364 Filed 3-27-96; 8:45 am]
BILLING CODE 4410-01-M
Complete official Federal Register PDF
FR Doc. 96-7334 Revisions to Rules Regulating Money Market Funds
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13956-13984]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7334]
[[Page 13955]]
_______________________________________________________________________
Part IV
Securities and Exchange Commission
_______________________________________________________________________
17 CFR Part 230, et al.
Revisions to Rules Regulating Money Market Funds; Final Rule
Federal Register / Vol. 61, No. 61 / Thursday, March 28, 1996 / Rules
and Regulations
[[Page 13956]]
SECURITIES AND EXCHANGE COMMISSION
17 CFR Parts 230, 239, 270, and 274
[Release Nos. 33-7275; IC-21837; S7-34-93]
RIN 3235-AE17
Revisions to Rules Regulating Money Market Funds
AGENCY: Securities and Exchange Commission.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Commission is adopting amendments to rules and forms under
the Securities Act of 1933 and the Investment Company Act of 1940 that
govern money market funds. The amendments tighten the risk-limiting
conditions imposed on tax exempt money market funds by rule 2a-7 under
the Investment Company Act of 1940; impose additional disclosure
requirements on tax exempt funds; and make certain other changes
applicable to all money market funds. The amendments are designed to
reduce the likelihood that a tax exempt fund will not be able to
maintain a stable net asset value.
EFFECTIVE DATE: June 3, 1996. Several different compliance dates apply
to the amendments. For specific compliance dates for particular
amendments, see Section V. of this Release.
FOR FURTHER INFORMATION CONTACT: Martha H. Platt, Senior Attorney,
(202) 942-0725, or Kenneth J. Berman, Assistant Director, Office of
Regulatory Policy, (202) 942-0690, Division of Investment Management,
Securities and Exchange Commission, 450 Fifth Street, N.W., Washington,
D.C. 20549. Requests for formal interpretive advice should be directed
to the Office of Chief Counsel (202) 942-0659, Division of Investment
Management, 450 Fifth Street, N.W., Washington, D.C. 20549.
SUPPLEMENTARY INFORMATION: The Securities and Exchange Commission
(``Commission'') is adopting amendments to rule 2a-7 [17 CFR 270.2a-7]
(``rule 2a-7'' or the ``rule'') under the Investment Company Act of
1940 [15 U.S.C. 80a-1 et seq.] (``1940 Act''), the rule governing the
operations of money market funds (``money funds'' or ``funds'').1
The Commission is also adopting a new rule, rule 17a-9 under the 1940
Act [17 CFR 270.17a-9], and amendments to the following rules and
forms: rule 134 under the Securities Act of 1933 [17 CFR 230.134];
rules 2a41-1, 12d-3 and 31a-1 under the 1940 Act [17 CFR 270.2a-41-1,
270.12d3-1, and 270.31a-1]; Form N-1A [17 CFR 239.15A and 274.11A];
Form N-3 [17 CFR 239.17a and 274.11b]; and Form N-SAR [17 CFR 274.101].
The Commission is also publishing three new or revised staff guides to
Forms N-1A and N-3 that do not appear in the Code of Federal
Regulations.
\1\ Unless otherwise noted, all references to rule 2a-7, as
amended, or any paragraph of the rule, will be to 17 CFR 270.2a-7 as
amended by this Release.
---------------------------------------------------------------------------
Table of Contents
Executive Summary
I. Background
II. Amendments to Rule 2a-7
A. Preliminary Matters
B. Portfolio Quality and Diversification
1. Five Percent Diversification Test
a. Application to Tax Exempt Funds
b. Scope of the Diversification Standards
2. Quality Limitations on Portfolio Securities
a. Proposed Limitations for Single State Funds
b. Application of the Second Tier Securities Tests to Conduit
Securities
c. Definition of the Term ``Conduit Security''
C. Diversification and Quality Standards for Put Providers
1. Put Diversification Standards
a. Uniform Diversification Standards for Conditional and
Unconditional Puts
b. The Twenty-Five Percent Put Basket
c. Issuer-Provided Demand Features
d. Multiple Puts and Guarantees
2. Quality Standards
a. Rating Requirement for Demand Features
b. Providers of Puts in Excess of Five Percent of Fund Assets
c. Certain Unrated Securities
3. Conditional Demand Features
4. Other Issues Applicable to Put Providers
a. Accrued Interest
b. Notice of Substitution of Put Provider
c. Liquidity Requirements for Money Funds and the Three Business
Day Settlement Cycle
5. Short-Term Ratings
D. Other Diversification and Quality Standards
1. Repurchase Agreements
2. Pre-Refunded Bonds
3. Diversification Safe Harbor
4. Three-Day Safe Harbor
E. Asset Backed Securities and Synthetic Securities
1. Background
2. Definitions
3. Diversification Standards
a. Diversification: General
(1) Special Purpose Entity as Issuer
(2) Looking through the Special Purpose Entity
b. Diversification: First Loss Guarantees
4. Quality Standards
5. Maturity Standards
F. Variable and Floating Rate Securities
1. Maturity Determinations: Floating Rate Securities
2. Maturity Determinations: Variable Rate Securities
3. Adjustable Rate Government Securities
4. Other Issues Concerning Adjustable Rate Securities
a. Background
b. Recordkeeping Requirement
G. Other Amendments to Rule 2a-7
1. U.S. Dollar Denominated Instruments
2. Investment in Other Money Funds
3. Board Approval and Reassessment of Certain Securities
4. Recordkeeping
5. Defaulted Securities
6. Technical Amendments
III. Amendments to Disclosure Rules
A. Single State Funds
B. Disclosure Concerning Exposure to Put Providers
C. Risk Disclosure in Certain Communications
IV. Exemptive Rule Governing Purchases of Certain Portfolio
Securities By Affiliated Persons
V. Compliance Dates
A. General Compliance Date
B. Grandfathered Securities
C. Disclosure and Reporting
VI. Regulatory Flexibility Analysis
VII. Statutory Authority
VIII. Text of Rule and Form Amendments
Executive Summary
The Commission is adopting amendments to rule 2a-7 under the 1940
Act, the rule that governs the operations of money funds. The primary
purpose of the amendments is to tighten the risk-limiting conditions of
the rule applicable to tax exempt money funds and thereby reduce the
likelihood that a tax exempt fund will not be able to maintain a stable
net asset value. The amendments also affect taxable money funds in
certain respects. In addition, the Commission is adopting revisions to
the prospectus disclosure requirements for tax exempt money funds and a
new rule exempting certain transactions from the 1940 Act's limitations
on affiliated transactions.
In considering these amendments, the Commission has made changes
from the proposal designed to simplify compliance with the rule while
retaining the degree of flexibility necessary for money funds to
operate in accordance with their investment objectives. A brief summary
of the rule amendments is provided below.
Issuer Diversification and Quality Standards
The amendments extend the rule's diversification requirements to
tax exempt funds. A ``national'' tax exempt fund is limited to
investing no more than five percent of its assets in securities of a
single issuer (other than Government securities) (the ``Five Percent
Diversification Test''). A ``single state'' tax exempt fund is subject
to the same limitation but only with respect to seventy-five percent of
its assets; the remaining twenty-five percent of a
[[Page 13957]]
single state fund's assets (``twenty-five percent basket'') may be
invested in securities of one or more issuers, provided that they are
``first tier securities,'' as the term is defined in the rule. A tax
exempt fund is limited to investing five percent of its assets in
``second tier securities'' that are ``conduit securities,'' as these
terms are defined in the rule, with investment in the conduit
securities of any one issuer limited to one percent of fund assets. To
provide an additional element of flexibility, a security subject to an
``unconditional demand feature issued by a non-controlled person,'' as
defined in the rule, will be subject only to the rule's put
diversification requirements.
Diversification and Quality Standards Applicable to Providers of Puts
and Demand Features
The amendments provide that a fund cannot, with respect to seventy-
five percent of its assets, invest more than ten percent of its assets
in securities subject to puts from, or directly issued by, the same
institution. The remaining twenty-five percent of a fund's assets
(``twenty-five percent put basket'') may be subject to puts from, or
directly issued by, one or more institutions, provided that the puts
are first tier securities. A fund may not invest more than five percent
of its assets in securities subject to puts that are second tier
securities.
As proposed, a demand feature is an ``eligible security'' (as
defined in the rule) only if the demand feature (or its issuer) has
received a short-term rating from a nationally recognized statistical
rating organization (``NRSRO''). A conditional demand feature is an
eligible security if the limitations on its exercise can be readily
monitored by the fund's board of directors (or its delegate). The
amendments as adopted, however, do not specify the conditions that may
be included in a conditional demand feature.
Asset Backed Securities and ``Synthetic'' Securities
The amendments clarify the credit quality, diversification and
maturity determination standards applicable to synthetic and asset
backed securities (``ABSs''). Among other things, an ABS must have a
rating from a NRSRO to be eligible for fund investment.
Interest Rate Risk Analysis
The amendments also clarify that floating rate and variable rate
securities (``adjustable rate securities'') must reasonably be expected
to have market values that approximate their amortized cost values on
each interest rate adjustment date through their final maturity dates.
The amendments require funds to review periodically whether such
securities can reasonably be expected to have market values that
approximate their amortized cost values upon readjustment of their
interest rates.
Exemptive Rule
The Commission is adopting rule 17a-9 under the 1940 Act to permit
(but not require) an affiliate of a fund to purchase from the fund
securities that are no longer eligible securities at the higher of
their amortized cost values (including accrued interest) or market
values, without having to obtain a Commission order.
I. Background
Money funds are open-end management investment companies registered
under the 1940 Act that have as their investment objective generation
of income and preservation of capital and liquidity through investment
in short-term, high quality securities. More than $775 billion in
assets is currently invested in approximately 25 million money fund
shareholder accounts.2 Approximately sixteen percent of money fund
assets ($127 billion) are held by funds that have as their principal
objective distribution of income exempt from federal income taxes
(``tax exempt funds'').3 Approximately one third of the assets
held by tax exempt funds ($43 billion) are held by funds that seek to
distribute income that is also exempt from the income taxes of a
specific state or locality (``single state funds'').4 The balance
is held by funds that do not limit their investments to securities
exempt from the income taxes of a specific state (``national funds'').
\2\ IBC's Money Fund Report at 2, Dec. 29, 1995 (``Money Fund
Report''); Investment Company Institute Mutual Fund Fact Book at 58-
59 (35th ed. 1995). For a summary of the development of money funds,
which were first introduced in the early 1970s, see Investment
Company Act Rel. No. 17589 (July 17, 1990) [55 FR 30239 (July 25,
1990)] (``Release 17589'') at nn.3-7 and 15-18 and accompanying
text.
\3\ Money Fund Report, supra note 2, at 2.
\4\ Single state funds are currently available for sixteen
states: Alabama, Arizona, California, Connecticut, Florida,
Massachusetts, Michigan, Minnesota, Missouri, New Jersey, New York,
North Carolina, Ohio, Pennsylvania, Texas and Virginia. Id.
---------------------------------------------------------------------------
Unlike other investment companies, money funds seek to maintain a
stable share price, typically $1.00 per share. This stable share price
of $1.00 has encouraged investors to view investments in money funds as
an alternative to either bank deposits or checking accounts, even
though money funds lack federal deposit insurance, and there is no
guarantee that money funds will maintain a stable share price.5
\5\ A money fund is required to disclose prominently on the
cover page of its prospectus that: (1) the shares of the fund are
neither insured nor guaranteed by the U.S. Government; and (2) there
can be no assurance that the fund will be able to maintain a stable
net asset value of $1.00 per share. See, e.g., Item 1(vi) of Form N-
1A. The prescribed legend must appear in money fund sales literature
and advertisements as well. See paragraph (a) of rule 34b-1 under
the 1940 Act, and paragraph (a)(7) of rule 482 under the Securities
Act of 1933 (``1933 Act'').
---------------------------------------------------------------------------
To maintain a stable share price, most money funds use the
amortized cost method of valuation (``amortized cost method'') 6
or the penny-rounding method of pricing (``penny-rounding method'')
7 permitted by rule 2a-7. The 1940 Act and applicable rules
generally require investment companies to calculate current net asset
value per share by valuing portfolio instruments at market value or, if
market quotations are not readily available, at fair value as
determined in good faith by, or under the direction of, the board of
directors.8 Rule 2a-7 exempts money funds from these provisions,
but contains conditions designed to minimize the deviation between a
fund's stabilized share price and the market value of its
portfolio.9 If the deviation does become significant, the fund may
be required to take certain steps to address the
[[Page 13958]]
deviation, including selling and redeeming its shares at less than
$1.00 (``breaking a dollar'').10
\6\ Under the amortized cost method, portfolio securities are
valued by reference to their acquisition cost as adjusted for
amortization of premium or accretion of discount. Paragraph (a)(1)
of rule 2a-7, as amended.
\7\ Share price is determined under the penny-rounding method by
valuing securities at market value, fair value or amortized cost and
rounding the per share net asset value to the nearest cent on a
share value of a dollar, as opposed to the nearest one tenth of one
cent. Paragraph (a)(15) of rule 2a-7, as amended. See also
Investment Company Act Rel. No. 13380 (July 11, 1983) [48 FR 32555
(July 18, 1983)] (``Release 13380'') (adopting rule 2a-7) at n.6,
and Investment Company Act Rel. No. 12206 (Feb. 1, 1982) [47 FR 5428
(Feb. 5, 1982)] (``Release 12206'') (proposing rule 2a-7) at n.5.
\8\ See section 2(a)(41) of the 1940 Act [15 U.S.C. 80a-
2(a)(41)], together with rules 2a-4 and 22c-1 [17 CFR 270.2a-4 and
270-22c-1]. See also Accounting Series Release No. 118 (Dec. 23,
1970 [35 FR 19986 (Dec. 31, 1970)] (board may appoint persons to
assist in determination of securities' values).
\9\ If shares are sold or redeemed based on a net asset value
which has been either understated or overstated in comparison to the
amount at which portfolio instruments could have been sold, the
interests of either existing shareholders or new investors will be
diluted. See Investment Trusts and Investment Companies: Hearings on
S. 3580 Before a Subcomm. of the Sen. Comm. on Banking and Commerce,
76th Cong., 3d Sess. 136-138, 288 (1940), Report of the Staff of the
Division of Investment Management of the Securities and Exchange
Commission on the Regulation of Money Market Funds Before the
Subcommittee on Financial Institutions of the Senate Committee on
Banking, Housing, and Urban Affairs at 9 (Jan. 24, 1980), and
Release 17589, supra note 2, at n.7.
\10\ Paragraphs (c)(6) and (c)(7) of rule 2a-7, as amended.
---------------------------------------------------------------------------
In February 1991, the Commission amended rule 2a-7 (the ``1991
Amendments'') 11 to respond to developments in the commercial
paper market since the rule was adopted in 1983.12 Among other
things, the 1991 Amendments permit funds to invest only in ``eligible
securities,'' defined generally as securities that are rated in one of
the highest two short-term rating categories by the ``requisite
NRSROs,'' 13 or comparable unrated securities. Taxable funds must
further limit their investments in the securities of any one issuer
(other than Government securities) 14 to five percent of fund
assets (``Five Percent Diversification Test''),15 and limit fund
investment in second tier securities 16 to no more than five
percent of fund assets, with investment in the second tier securities
of any one issuer being limited to the greater of one percent of fund
assets or one million dollars (``Second Tier Securities
Tests'').17
\11\ Investment Company Act Rel. No. 18005 (Feb. 20, 1991) [56
FR 8113 (Feb. 27, 1991)] (``Release 18005''). The 1991 Amendments
were proposed in Release 17589, supra note 2, and became effective
on June 1, 1991.
\12\ Before the 1991 Amendments, rule 2a-7 permitted funds to
invest in ``high quality'' securities, that is, securities that had
received at least the second highest rating from one NRSRO. See
Release 13380, supra note 7, at n.34. In the summer of 1989 and the
spring of 1990, several taxable funds held approximately $125
million in defaulted commercial paper issued by Mortgage and Realty
Trust or Integrated Resources Inc.; in the fall of 1990 several
funds held commercial paper issued by MNC Financial Corp. that was
downgraded to below high quality, resulting in a significant decline
in its market price. In all three cases, the commercial paper had
the second highest rating from one NRSRO when purchased by the funds
and thus was eligible for fund investment under rule 2a-7 as then in
effect. Shareholders of funds that held these commercial paper
issues were not adversely affected, however, because each fund's
investment adviser purchased the paper from the funds at amortized
cost or principal amount or otherwise agreed to indemnify the fund.
See Release 17589, supra note 2, at n.18 and accompanying text.
\13\ ''Requisite NRSROs'' are defined as: (1) any two NRSROs
that have issued a rating with respect to an instrument or class of
debt obligations of an issuer, or (2) if only one NRSRO has issued a
rating with respect to such instrument or issuer at the time the
fund purchases or rolls over the security, that NRSRO. Paragraph
(a)(19) of rule 2a-7, as amended.
The term ``NRSRO'' is defined in paragraph (a)(14) of rule 2a-7
to have the same meaning as in the Commission's uniform net capital
rule [17 CFR 240.15c3-1(c)(2)(vi)(E), (F) and (H)]. The Commission's
Division of Market Regulation responds to requests for NRSRO
designation through no-action letters. Currently, the Division of
Market Regulation has designated six NRSROs: Duff and Phelps, Inc.,
Fitch Investors Services, Inc., Moody's Investors Service Inc.,
Standard & Poor's Corp., and two specialized NRSRO's: IBCA Limited
and its subsidiary, IBCA Inc., which is recognized as a NRSRO only
with respect to its ratings of debt issued by banks, bank holding
companies, United Kingdom building societies, broker-dealers and
broker-dealers' parent companies, and bank-supported debt, and
Thomson BankWatch, Inc., which is recognized as a NRSRO only with
respect to ratings for debt issued by banks, bank holding companies,
non-bank banks, thrifts, broker-dealers, and broker-dealers' parent
companies. In recognition of the expanded use of credit ratings in
Commission rules, the Commission solicited comment on the process
employed to designate rating agencies as NRSROs and the nature of
the Commission's oversight role with respect to NRSROs in a concept
release issued in 1994. Exchange Act Rel. No. 34616 (Aug. 31, 1994)
[59 FR 46314 (Sept. 7, 1994)].
\14\ Under paragraph (a)(13) of rule 2a-7, as amended, the term
``Government Security'' means those securities issued or guaranteed
by the United States or its instrumentalities--the definition of
that term given in section 2(a)(16) of the 1940 Act [15 U.S.C. 80a-
2(a)(16)]. It does not include securities issued or guaranteed by
the state governments or instrumentalities. For a discussion of
securities issued by government-sponsored enterprises (``GSEs''),
see Joint Report on the Government Securities Market (Jan. 1992) at
p. D-1.
\15\ Paragraph (c)(4)(i) of rule 2a-7, as amended. A limited
exception is provided for certain securities held for not more than
three business days. See infra Section II.D.4. of this Release.
\16\ A ``second tier security'' is an eligible security that is
not a ``first tier security.'' Paragraph (a)(20) of rule 2a-7, as
amended. A first tier security is generally a security that is rated
by the requisite NRSROs in the highest rating category for short-
term debt obligations, and comparable unrated securities. Paragraph
(a)(11) of rule 2a-7, as amended.
\17\ Paragraph (c)(4)(iv)(A) of rule 2a-7, as amended. The 1991
Amendments also shortened the maximum dollar-weighted portfolio
maturity that a fund may maintain from 120 to ninety days, and
codified the actions that a fund must take when certain events
occur, including defaults and rating downgrades. See paragraphs
(c)(2) and (c)(5) of rule 2a-7, as amended. The 1991 Amendments also
require that the cover page of fund prospectuses and certain fund
advertisements and sales literature state prominently that
investment in a fund is not guaranteed or insured by the U.S.
Government and that there can be no assurance that a fund can
maintain a stable net asset value per share. See Form N-1A, item
1(a)(vi); Form N-3, item 1(a)(ix); rule 482(a)(7) under the 1933 Act
[17 CFR 230.482(a)(7)]; and rule 34b-1 under the 1940 Act [17 CFR
270.34b-1].
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The 1991 Amendments did not apply the Five Percent Diversification
Test and the Second Tier Securities Tests to tax exempt funds.18
At that time, the Commission concluded that most tax exempt funds could
not satisfy these tests without substantially restructuring their
portfolios and, perhaps, losing some of their tax advantages.19
Single state funds were thought to present particular problems because
they concentrate their investments in debt securities issued by a
single state (or issuers located within that state), making
diversification more difficult to achieve. After the adoption of the
1991 Amendments, the Commission closely examined the characteristics of
short-term tax exempt securities, the markets in which they trade, and
tax exempt fund portfolios to determine what, if any, revisions to rule
2a-7 should be proposed to provide tax exempt fund investors with
protections similar to those afforded taxable fund investors by the
1991 Amendments.
\18\ Tax exempt funds continue to be subject to a
diversification test with respect to puts, as they had been prior to
the adoption of the 1991 Amendments. Paragraphs (c)(4)(v) and
(c)(4)(vi)(B) of rule 2a-7, as amended.
\19\ Release 17589, supra note 2, at Section II.6.
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The results of the Commission's examination of the tax exempt
markets were reflected in amendments to rule 2a-7 that were proposed
for comment on December 17, 1993 (``Proposing Release'').20 A
primary objective of the proposed amendments was to tighten the
diversification and portfolio quality standards applicable to tax
exempt funds to make them more similar to the standards applicable to
taxable funds. The proposed diversification and quality standards for
tax exempt funds took into account the different investment objectives
and portfolio compositions of national funds and single state funds,
and would have established different requirements for each type of tax
exempt fund.
\20\ Investment Company Act Rel. No. 19959 (Dec. 17, 1993) [58
FR 68585 (Dec. 28, 1993)] at Section I.A.
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The Commission received comments on the proposed amendments from
seventy-one commenters, including twelve municipal issuers, twenty-two
mutual fund complexes, and nine professional and trade
associations.21 The comment letters reflect a wide variety of
views on almost every topic discussed in the Proposing Release. A
number of commenters, expressing a general concern over the complexity
of the rule, urged that the rule's diversification and quality
standards for taxable and tax exempt funds be as consistent with each
other as practicable so that the rule would not become too complicated.
\21\ The comment period for the Proposing Release was extended
from April 6, 1994 to May 6, 1994. See Investment Company Act Rel.
No. 20184 (Mar. 31, 1994) [59 FR 16576 (Apr. 7, 1994)]. The comment
letters and a summary of the comments prepared by the Commission
staff are included in File No. S7-34-93.
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As part of its evaluation of the proposal, the Commission
considered recent events in the markets for municipal securities that
had a significant effect on money funds. One such event was the
bankruptcy of Orange County, California, a large municipal issuer of
short-term taxable and tax exempt notes.22 At the time of
[[Page 13959]]
Orange County's bankruptcy, a number of taxable and tax exempt funds
held notes issued by either Orange County or municipalities that
invested in investment pools managed by the Orange County treasurer
(``Orange County notes''). While no fund holding Orange County notes
has broken a dollar to date (in large part because of actions taken by
their advisers to support the funds' share prices) the Orange County
bankruptcy reinforced the need to amend rule 2a-7 to address issues
unique to tax exempt funds.23
\22\ On December 6, 1994, Orange County and investment pools
managed by the Orange County treasurer (``Orange County Pools'')
filed for protection under chapter 9 of the Federal Bankruptcy Code
[11 U.S.C. 901 et seq.]. The U.S. Bankruptcy Court for the Central
District of California subsequently determined that the Orange
County Investment Pools were not eligible to seek protection under
chapter 9. See ``Orange County, Mired in Investment Mess, Files for
Bankruptcy,'' Wall St. J., Dec. 7, 1994 at A1, A6; Michael Utley,
``Judge Rules Pool's Bankruptcy Filing Invalid, But Impact is Mostly
Academic,'' Bond Buyer, May 26, 1995 at 1, 36.
\23\ The Division of Investment Management addressed analogous
issues raised by the Orange County bankruptcy in July 1991, when New
Jersey regulators seized Mutual Benefit Life Insurance Company
(``MBLI''). A number of securities held by tax exempt funds were
subject to demand features provided by MBLI. After its seizure by
the New Jersey insurance regulators, MBLI could no longer honor its
obligations under the terms of the demand features it provided.
Advisers to funds holding MBLI-backed securities took various
actions to prevent shareholder losses that would have occurred had
the funds been required to break a dollar. The advisers either
repurchased the MBLI-backed instruments from the funds at their
amortized cost or obtained a replacement guarantor.
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II. Amendments to Rule 2a-7
A. Preliminary Matters
The Commission is today adopting the second of two sets of
amendments to rule 2a-7 under the 1940 Act designed to tighten the
risk-limiting conditions of the rule. These amendments primarily deal
with tax exempt funds; they are intended to provide investors in tax
exempt money market funds with protections similar to those provided to
investors in taxable funds by the 1991 Amendments. The Commission
believes that these amendments are necessary to provide greater
assurance that tax exempt money market funds meet investors'
expectations for safety and convenience by reducing the likelihood that
these funds will not be able to maintain a stable net asset value using
pricing procedures permitted by rule 2a-7.
The amendments to rule 2a-7 adopted in 1991, while not insulating
funds from all events that could threaten their net asset values,
appear to have reduced the riskiness of money market funds at a modest
cost to money fund investors in terms of reduced yield.24 The
Commission acknowledges that none of its rules can eliminate completely
the risk that a money market fund will break a dollar as a result of a
decrease in value of one or more of its portfolio securities. Thus, in
adopting these amendments, the Commission is prescribing minimum
standards designed not to ensure that a fund will not break a dollar,
but rather to require the management of funds in a manner consistent
with the investment objective of maintaining a stable net asset value.
\24\ See ``Has the SEC Reduced the Riskiness of Money Market
Funds? An Assessment of the Recent Changes to Rule 2a-7,'' S.
Collins and P. Mack (Nov. 1993)(study by economists for the Board of
Governors of the Federal Reserve System of money fund data indicated
decrease in risk and 20 basis point reduction in yields due to 1991
Amendments).
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A money fund's board of directors has oversight responsibility for
the sound management of the fund.25 The fund's adviser is
typically delegated responsibility for selecting appropriate
investments for the fund. Rule 2a-7 requires that fund investments
should be made in accordance with procedures ``reasonably designed'' to
maintain a stable net asset value or share price.26 In addition,
investments made in accordance with such procedures should be
consistent with maintaining a stable net asset value or share price.
Rule 2a-7 provides an analytical framework for fund advisers to follow
when making such investment decisions, including decisions regarding
new types of securities not specifically addressed by the rule,
Commission releases, or staff interpretive letters. As the Commission
stated in 1991, that a particular security is technically eligible for
fund investment under rule 2a-7 is not itself an adequate basis for an
investment in the security.27 For example, a number of money funds
recently invested in certain structured notes that were Government
securities on the asserted belief that the provisions of rule 2a-7
dealing with adjustable rate Government securities would permit such an
investment. When short-term interest rates increased in early 1994, the
values of these securities decreased and many became illiquid.28
These and other types of losses are more likely to be avoided if a fund
has in place, and operates in accordance with, procedures designed to
determine whether investment in the security is consistent not only
with the technical requirements of rule 2a-7, but with the rule's
analytical framework and with the fund's investment objective of
maintaining a stable net asset value.
\25\ See Investment Company Act Rel. No. 13380, supra note 7, at
nn. 40-42 and accompanying text.
\26\ Paragraphs (c)(6)(i) and (c)(7) of rule 2a-7, as amended.
\27\ Release 18005, supra note 11, at Section II.A.
\28\ See infra Section II.F.4.a. of this Release.
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In preparing these rules for adoption, the Commission has weighed
carefully the need to provide a similar level of safety for investors
in tax exempt and taxable money funds and the need, frequently
expressed by fund commenters, to allow tax exempt funds sufficient
flexibility to cope with a limited supply of high quality municipal
securities. For example, while the amendments adopted today limit all
funds to investing not more than five percent of assets in the
securities of any one issuer, the amendments limit the application of
this standard to only seventy-five percent of single state fund assets
and exclude from the diversification requirements for all funds
securities subject to certain types of demand features, refunding
agreements, and issuer-provided puts.29
\29\ See infra Sections II.B.1.b., II.C.1.c. and II.D.2. of this
Release, and paragraphs (c)(4) (i) and (ii), (c)(4)(vi)(A)(2) and
(c)(4)(vi)(B)(1) of rule 2a-7, as amended.
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In response to comment letters, the Commission has simplified the
operation of the rule in several respects. Where possible, the same
provisions are applied to all types of funds, separate diversification
tests for issuers of conditional and unconditional puts have been
eliminated, and fund board involvement is no longer required regarding
matters with which directors can be expected to have little expertise.
Wherever possible, headings and cross-references have been added to the
rule to assist a reader in understanding how its provisions
interrelate.
B. Portfolio Quality and Diversification
1. Five Percent Diversification Test
a. Application to Tax Exempt Funds. As discussed above, taxable
funds are subject to the Five Percent Diversification Test, that is, no
more than five percent of the total assets of a taxable money fund may
be invested in securities of a single issuer. In proposing to extend
diversification standards to tax exempt funds, the Commission took into
account the differences between national and single state funds. Most
national funds elect to meet the diversification requirements of
section 5(b)(1) of the 1940 Act,30 and
[[Page 13960]]
choose not to use the ``twenty-five percent basket'' (the portion of a
diversified fund's assets that is not required to be diversified) to
invest more than five percent of their assets in a single issuer. Most
commenters, including most mutual fund commenters, supported the
extension of the Five Percent Diversification Test to national funds,
which the Commission is adopting as proposed.31
\30\ Section 5(b)(1) provides that a diversified investment
company may not, with respect to seventy-five percent of its assets,
invest more than five percent of its assets in instruments of any
one issuer, other than cash, cash items, Government securities (as
defined in section 2(a)(16) of the 1940 Act [15 U.S.C. 80a-
2(a)(16)]) and securities of other investment companies. The
remaining twenty-five percent of its assets (the ``twenty-five
percent basket'') may be invested in any manner. If an investment
company invests more than five percent of its assets in a single
issuer, the entire investment is placed in the twenty-five percent
basket, and then aggregated with other investments that are greater
than five percent to determine whether the fund is in compliance
with section 5(b)(1). The investment company may not invest more
than twenty-five percent of its assets in a single issuer by
splitting its investment into two lots between the twenty-five
percent basket and the diversified portion of its portfolio. See
Lybrand, Ross Bros. & Montgomery (Oct. 24, 1941) (pub. avail. Nov.
22, 1991). Section 5(b)(1) also prohibits a diversified fund, with
respect to seventy-five percent of its assets, from investing in
securities that comprise more than ten percent of the outstanding
voting securities of an issuer.
\31\ Paragraph (c)(4)(i) of rule 2a-7, as amended.
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Unlike national funds, many single state funds are not diversified
under section 5(b)(1), and could not satisfy the Five Percent
Diversification Test because their investment objectives provide them
with a much narrower range of high quality investment
alternatives.32 Although the Commission expressed concern about
the risks involved in a non-diversified portfolio of a money fund, it
was unclear to the Commission that it would be possible for single
state funds to satisfy the Five Percent Diversification Test.
Accordingly, the proposed amendments would not have required single
state funds to comply with any issuer diversification test under the
rule. To reduce the risks associated with a non-diversified portfolio,
the Commission proposed to limit single state funds to investing in
first tier securities, and proposed additional disclosure requirements
to inform investors of the risks of an undiversified single state
fund.33 The Commission also asked commenters to consider whether
single state funds should be required to satisfy a diversification
standard under the rule.34
\32\ Proposing Release, supra note 20, at Sections II.A. and
II.A.2.
\33\ Proposed amendments to Form N-1A would have required a
single state fund to disclose in its prospectus risks related to
lack of diversification. Proposing Release, supra note 20, at
Section III.A.
\34\ Proposing Release, supra note 20, at Section II.A.2.
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Most commenters supported the exception from the Five Percent
Diversification Test for single state funds. Many of these commenters,
however, opposed the proposed first tier securities restriction, and
asserted that this requirement would exacerbate the supply problem
without making funds more safe by forcing single state funds to be less
diversified. Other commenters maintained that the rule should mandate
some diversification with respect to single state funds, which they
asserted present greater risks than other types of money funds. One
commenter suggested that single state funds offering securities from
``large'' states should be subject to the same diversification
standards as national funds. Another commenter went even further,
stating that the rule should impose the diversification standards
applicable to national funds to all single state funds. The views of
these commenters, as well as the Commission's experience in
administering rule 2a-7 since the amendments were proposed, have led
the Commission to reconsider its proposal to exempt single state funds
entirely from a diversification test.
In proposing the 1991 Amendments, the Commission noted that a
fund's ability to maintain a stable net asset value under the rule may
be impaired to the extent it invests heavily in one or more issuers
that subsequently experience credit problems or default on their
securities.35 The validity of that observation has been proven by
many of the incidents of the past two years in which advisers to funds
have taken steps to prevent the fund from breaking a dollar as a result
of holding a distressed security.36 In each case, the smaller the
position, the less of an effect the distressed security had on the
fund.
\35\ Release 17589, supra note 2, at Section II.1.
\36\ Transactions of this type occurred within the last two
years because funds held either long-term adjustable rate securities
whose market values declined when short-term interest rates were
increased, or notes issued by Orange County. Twenty-five advisers or
related persons purchased adjustable rate securities from their
funds at the securities' amortized cost values to avoid any fund
shareholder losses. Thirty-eight advisers or related persons either
purchased Orange County notes from, or entered into credit support
arrangements with their affiliated funds in order to maintain the
funds' stable share price of $1.00. These transactions are
prohibited by section 17 of the 1940 Act [15 U.S.C. 80a-17] in the
absence of a Commission exemption. See infra Section IV. of this
Release.
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In the case of the bankruptcy of Orange County, most of the funds
holding the notes held a fairly small portion of their assets in Orange
County notes.37 As a result, in some cases, the fund could
maintain its share price without any assistance from the fund's
adviser; in other cases, the adviser was in a position to take steps to
prevent the fund from breaking a dollar only because the fund's Orange
County Note position was relatively small. While, as the Commission has
stated several times, no adviser is required to guarantee its fund
against the possibility of breaking a dollar,38 experience has
demonstrated that diversification may not only limit investment risk,
but also may place the fund in a better position to address (or avoid)
significant deviation between a fund's market-based and amortized cost
values.
\37\ The thirty-eight funds that sought and were granted ``no-
action'' relief from the Division of Investment Management either to
sell the Orange County notes to affiliated persons, or to arrange
for affiliated persons to provide some type of credit support for
the benefit of the funds, are illustrative. Most of these funds had
no more than five percent of their assets invested in notes issued
by Orange County, or one of the participants in the Orange County
Investment Pools. Within this group, the fund (a single state fund)
that had the greatest concentration of its assets in securities
issued by a single issuer had 8.7 percent of its assets invested in
that issuer.
\38\ See, e.g., Release 18005, supra note 11, at Section II.H.;
Testimony of Arthur Levitt, Chairman, U.S. Securities and Exchange
Commission, Concerning Issues Affecting the Mutual Fund Industry
Before the Subcommittee on Telecommunications and Finance, Committee
on Energy and Commerce, U.S. House of Representatives, 23-25 (Sept.
27, 1994); Testimony of Arthur Levitt, Chairman, U.S. Securities and
Exchange Commission, Concerning Municipal Bond and Government
Securities Markets Before the Committee on Banking, Housing and
Urban Affairs, U.S. Senate, 10-11 (Jan. 5, 1995).
---------------------------------------------------------------------------
The Commission recognizes that single state funds face a limited
choice of very high quality issuers in which to invest, and that the
number of first tier issuers in several states is especially limited.
Application of the Five Percent Diversification Test to one hundred
percent of the assets of these funds could force some funds to invest
in lower quality issuers than those in which they would otherwise
invest. While greater diversification provides an additional measure of
safety for investors where there are many issuers to choose from, the
Commission is concerned that too stringent a diversification standard
could result in a net reduction in safety for certain single state
funds. As a result, the Commission has decided to require single state
funds to be diversified at the five percent level only as to seventy-
five percent of their assets; the remaining twenty-five percent basket
may be invested only in the first tier securities of one or more
issuers. The availability of the twenty-five percent basket will
provide single state funds with the flexibility to retain several
positions of over five percent in very high quality investments.39
\39\ Application of the non-diversified basket will track the
comparable provision of section 5(b)(1) of the 1940 Act [15 U.S.C.
80a-5(b)(1)]. See supra note 30.
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The Commission has decided to exclude from the application of the
[[Page 13961]]
diversification requirement securities that are subject to an
unconditional demand feature from a non-controlled person, as defined
in the rule.40 This approach will be applicable to all money
funds, not only single state funds. The Commission believes that this
approach, described in more detail below, will provide the advantages
of diversification while permitting funds sufficient flexibility to
respond to the available supply of eligible securities.
\40\ Paragraphs (c)(4)(i) and (ii) of rule 2a-7, as amended.
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b. Scope of the Diversification Standards. A large percentage
(sixty to seventy percent) of the securities currently held in tax
exempt fund portfolios consist of long-term adjustable rate securities
that are subject to unconditional demand features.41 The provider
of an unconditional demand feature assumes the credit risks presented
by a particular issuer by agreeing to provide principal and interest
payments in the event the issuer of the underlying security is unable
to do so. Funds generally rely on the credit quality of the issuer of
an unconditional demand feature to satisfy the rule's quality
standards.42 In light of this reliance, two commenters questioned
the necessity of requiring a fund to satisfy the rule's issuer
diversification and quality standards with respect to the issuer of the
underlying security.43
\41\ Proposing Release, supra note 20, at Section I.B.
\42\ Paragraph (c)(3)(ii) of rule 2a-7, as amended, permits a
fund to rely on the credit quality of the unconditional demand
feature in determining whether the underlying security is an
eligible security or a first tier security.
\43\ The commenters discussed this issue within the context of
the rule's put diversification standards. See infra Section II.C.2.
of this Release.
---------------------------------------------------------------------------
If a security subject to an unconditional demand feature was in
default or otherwise became distressed, a money fund normally would be
expected to exercise the demand feature and receive the entire
principal amount of the security and any interest payments due or
accrued.44 Thus, lack of diversification in the underlying
security may be less important to a money fund's ability to maintain a
stable net asset value than the ability to exercise the demand feature.
Demand features are subject to a separate diversification requirement
under the rule and, thus, excessive reliance on the credit of a single
issuer is already addressed by the rule.45
\44\ Paragraph (c)(5)(ii) of rule 2a-7, as amended, requires a
money fund to dispose of a defaulted or distressed security (e.g.,
one that no longer presents minimal credit risks) ``as soon as
practicable,'' absent a finding by the board of directors that
disposal would not be in the best interests of the fund.
\45\ Demand features and other types of puts that enhance
underlying securities continue to be subject to the rule's put
diversification requirements. See infra Section II.C.1. of this
Release.
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Based on these considerations, and in light of the greater
flexibility that would be afforded to single state funds, the
Commission has decided to amend the rule so that the issuer
diversification requirement--for all money funds--excludes securities
subject to an ``unconditional demand feature issued by a non-controlled
person,'' as defined in the rule.46 The Commission is limiting
this exclusion to securities whose unconditional demand features are
issued by non-controlled persons to reduce a fund's exposure to the
credit risks presented by a single economic enterprise.47
Securities subject to other types of puts, including conditional demand
features, would continue to be subject to the rule's issuer
diversification standard.
\46\ An ``unconditional demand feature issued by a non-
controlled person'' is defined in the rule to mean an
``unconditional put'' that is also a ``demand feature issued by a
non-controlled person.'' Paragraph (a)(26) of rule 2a-7, as amended.
A ``demand feature issued by a non-controlled person'' is defined to
mean ``a demand feature issued by a person that, directly or
indirectly, does not control, and is not controlled by or under
common control with the issuer of the security subject to the Demand
Feature. Control shall mean `control' as defined in section 2(a)(9)
of the Act.'' Paragraph (a)(8) of rule 2a-7, as amended.
\47\ Similarly, the twenty-five percent put basket will not be
available for puts that do not meet the definition of a put issued
by a non-controlled person. See infra Section II.C.1.b. of this
Release.
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2. Quality Limitations on Portfolio Securities
Rule 2a-7 limits both taxable and tax exempt funds to investing
only in eligible securities--securities receiving at least the second
highest rating from the requisite NRSROs (as defined in the rule) or
comparable unrated securities.48 Taxable funds must comply with
the Second Tier Securities Tests--investment in second tier securities
is limited to five percent of fund assets, and investment in the second
tier securities of any one issuer is limited to the greater of one
percent of fund assets or one million dollars. The proposed amendments
to the rule would have established different quality standards for
national and single state funds.
\48\ See supra nn. 12 and 13 and accompanying text and paragraph
(a)(19) of rule 2a-7, as amended.
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a. Proposed Limitations for Single State Funds. The proposed
amendments would have limited single state fund investment to first
tier securities. The Commission stated in the Proposing Release that
the first tier securities restriction was designed to reduce the
additional risks that may accompany lower levels of diversification as
a result of the Commission's proposal not to extend the Five Percent
Diversification Test to single state funds. As noted above, most fund
commenters objected to this limitation. In light of the requirement
that single state funds be diversified as to seventy-five percent of
their assets,49 the Commission has decided not to adopt the
proposed first tier securities restriction.
\49\ See supra Section II.B.1.a. of this Release and paragraph
(c)(4)(iii) of rule 2a-7, as amended.
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b. Application of the Second Tier Securities Tests to Conduit
Securities. The proposed amendments to the rule would have extended the
Second Tier Securities Tests only to national fund investment in
``conduit securities.'' The Proposing Release explained that, in
contrast to traditional state and municipal securities, conduit
securities are issued to finance non-governmental private projects,
such as retirement homes, private hospitals, local housing projects,
and industrial development projects, with respect to which the ultimate
obligor is not a governmental entity. Conduit securities are not backed
by a revenue source from any essential public facility or by the taxing
authority of any state or municipality. As a result, the risk of
default for conduit securities is significantly higher than it is for
traditional state or municipal securities.50 Therefore, the
Commission proposed to treat a national fund's investment in conduit
securities no differently than a taxable fund's investment in
securities typically issued by a private concern.
\50\ See Municipal Bond Defaults--The 1980's: A Decade in Review
(J.J. Kenny & Co., Inc. 1993). Bankruptcies and defaults by major
municipal issuers, such as Orange County, California, are rare
events. Of the approximately 120 municipal bankruptcies since 1979,
most have involved small, local governments or special tax
districts. See ``Banging a Tin Cup With a Silver Spoon,'' N.Y.
Times, June 4, 1995 at F1.
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Most commenters supported the application of the Second Tier
Securities Tests to national fund investment in conduit securities.
These commenters generally agreed that this limited application of the
Second Tier Securities Tests would allow national funds maximum
flexibility to invest in the type of tax exempt securities that present
the least risk of default. A smaller group of commenters, however,
asserted that the proposed limitation would further limit the supply of
eligible securities.51 Many conduit securities in which money
funds invest are subject to unconditional demand features. Because the
Second Tier
[[Page 13962]]
Securities Tests will not be applied to conduit securities with
unconditional demand features issued by non-controlled persons, the
application of the Second Tier Securities Tests to these securities
should have a limited effect on the supply of tax exempt
securities.52
\51\ See supra note 29 and accompanying text.
\52\ As adopted, the rule exempts from the Second Tier
Securities Tests any conduit security subject to an unconditional
demand feature issued by a non-controlled person, whether the demand
feature is first or second tier. Paragraph (c)(4)(iv)(B) of rule 2a-
7, as amended.
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The Commission has decided to extend the Second Tier Securities
Tests to national and single state fund investment in conduit
securities. Under amendments to the rule being adopted, the non-
governmental entity ultimately responsible for the payment of principal
and interest is treated as the issuer of the conduit security for
purposes of the rule's issuer diversification requirements.53
Credit quality determinations for a conduit security must be made by
reference to the underlying corporate or project issuer, unless the
conduit security is subject to an unconditional demand feature, in
which case the conduit security will not be subject to the Second Tier
Securities Tests.54 Credit quality determinations for conduit
securities subject to conditional demand features must be made by
reference to the provider of the demand feature and the long-term
rating of the underlying corporate or project issuer.55 In
addition, for purposes of calculating compliance with the one percent
limit on second tier securities of a single issuer, the issuer of the
conduit is the corporation or project.56
\53\ Paragraph (c)(4)(vi)(A)(3) of rule 2a-7, as amended.
\54\ Paragraph (c)(4)(iv)(B) of rule 2a-7, as amended.
\55\ See infra Section II.B.2.b. of this Release and paragraph
(c)(3)(iii) of rule 2a-7, as amended.
\56\ See paragraph (c)(4)(vi)(A)(3) of rule 2a-7, as amended.
For example, a municipal security issued to finance a private
hospital that meets the definition of a conduit security would be
considered--for diversification purposes--to have been issued by the
hospital, not the municipality.
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c. Definition of the Term ``Conduit Security''. The proposed
amendments would have defined the term ``conduit security'' to mean a
security issued through a state or territory of the United States, or
any political subdivision or instrumentality thereof, which is not: (1)
payable from the revenues of such governmental unit (``Revenue
Clause''); (2) unconditionally guaranteed by such governmental unit;
(3) related to a project or facility owned and operated by such
governmental unit; or (4) related to a facility leased to and under the
control of an industrial or commercial enterprise that is part of a
public project owned and under the control of such governmental unit.
The definition was intended to exclude securities for which the
ultimate obligor is a governmental unit.
Several commenters advised the Commission that portfolio managers
would be able to identify conduit securities more readily and without
obtaining legal and other expert opinions if the rule affirmatively
stated what a conduit security is, instead of what it is not. Several
commenters also urged that the Revenue Clause be deleted because it
might result in excluding from the Second Tier Securities Tests a
security for which the ultimate obligor is a private entity.57 The
Commission has modified the definition of the term ``conduit security''
to reflect some of these concerns.58
\57\ For example, a governmental unit could issue bonds on
behalf of a private firm for the purpose of raising funds to
construct facilities for a company, such as a plant or a residential
real estate project. The payment of principal or interest on the
bonds would be secured through a lease arrangement under which the
private firm makes periodic payments to the governmental unit. If
these payments were characterized as ``revenue,'' then the bonds
issued by the governmental unit would not be treated as conduit
securities under the proposed definition.
\58\ In the Proposing Release, the Commission asked commenters
whether the rule's definition of a conduit security should reference
the provisions of the Internal Revenue Code (``IRC'') governing the
treatment of private activity bonds, IRC sections 141-174 [26 U.S.C.
141-147]. Most commenters discussing the definition of a conduit
security strongly opposed this approach, generally observing that it
would have the effect of treating certain general obligation bonds,
and bonds issued to finance property owned by a governmental unit,
as conduit securities that are subject to the Second Tier Securities
Tests, which would be inconsistent with the Commission's objective
of subjecting only obligations of non-governmental issuers to the
Second Tier Securities Tests. The Commission has decided not to
reference the IRC's private activity bond rules in defining the term
``conduit security.''
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The term ``conduit security'' is defined as a security issued by a
municipal issuer involving an arrangement or agreement entered into,
directly or indirectly, with an issuer other than a municipal issuer,
which arrangement or agreement provides for or secures repayment of the
security.59 The term ``conduit security'' does not include a
security that is: (1) unconditionally guaranteed by a municipal issuer;
(2) payable from the general revenues of the municipal issuer (other
than revenues derived from an agreement or arrangement with a person
who is not a municipal issuer that provides for or secures repayment of
the security); (3) related to a project owned and operated by a
municipal issuer; or (4) related to a facility leased to and under the
control of an industrial or commercial enterprise that is part of a
public project which, as a whole, is owned and under the control of a
municipal issuer.60
\59\ Paragraph (a)(6) of rule 2a-7, as amended. The rule
amendments, as adopted, define the term ``municipal issuer'' to mean
a state or territory of the United States, or any political
subdivision or instrumentality thereof. The term ``state'' is
defined in the 1940 Act to mean any state, the District of Columbia,
Puerto Rico, the Virgin Islands, or any other possession of the
United States [15 U.S.C. 80a-2(a)(39)].
\60\ Paragraph (a)(6) of rule 2a-7, as amended.
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C. Diversification and Quality Standards for Put Providers
A substantial portion of securities held by tax exempt funds are
subject to puts and demand features.61 A ``put'' is the right to
sell a specified underlying security within a specified period of time
and at a specified exercise price that may be sold, transferred, or
assigned only with the underlying security.62 A demand feature is
a put that may be exercised at specified intervals not exceeding 397
calendar days and upon no more than thirty days' notice.63 Demand
features can serve three different purposes: (1) to shorten the
maturity of a variable or floating rate security; 64 (2) to
enhance the security's credit quality; and (3) to provide liquidity
support for the security. If the demand feature can be exercised on
seven days' notice, then the security will be treated as a liquid
security under the appropriate guidelines.65
\61\ Proposing Release, supra note 20, at Section I.B.
\62\ Paragraph (a)(16) of rule 2a-7, as amended.
\63\ Paragraph (a)(7) of rule 2a-7, as amended.
\64\ Paragraphs (d)(3) and (d)(5) of rule 2a-7, as amended.
Initially, rule 2a-7 provided that only demand features that ran to
the issuer of the security could be used to shorten maturities. See
Release 13380, supra note 7, at n.9. This was changed by the
amendments to rule 2a-7 adopted in 1986. Investment Company Act Rel.
No. 14983 (Mar. 12, 1986) [51 FR 9773 (Mar. 21, 1986)] (``Release
14983'').
\65\ A money fund is limited to investing no more than ten
percent of its assets in illiquid securities. See Release 13380,
supra note 7, at nn.37-38 and accompanying text. See also Investment
Company Institute (pub. avail. Dec. 9, 1992). The Division of
Investment Management has provided guidance concerning the
implementation of three business days as the standard settlement
period for trades effected by brokers and dealers, and a fund's
determination of whether securities it holds should be deemed liquid
for purposes of complying with the ten percent restriction. Letter
from Jack W. Murphy, Associate Director and Chief Counsel, Division
of Investment Management, to Paul Schott Stevens, General Counsel,
Investment Company Institute (May 26, 1995) (``T+3 Letter'').
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Demand features may be conditional or unconditional.66 Under
rule 2a-7, a demand feature used as a substitute for
[[Page 13963]]
the credit quality of the underlying security must be an
``unconditional put,'' defined to include any guarantee, letter of
credit (``LOC'') or similar unconditional credit enhancement that by
its terms would be readily exercisable in the event of a default in
payment of principal or interest on the underlying security.67 A
demand feature that is not an ``unconditional put'' may serve as the
basis for determining whether a security is an eligible security and
categorizing it as a first or second tier security; however, the long-
term credit quality of the security subject to a conditional demand
feature must also be analyzed.68
\66\ Both conditional and unconditional puts may operate as
demand features to shorten the maturities of adjustable rate
securities. As discussed in Section II.C.3. of this Release, infra,
amendments to rule 2a-7 limit the types of conditions to which
exercise of a demand feature can be subject. Paragraph
(c)(3)(iii)(B) of rule 2a-7, as amended.
\67\ Paragraph (a)(27) of rule 2a-7, as amended.
\68\ Paragraph (c)(3)(iii)(B) of rule 2a-7, as amended.
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The Commission is adopting several amendments to the provisions of
the rule relating to puts and demand features.
1. Put Diversification Standards
Under rule 2a-7, a taxable money fund may not invest more than five
percent of its assets in securities subject to conditional puts from,
or securities directly issued by, the same institution. The percentage
limitation applicable to unconditional puts is ten percent. A tax
exempt fund is required to comply with these two requirements with
respect to seventy-five percent of its assets; there is no
diversification requirement with respect to the remaining twenty-five
percent (``twenty-five percent put basket''). The Commission proposed
to apply a uniform ten percent limitation on all puts issued by the
same institution and to eliminate the twenty-five percent put basket
for tax exempt funds.69
\69\ See Proposing Release, supra note 20, at Section II.C.2.
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a. Uniform Diversification Standards for Conditional and
Unconditional Puts. Under the proposed amendments, a fund could not
have invested more than ten percent of its assets in securities subject
to conditional and unconditional puts, and securities directly issued
by, the same issuer. A fund would have been required to aggregate
conditional and unconditional puts issued by the same issuer in
applying the ten percent restriction. Most of the commenters who
addressed these aspects of the proposal supported the aggregation of
conditional and unconditional puts in applying a uniform percentage
restriction. Other commenters disagreed, either urging that the ten
percent limit be raised or that the rule's put diversification
standards continue to distinguish between puts that provide liquidity
support (conditional puts) and puts that provide credit support
(unconditional puts).
The Commission has decided to adopt the uniform ten percent
limitation as proposed, and eliminate the current distinction between
conditional and unconditional puts under the rule's put diversification
standards.70 Although there are differences between the risks
incurred by the put provider and the nature of the reliance by the
investor in each case, the Commission does not believe that these
differences are significant enough to warrant continued disparate
treatment under the rule. Moreover, aggregating conditional and
unconditional puts and applying a single put diversification standard
to the aggregate number should simplify compliance with the rule.
\70\ Paragraph (c)(4)(v)(B) of rule 2a-7, as amended.
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b. The Twenty-Five Percent Put Basket. The proposed amendments to
the rule would have eliminated the twenty-five percent put basket so
that a tax exempt fund would have been required to meet the rule's put
diversification standards with respect to one hundred percent of its
assets. The Commission explained that extensive reliance on a single
put provider or a few providers could present considerable risks,
particularly for a single state fund which, under the amendments as
proposed, would not have been required to be diversified with respect
to underlying securities.71
\71\ Proposing Release, supra note 20, at Section II.C.2.b.
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Most commenters urged the Commission to retain the twenty-five
percent put basket in some form. Many concluded that eliminating the
twenty-five percent put basket would increase reliance by funds on less
creditworthy put providers and decrease the flexibility currently
afforded funds in enhancing the credit quality and liquidity of
securities. The commenters disagreed with the Commission's assumption
that one probable effect of the elimination of the twenty-five percent
put basket would be new entrants to the market as put providers.
A number of commenters suggested that, in light of the Commission's
proposal to require that when a fund invests more than five percent of
its assets in securities subject to puts from a single put provider,
the puts be first tier securities,72 it would be appropriate to
retain the twenty-five percent put basket. The Commission has decided
to incorporate this approach in amendments to the rule's put
diversification standards.
\72\ See infra Section II.C.2.b. of this Release.
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The amendments provide that the twenty-five percent put basket is
available to all money funds for first tier puts, but only if the put
is a ``put issued by a non-controlled person''--a put issued by a
person that does not directly or indirectly control, and is not
controlled by or under common control with the issuer of the security
subject to the put.73 The Commission is restricting fund use of
the twenty-five percent put basket to non-controlled persons to
minimize a fund's concentration of assets in a single economic
enterprise.
\73\ Paragraphs (a)(17) (definition of ``put issued by a non-
controlled person'') and (c)(4)(v) of rule 2a-7, as amended. The
Commission is adopting amendments that limit fund investment in puts
that are second tier securities to five percent of fund assets. See
infra Section II.C.2.b. of this Release and paragraph (c)(4)(v)(B)
of rule 2a-7, as amended. Further, a fund that has invested more
than ten percent of its assets in securities subject to puts and in
securities directly issued by a single issuer must count the total
amount invested towards the twenty-five percent undiversified put
basket. In other words, a fund may not use all or a portion of its
twenty-five percent put basket and an additional amount of its
diversified assets to invest more than twenty-five percent of its
assets in a single issuer. See supra, note 30.
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c. Issuer-Provided Demand Features. The put diversification
standards under rule 2a-7 apply to ``securities issued by or subject to
Puts from the institution that issued the Put.'' 74 In the
Proposing Release, the Commission requested comment on the treatment of
puts by the issuer of the underlying securities (``issuer-provided
demand features'').75 Some commenters asserted that funds should
be permitted to exclude issuer-provided demand features from the put
diversification requirements because issuer-provided demand features
can be viewed as the functional equivalent of short-term securities
that are ``rolled over'' periodically. The commenters also suggested
that including issuer-provided demand features as puts in determining
compliance with the rule's put diversification standards amounts to
``double counting.'' The Commission agrees and has added language to
the rule to clarify that a fund is not required to aggregate an issuer-
provided put with the security subject to the put for purpose of
determining compliance with the put diversification requirement of the
rule.76
\74\ Paragraph (c)(4)(v)(A) of rule 2a-7, as amended.
\75\ See Proposing Release, supra note 20, at Section
II.C.2.d.(3). The Commission noted that rule 2a-7, as originally
adopted, provided that only issuer-provided demand features could be
used to shorten the maturity of a security. See Release 13380, supra
note 7, at n.10 and accompanying text.
\76\ Paragraph (c)(4)(vi)(B)(1) of rule 2a-7, as amended. Under
this paragraph, a put issued by the same institution that issued the
underlying security would not be subject to the rule's put
diversification requirements, and would be subject only to the
rule's issuer diversification requirements. For example, a security
representing four percent of a fund's total assets that had an
issuer-provided demand feature would be treated as a four percent
position in ``securities issued by or subject to Puts from the
institution that issued the Put,'' not eight percent [quoting
paragraph (c)(4)(iv)(A) of rule 2a-7, as amended].
[[Page 13964]]
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d. Multiple Puts and Guarantees. The proposed amendments would have
amended rule 2a-7's put diversification standards to address how put
diversification calculations should be made when a security is subject
to several puts (``multiple puts''). Under the proposed amendments,
different calculation methods would have been applied when: (i) each
multiple put provider had contractually agreed to guarantee only a
portion of the total principal value of the underlying security
(``fractional puts''), and (ii) each multiple put provider had an
obligation that was not limited contractually (``layered puts''). The
proposed amendments would have clarified that an institution that
provides a fractional put would be treated as guaranteeing only that
portion of the principal value of the security that it contractually
agreed to provide.77 An institution providing a layered put would
have been deemed to cover the entire principal amount of the security,
notwithstanding that the security is subject to puts from other
institutions.
\77\ For example, if two banks issued puts on the same VRDN and
each agreed to absorb fifty percent of the losses, then each would
be deemed to guarantee no more than fifty percent of the VRDN under
the rule's put diversification standards.
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Most commenters who discussed these issues supported the proposed
treatment of fractional puts. These commenters stated that it was
appropriate to allocate exposure among put providers for
diversification purposes in accordance with the put providers'
contractual obligations. The Commission has decided to adopt these
amendments to the rule as proposed.78
\78\ Paragraph (c)(4)(vi)(B)(2) of rule 2a-7, as amended.
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Most commenters opposed treating each put provider in a layered put
structure as the guarantor of the entire amount guaranteed because,
they argued, the approach ignored the fact that the fund may be relying
only on the guarantee of one of the put providers. The Commission has
decided to adopt amendments to the rule that reflect these comments.
For a security subject to layered puts, the rule permits a fund that is
not relying on a particular put for satisfaction of the rule's credit
quality 79 or maturity standards,80 or for liquidity, to
exclude that put when determining its compliance with the rule's put
diversification standards.81 The fund must document this
determination in its records.82
\79\ Under the rule, a fund holding a
FR Doc. 96-7334 Revisions to Rules Regulating Money Market Funds
security that is subject
to an unconditional demand feature may satisfy the rule's credit
quality standards with respect to the underlying security based
solely on the short-term rating of the demand feature provider.
Paragraph (c)(3)(ii) of rule 2a-7, as amended.
\80\ Rule 2a-7 generally permits a fund to measure the maturity
of an adjustable rate security subject to a demand feature by
reference to the date on which principal can be recovered through
demand. See infra Sections II.F.1. and II.F.2. of this Release and
paragraphs (d)(3) and (d)(5) of rule 2a-7, as amended.
\81\ Paragraph (c)(4)(vi)(B)(4) of rule 2a-7, as amended. This
paragraph of the rule also permits a fund holding a security subject
to a single put that it is not relying on to satisfy the rule's
credit quality or maturity standards, or for liquidity, to disregard
that put in determining its compliance with the rule's put
diversification standards. If a fund is relying on separate puts for
each of these purposes (e.g., a conditional demand feature for
purposes of liquidity and maturity, and an unconditional put for
purposes of credit quality), then each put would have to satisfy the
rule's put diversification standards.
\82\ Paragraphs (c)(8)(ii) and (c)(9)(vi) of rule 2a-7, as
amended. A fund would document this determination when it acquires
the security. The fund may subsequently determine that it is or is
not relying on a particular put, but must reflect the change in its
written records.
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In the context of describing the proposed amendments regarding
treatment of multiple puts under the rule's diversification standards,
the Commission indicated that bond insurance was a type of put under
rule 2a-7.83 A number of commenters disagreed with this analysis
of bond insurance, arguing that bond insurance does not provide
liquidity and is not viewed by the market as a substitute for the
credit of the underlying issuer. Because bond insurance guarantees the
timely payment of principal and interest by the insured issuer,84
it meets the rule's definition of an unconditional put, permitting
credit substitution in the eligibility determination. The Commission
has amended the rule to clarify this matter.85
\83\ Proposing Release, supra note 20, at note 81.
\84\ Eli Nathans, Municipal Bond Insurance--The Economics of the
Market, 13 Mun. Fin. J., No.2 (Summer 1992) 1, 2.
\85\ Paragraph (a)(27) of rule 2a-7, as amended. A bond
insurance policy that permits the holder of the security to receive
all principal and interest payments at the time of the default of
the insured obligation would also be an unconditional demand
feature. By contrast, a policy under which the fund would only
receive periodic payments of principal and interest as those
payments came due under the terms of the insured obligation would be
an unconditional put, but not an unconditional demand feature.
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The Commission recognizes, however, that bond insurance may not be
relied upon by a fund when determining a security's eligibility under
the rule. One commenter argued that, in the case of a security subject
to a guarantee, such as bond insurance, and a demand feature, the fund
is very likely to look only to the issuer of the demand feature if it
needs to sell the security and thus, as a practical matter, to the
issuer of the demand feature for credit support. Therefore, this
commenter concluded, the guarantee should not be counted for purposes
of rule 2a-7's diversification requirements. The Commission agrees, and
has amended the rule to permit a fund holding a security subject to a
put (including bond insurance) and an unconditional demand feature to
count only the demand feature for purposes of the put diversification
calculation.86 A fund relying on this provision of the rule is not
required to maintain contemporaneous records of its determination that
the fund is not relying on the guarantee to determine credit quality.
\86\ Paragraph (c)(4)(vi)(B)(3) of rule 2a-7, as amended.
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2. Quality Standards
a. Rating Requirement for Demand Features. The proposed amendments
to the rule would have limited funds to investing in demand features
(other than standby commitments) that are rated, or provided by
institutions that are rated, by NRSROs. Most commenters discussing this
issue opposed the proposed rating requirement for demand features and
suggested that the rule should permit a fund to purchase a security
subject to an unrated demand feature if it can make a comparability
determination similar to the determination permitted under the rule in
connection with the purchase of unrated securities.87 Other
commenters asserted that the fund manager's obligation under the rule
to determine that all portfolio securities present minimal credit risk
obviated the need for the proposed rating requirement.88
\87\ Paragraph (a)(9)(iii) of rule 2a-7, as amended, permits a
fund to treat an unrated security as an eligible security if the
fund's board of directors determines that the unrated security is of
comparable quality to a rated security.
\88\ Paragraph (c)(3) of rule 2a-7, as amended, limits fund
investment to securities that its ``board of directors determines
present minimal credit risks.'' This determination must be based on
factors pertaining to credit quality ``in addition to any rating
assigned to such securities by an NRSRO'' (emphasis added).
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The Commission explained in the Proposing Release that NRSRO
ratings assigned to demand features or the issuer of demand features
may provide additional protection by ensuring input into the minimal
credit risk determination by an outside source. This extra source of
protection may be particularly important in light of the
[[Page 13965]]
Commission's decision to preserve the twenty-five percent
diversification basket for put providers, and to eliminate the
applicability of rule 2a-7's diversification requirements to securities
subject to certain unconditional demand features.89 In addition,
funds may have limited ability to monitor the credit quality of some
demand feature providers, such as foreign banks.90 The Commission
is adopting the rating requirement for demand features as
proposed.91
\89\ See supra Section II.B.1.b. of this Release.
\90\ Proposing Release, supra note 20, at Section II.C.2.d.(2).
\91\ Paragraph (a)(9)(iii)(D)(1) of rule 2a-7, as amended. The
amendments remove from the definition of eligible security unrated
securities that are subject to demand features. Thus, in order for a
security subject to a demand feature to be eligible for fund
investment, the demand feature must be rated.
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b. Providers of Puts in Excess of Five Percent of Fund Assets. The
proposed amendments would have prohibited a money fund from investing
more than five percent of its assets in securities subject to a put
from a single put provider that is not a first tier put. Compliance
with this provision would be measured at the time the put was acquired
by the fund. All the commenters discussing this aspect of the proposal
agreed that it is appropriate to limit fund investment in puts that are
not first tier securities (``second tier puts''), and the Commission is
adopting the limit as proposed.92
\92\ Paragraph (c)(4)(v)(B) of rule 2a-7, as amended.
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If more than five percent of a fund's assets were subject to a
demand feature from a single institution that was no longer a first
tier put, the proposed amendments also would have required the fund to
reduce the amount of the securities subject to the demand feature to
not more than five percent of the fund's assets by exercising the
demand feature at the next succeeding exercise date. Most commenters
were critical of this proposed requirement and suggested that it might
be in the best interests of fund shareholders for the fund either to
retain the securities subject to the demand features or dispose of the
securities in an orderly manner. Because there may be some
circumstances during which it may be in the best interest of the fund
to continue to hold the securities subject to the put, the Commission
is adopting the amendment with the express provision that a fund's
board of directors may determine that disposal of the securities is not
in the best interest of the fund, and determine to permit the fund to
continue to hold the securities.93
\93\ Paragraph (c)(5)(i)(C) of rule 2a-7, as amended. This
determination may not be delegated. Paragraph (e) of rule 2a-7, as
amended. If the demand feature is no longer an eligible security,
paragraph (c)(5)(ii) of rule 2a-7 requires the fund to obtain a new
demand feature or dispose of the underlying security (unless the
board of directors finds that it would be in the best interest of
the fund not to dispose of the security). See Release 18005, supra
note 11 at Section II.E.1. for a discussion of securities held by a
money fund that are in default, are no longer eligible securities,
or no longer present minimal credit risks.
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c. Certain Unrated Securities. Rule 2a-7 currently provides that an
unrated security that, when issued, was a long-term security but when
purchased by the fund has a remaining maturity of less than 397
calendar days may be considered to be an eligible security based on
whether the security is comparable in quality to a rated security,
unless the security has received a long-term rating from any NRSRO that
is not within the two highest categories of long-term ratings. Under
this provision, a long-term rating from an NRSRO below the top two
rating categories results in the security becoming ineligible for
investment by a money market fund. One commenter stated that, because
many issuers with long-term ratings in the third highest ratings
categories have first tier short-term ratings, the rule was
unnecessarily restrictive. The Commission agrees, and has expanded this
provision to accommodate long-term ratings within the top three ratings
categories.94 Funds will continue to be required to determine that
such a security is of ``comparable quality'' to rated eligible
securities.95
\94\ Paragraph (a)(9)(iii)(B) of rule 2a-7, as amended.
\95\ Paragraph (a)(9)(iii) of rule 2a-7, as amended.
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3. Conditional Demand Features
Rule 2a-7 does not currently restrict the types of conditions to
which a demand feature may be subject. The inability of a fund to
exercise a demand feature because of the occurrence of a condition
precluding exercise would likely result in violations of the maturity
limitations of rule 2a-7, the liquidity requirements of the 1940
Act,96 and a loss of value of the underlying security, when, for
example, a short-term security paying interest at short-term rates is
transformed into a long-term security. Therefore, the proposed
amendments would have limited the permissible conditions with respect
to conditional puts to the following: (1) default in the payment of
principal or interest on the underlying security; (2) the bankruptcy,
insolvency, or receivership of the issuer or a guarantor of the
underlying security; (3) the downgrading of either the underlying
security or a guarantor by more than two full rating categories; and
(4) in the case of a tax exempt security, a determination by the
Internal Revenue Service of taxability with respect to the interest on
the security.97 These conditions were designed to permit the fund
to monitor the continued availability of a demand feature and to take
steps to sell the security or replace the demand feature if it appears
that conditions are likely to occur that would limit the ability of the
fund to exercise the demand feature.98
\96\ The money fund could lose liquidity at a time when it is
most necessary. A money fund is limited to investing no more than
ten percent of its assets in illiquid securities. See supra note 65
and accompanying text and infra Section II.C.4.c. of this Release.
\97\ The proposed amendments to the rule incorporated
recommendations of Fidelity Management & Research Company
(``Fidelity'') and the Investment Company Institute (``ICI''). See
Letter from Matthew Fink, Senior Vice President and General Counsel,
ICI, to Marianne Smythe, Director, Division of Investment Management
(Mar. 25, 1991); Letter from Thomas D. Maher, Associate General
Counsel, Fidelity, to Jonathan G. Katz, Secretary, U.S. Securities
and Exchange Commission (Sept. 24, 1990), in File No. S7-13-90.
\98\ Proposing Release, supra note 20, at Section II.C.3.
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Many commenters objected to the proposed definition of the term
``conditional put.'' These commenters stated that the current market
has few, if any, variable rate demand notes (``VRDNs'') with
conditional puts that would satisfy the proposed definition. Even the
commenters who recommended the proposed conditions conceded that
although most put providers have conditions similar to those included
in the proposed amendments, every provider uses somewhat different,
often broader, language.99 As a result, modifying the scope of one
or more of the four conditions would not address this concern.
\99\ See Letter from Thomas D. Maher, Associate General Counsel,
Fidelity, to Jonathan G. Katz, Secretary, U.S. Securities and
Exchange Commission (May 5, 1994); Letter from Thomas D. Maher,
Associate General Counsel, Fidelity, to Kenneth J. Berman, Deputy
Office Chief, Office of Disclosure and Investment Adviser
Regulation, Division of Investment Management, U.S. Securities and
Exchange Commission (June 17, 1994); Letter from Paul Schott
Stevens, General Counsel, ICI, to Jonathan G. Katz, Secretary, U.S.
Securities and Exchange Commission (May 5, 1994), in File No. S7-34-
93.
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The Commission has decided to adopt an alternative approach
suggested by several commenters by revising the rule to provide general
guidance concerning the types of conditions that are appropriate for
money fund investment. Rule 2a-7, as amended, provides that a security
subject to a conditional demand feature is an eligible security only if
the fund's board of directors (or its delegate) determines that there
is ``minimal risk'' of occurrence of the conditions that
[[Page 13966]]
would result in the demand feature not being exercisable.100 The
fund's board of directors (or its delegate) also must determine that:
(1) the conditions limiting exercise can be monitored readily by the
fund, or relate to the taxability, under federal, state or local law,
of the interest payments on the security; or (2) the terms of the
demand feature require that the fund receive notice of the occurrence
of the condition and the opportunity to exercise the demand
feature.101
\100\ Paragraph (c)(3)(iii)(B) of rule 2a-7, as amended.
\101\ Id.
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Rule 2a-7 currently provides that a security subject to a
conditional demand feature (``underlying security'') is an eligible
security only if the demand feature is an eligible security and the
underlying security has received a long-term rating from the Requisite
NRSROs in one of the two highest long-term ratings categories or, if
unrated, is determined to be of comparable quality. The rule thus
assumes securities subject to conditional demand features are always
long-term securities. The Commission is amending rule 2a-7 to provide
that, in the case of an underlying security that has a remaining
maturity of 397 days or less, the underlying security is an eligible
security only if the demand feature is an eligible security and the
underlying security has received a short-term rating from the requisite
NRSROs in one of the two highest short-term ratings categories or, if
unrated, is determined to be of comparable quality.102
\102\ Paragraph (c)(3)(iii)(C)(1) of rule 2a-7, as amended.
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4. Other Issues Applicable to Put Providers
a. Accrued Interest. The Commission proposed amendments to the
definition of the term ``put'' and also requested comment whether
additional amendments to the rule were necessary to restrict fund
investment to certain types of credit and liquidity enhancements. The
proposed amendments would have amended the definition of a ``put'' to
specify that the put must enable the holder to receive not only the
amortized cost of the securities, but also accrued interest. The
Commission is adopting these amendments as proposed.103
\103\ Paragraph (a)(16) of rule 2a-7, as amended.
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b. Notice of Substitution of Put Provider. The Commission stated in
the Proposing Release that it is aware of several instances in which a
money fund had invested in a security backed by a LOC or other credit
or liquidity enhancement that was replaced during the life of the
underlying security without notice to the fund.104 A fund must
know the identity of the put provider for a number of reasons, which
include a determination of whether the fund is in compliance with the
rule's put diversification and credit quality provisions. The Proposing
Release asked commenters to consider whether the rule should be amended
to limit fund investment in puts that obligate the issuer of the
underlying security (or the trustee under any applicable indenture) to
inform investors of the substitution of the put provider. All the
commenters responding to this question agreed with the Commission that
it is essential for the control of credit risk and for compliance with
the rule that funds be aware of the identity of their put providers at
all times, and that rule amendments would be appropriate.105
\104\ Proposing Release, supra note 20, at Section II.D.1.c.
\105\ A number of these commenters discussed the problems a fund
may encounter in obtaining notice of the substitution of a put
provider when the securities are held by an intermediary, such as a
securities depository. The Commission was advised that
intermediaries employ methods to transmit notice of this type to
their participants.
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The Commission is adopting amendments to address these concerns.
Under the amendments, a security subject to a demand feature is not
eligible for fund investment unless arrangements are in place to notify
the fund holding the security in the event that there is a change in
the identity of the issuer of a demand feature.106
\106\ Paragraph (a)(9)(iii)(D)(2) of rule 2a-7, as amended. The
obligation to provide notice may be the obligation of the issuer of
the underlying security, the issuer of the demand feature, or a
third party, such as the dealer from which the fund wishes to
purchase the security.
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c. Liquidity Requirements for Money Funds and the Three Business
Day Settlement Cycle. Section 22(e) of the 1940 Act provides, with
certain exceptions, that no registered investment company may postpone
the date of payment upon redemption of a redeemable security for more
than seven days after the security is tendered for redemption. The
Commission has stated that all mutual funds should limit their holdings
of illiquid securities to ensure that they can satisfy all redemption
requests within the seven day period. The Commission considers a
security to be illiquid if it cannot be disposed of within seven days
in the ordinary course of business at approximately the price at which
the fund has valued it.107 The limit on money fund holdings of
illiquid securities is ten percent of fund assets.108
\107\ Release 14983, supra note 64; Securities Act Rel. No. 6862
(Apr. 23, 1990) [55 FR 17933 (Apr. 30, 1990)] (adopting Rule 144A
under the Securities Act of 1933 (discussing the definition of
``liquid'' and citing Release 14983).
\108\ Release 14983, supra note 64 at Section A.4.; Investment
Company Institute (pub. avail. Dec. 9, 1992).
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Rule 15c6-1 under the Securities Exchange Act of 1934, which
recently became effective, established three business days (``T+3'') as
the standard settlement period for securities trades effected by a
broker or dealer.109 The Division of Investment Management
provided advice regarding the implications of the T+3 standard in
determining whether a security held by a fund should be deemed liquid
for purposes of the restrictions described above.110 This issue is
significant for money funds, because a large percentage of money fund
assets consist of securities with a seven day demand feature.111
\109\ Rule 15c6-1 [17 CFR 240.15c6-1] generally provides that
``a broker or dealer shall not effect or enter into a contract for
the purchase or sale of a security (other than an exempted security,
government security, municipal security, commercial paper, bankers'
acceptances, or commercial bills) that provides for payment of funds
and delivery of securities later than the third business day after
the date of the contract unless otherwise expressly agreed to by the
parties at the time of the transaction.'' Securities Exchange Act
Rel. No. 33023 (Oct. 6, 1993) [58 FR 52891 (Oct. 13, 1993)].
\110\ See T+3 Letter, supra note 65.
\111\ Id.
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The Division noted that, because rule 15c6-1 applies to brokers and
dealers and does not apply directly to funds, its implementation does
not change the standard for determining liquidity, which is based on
the requirements of section 22(e) of the 1940 Act. As a practical
matter, however, many funds (including money funds) will have to meet
redemption requests within three days because a broker or dealer will
be involved in the redemption process. Many of these funds hold
portfolio securities that do not settle within three days. In light of
the T+3 standard, the Division recommended that funds should assess the
mix of their portfolio holdings to determine whether, under normal
circumstances, they will be able to facilitate compliance with the T+3
standard by brokers or dealers. Factors the funds should consider
include the percentage of the portfolio that would settle in three days
or less, the level of cash reserves, and the availability of lines of
credit or interfund lending facilities. The Commission shares the
Division's concerns and urges money funds to monitor carefully their
liquidity needs in light of the shorter settlement period.
5. Short-Term Ratings
Rule 2a-7 currently distinguishes between short-term and long-term
[[Page 13967]]
securities based on whether the security has a remaining maturity of
366 days--primarily for the purpose of distinguishing between
securities that have short-term and long-term ratings. NRSROs do not
always draw such a line when assigning ratings.112 Therefore, the
Commission has revised the rule to replace references to ``short-term
securities'' and ``long-term securities'' in various sections of the
rule with references to securities that have received short-term and
long-term ratings from a NRSRO.113 Whether a security has received
a long- or a short-term rating from a NRSRO will depend upon how the
NRSRO has characterized its rating.
\112\ See, e.g., Fitch Ratings Book (May 1995) (short-term
ratings apply to debt payable on demand or to securities with
original maturities of up to three years), and Orrick, Herrington &
Sutcliffe (pub. avail. July 20, 1994) (synthetic warrants maturing
in twenty-two months given short-term ratings by NRSROs).
\113\ Paragraphs (a)(9) (definition of ``eligible security''),
(a)(11) (definition of ``first tier security''), (a)(29) (definition
of ``unrated security''), and (c)(3)(iii)(C) (requirements for
security subject to conditional demand feature) of rule 2a-7, as
amended. In addition, the Commission has eliminated the definitions
of ``short-term'' and ``long-term'' from the rule.
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D. Other Diversification and Quality Standards
1. Repurchase Agreements
Rule 2a-7 allows a fund to ``look through'' a repurchase agreement
(``repo'') to the underlying collateral for diversification purposes
when the obligation of the counterparty is ``collateralized fully.''
114 Under the current rule, a repo is collateralized fully if,
among other things, the collateral consists entirely of Government
securities or securities that, at the time the repo is entered into,
are rated in the highest rating category by the requisite
NRSROs.115 The Commission is adopting, as proposed, amendments to
permit a fund to treat the repo as collateralized fully only if it is
collateralized by securities that would qualify the repo for
preferential treatment under the Federal Deposit Insurance Act 116
or the Federal Bankruptcy Code.117 The Proposing Release noted
that if the collateral does not qualify for special treatment under
either of these statutes, a fund could encounter significant liquidity
problems if a large percentage of its assets were invested in a repo
with a bankrupt counterparty.118 Although some commenters argued
that the rule should encompass types of collateral that fall outside
the repo specific provisions of the Bankruptcy Code, the Commission
believes that the ``look through'' provisions of the rule would be
inappropriate in these circumstances because the credit and liquidity
risks assumed by the fund would be tied directly to the counterparty
rather than the issuers of the underlying collateral.119
\114\ Paragraph (c)(4)(vi)(A)(1) of rule 2a-7, as amended. A
money fund investing in a repurchase agreement that does not meet
the requirements of this paragraph may not ``look through'' and must
instead treat the counterparty to the agreement as the issuer.
\115\ See Proposing Release, supra note 20, at Section II.D.3.
\116\ See also 12 U.S.C. 1821(e)(8) (A) and (C) (affording
preferential treatment to ``qualified financial contracts''), 12
U.S.C. 1821(e)(8)(D)(i) (defining qualified financial contract to
include repurchase agreements) and 12 U.S.C. 1821(e)(8)(D)(v)
(defining repurchase agreement).
Not all collateral that would qualify a repo for preferential
treatment under the Federal Deposit Insurance Act would be
permitted. Of the mortgage-related securities referred to in 12
U.S.C. 1821(e)(8)(D)(c), only ``mortgage related securit[ies]'' as
defined in Section 3(a)(41) of the 1934 Act [15 U.S.C. 78c(a)(41)]
would be permitted.
See sections 101(47) of the Federal Bankruptcy Code
(``Bankruptcy Code'') (defining ``repurchase agreement''), and 559
(protecting repo participants from the Bankruptcy Code's automatic
stay provisions) [11 U.S.C. 101(47), 559]. The Bankruptcy Code
defines a repurchase agreement as follows:
An agreement, including related terms which provides for the
transfer of certificates of deposit, eligible bankers' acceptances,
or securities that are direct obligations of, or that are fully
guaranteed as to principal and interest by, the United States or any
agency of the United States against the transfer of funds by the
transferee of such certificates of deposit, eligible bankers'
acceptances, or securities with a simultaneous agreement by such
transferee to transfer to the transferor thereof certificates of
deposit, eligible bankers' acceptances, or securities as described
above, at a date certain no later than one year after such transfer
or on demand, against the transfer of funds.
\117\ Paragraph (a)(4) of rule 2a-7, as amended. Depository
institutions are not eligible for protection under the Bankruptcy
Code. Section 109 of the Bankruptcy Code [11 U.S.C. 109]. Instead,
the bank regulatory laws provide for the establishment of
conservatorship and receiverships of depository institutions in
default. See, e.g., section 11 of the Federal Deposit Insurance Act
[12 U.S.C. 1821].
\118\ Proposing Release, supra note 20, at n. 172.
\119\ Id.
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2. Pre-Refunded Bonds
The Proposing Release noted that a significant portion of tax
exempt fund assets consist of pre-refunded bonds--bonds the payment of
which are funded by and secured by escrowed Government
securities.120 The proposed amendments to the rule would have
allowed funds to ``look through'' the pre-refunded bonds to the
escrowed securities for diversification purposes if the underlying
securities are Government securities and the escrow arrangement
satisfies certain conditions designed to assure that the bankruptcy of
the issuer of the pre-refunded bonds would not affect payments on the
bonds from the escrow account. The proposed amendments would have
limited fund investment in pre-refunded bonds issued by the same issuer
to twenty-five percent of its assets. Because these securities would,
in effect, be treated as Government securities, they would not be
subject to a diversification limitation.
\120\ Id.
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Most commenters supported the proposed treatment of pre-refunded
bonds. A few of these commenters suggested that the twenty-five percent
limitation per issuer was not necessary since the issuer's credit
typically does not secure such bonds.121 The Commission agrees,
and has eliminated this limitation.122 The Commission has decided
to make additional technical modifications to the conditions applicable
to the escrow arrangements that were suggested by the
commenters.123 The Commission is also amending the rule to include
within the definition of an ``unrated security'' a rated security that
subsequently was made subject to a refunding agreement.124 This
amendment clarifies that a fund must disregard ratings given to a
security before the security became a ``refunded security'' (as that
term is defined in the rule) in determining whether the security is an
eligible security (as that term is also defined in the rule).
\121\ The twenty-five percent limitation was a condition
specified in a ``no-action'' position taken by the Division of
Investment Management in T. Rowe Price Tax-Free Funds (pub. avail.
June 24, 1993) regarding the treatment of these securities for
purposes of section 5(b)(1) of the 1940 Act. See Proposing Release,
supra note 20, at n. 38 and accompanying text.
\122\ The Commission is also eliminating the limitation for
funds other than money funds that otherwise rely on the staff no-
action position set forth in T. Rowe Price Tax-Free Funds.
\123\ Paragraphs (a)(18) and (c)(4)(vi)(A)(2) of rule 2a-7, as
amended. The proposed amendments would have permitted a fund to
``look through'' the pre-refunded bonds to the escrowed securities
for diversification purposes if: (1) the escrowed securities were
Government securities; (2) the escrowed securities were pledged only
with respect to the payment of principal, interest and premiums on
the pre-refunded bonds; and (3) either an independent certified
public accountant or a NRSRO certified that the escrowed securities
would satisfy all scheduled payments of principal, interest and
premiums on the pre-refunded bonds. Commenters urged the Commission
to clarify condition (2) by stating that excess proceeds could be
remitted to the issuer or a third party. Commenters also noted that
NRSROs rarely provide the certification described in condition (3),
and requested that the reference to a NRSRO be deleted from the
text. The rule reflects these comments; only independent certified
public accountants may provide the certification.
\124\ Paragraph (a)(29)(iii) of rule 2a-7, as amended. If the
security has a NRSRO rating that does reflect the existence of the
refunding agreement, then the security would not be considered
unrated. Id.
[[Page 13968]]
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3. Diversification Safe Harbor
A money fund that elects to be diversified must comply with the
requirements of section 5(b)(1) of the 1940 Act and the rules under
that section.125 These requirements are applicable to most taxable
and many tax exempt money funds, since most elect to be diversified.
Although rule 2a-7's diversification requirements are more strict,
under certain circumstances a money fund may be in compliance with rule
2a-7, but not in compliance with section 5(b)(1).126 The proposed
amendments would have provided that money funds complying with rule 2a-
7's diversification requirements are deemed to be diversified under
section 5(b)(1) (``diversification safe harbor''). Commenters
discussing this aspect of the proposal supported the diversification
safe harbor, and the Commission is adopting the amendments as
proposed.127
\125\ See supra note 30; Proposing Release, supra note 20, at n.
29 and accompanying text.
\126\ One difference that may cause this to occur is the timing
of the measurement of diversification. Compliance with section
5(b)(1) of the 1940 Act is measured at the time of a purchase based
on the value of the fund's total assets as of the end of the
preceding fiscal quarter. See rule 5b-1 [17 CFR 270.5b-1]). For
purposes of rule 2a-7, both the fund's total assets (as defined in
the rule) and compliance with the rule's diversification
requirements are measured at the time a purchase is made. See
paragraph (c)(4)(i) of rule 2a-7, as amended.
\127\ Paragraph (c)(4)(vii) of rule 2a-7, as amended.
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4. Three-Day Safe Harbor
Rule 2a-7 currently permits a fund to invest more than five percent
of its assets in the first tier securities of a single issuer for up to
three business days (the ``three-day safe harbor'') and does not
contain any limitation on the percentage of fund assets that can be
invested in accordance with this provision. Since the provision is
primarily applicable to taxable funds, which typically are diversified
companies within the meaning of section 5(b)(1), funds could not use
this provision to invest more than twenty-five percent of their assets
in the securities of a single issuer. The Commission proposed to extend
the availability of the three-day safe harbor to national funds. To
assure that the three-day safe harbor could not have the effect of
allowing funds that are not diversified to invest an inordinate portion
of their assets in a single issuer at any time, the proposed amendments
would have limited to twenty-five percent the percentage of fund assets
that may be invested under the safe harbor at any one time. The
Commission is adopting this amendment substantially as
proposed.128
\128\ Paragraph (c)(4)(iii) of rule 2a-7, as amended. Because
single state funds are required to be diversified only as to
seventy-five percent of their assets, they have available a twenty-
five percent basket to accommodate purchases in excess of five
percent. Paragraph (c)(4)(i) of rule 2a-7, as amended. As a result,
the three-day safe harbor of paragraph (c)(4)(ii) of the amended
rule is not extended to them.
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E. Asset Backed Securities and Synthetic Securities
1. Background
The proposed amendments would have amended rule 2a-7 to clarify the
application of the rule to ``synthetic'' tax exempt securities and
ABSs. Both types of securities rely on demand features and complex
liquidity arrangements that are designed to meet the risk-limiting
conditions of the rule.
An ABS represents an interest in a pool of financial assets, such
as credit card or automobile loan receivables. Typically, an ABS is
sponsored by a bank or other financial institution to pool financial
assets and convert them into capital market instruments, thereby
enabling the sponsor to transform illiquid assets into cash and
increase balance sheet liquidity.129 The ABS is structured to
assure that the issuer of the ABS will not be affected by the
bankruptcy of the sponsor. In addition, the structure of the ABS
affects the nature and amount of the credit enhancement. While
structural issues affect the risks associated with many types of
securities, they are particularly important in evaluating ABSs.130
\129\ For a detailed discussion of ABSs, see U.S. Securities and
Exchange Commission Division of Investment Management, Protecting
Investors: A Half Century of Investment Company Regulation, May
1992, at 1-103 and Investment Company Act Rel. No. 18736 (May 29,
1992) [57 FR 23980 (June 5, 1992)] and Investment Company Act Rel.
No. 19105 (Nov. 19, 1992) [57 FR 56248 (Nov. 27, 1992)] respectively
proposing and adopting rule 3a-7 under the 1940 Act [17 CFR 270.3a-
7], the rule excluding the issuers of certain ABSs from the
definition of investment company.
\130\ While the structure of ABSs vary, the ABSs that have been
marketed to money funds have generally involved: (i) the trust,
which issues the ABSs; (ii) the sponsor, which contributes the
assets to the trust; (iii) the servicer, which is responsible for
administering the assets in the pool; (iv) the trustee, which
monitors the activities of the servicer, and (v) the bank, which
provides some form of liquidity and/or credit enhancement to assure
that the trust will have sufficient funds to meet interest and
amortization payments in the event that cash flow from the
underlying assets is insufficient to meet the payment schedule of
the ABSs.
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Synthetic securities are another form of ABSs that have been
developed to address the shortage in the supply of short-term tax
exempt securities.131 While a variety of synthetic structures
exist, all involve trusts and partnerships that, in effect, convert
long-term fixed-rate bonds into variable or floating rate demand
securities. Typically, one or two long-term, high quality, fixed-rate
bonds of a single state or municipal issuer (the ``core securities'')
are deposited in a trust by the sponsor. Interests in the trust may be
distributed through an offering of securities to the public registered
under the 1933 Act, or through an offering exempt from the Act's
registration requirements, such as a ``private placement.'' Holders of
interests in the trust receive interest at the current short-term
market rate and the sponsor receives the difference (after
administrative expenses) between the current market interest rate and
the long-term rate paid by the core securities. An affiliate of the
sponsor or a third party (usually a bank) issues a conditional demand
feature permitting holders to recover principal at par within a
specified period. The demand features are conditional to address tax-
related concerns.
\131\ See, e.g., Peter Heap, ``Inside Derivatives Price and
Demand Are Guide in Building Secondary Market Derivatives,'' Bond
Buyer, Mar. 14, 1995 at 4; ``Portfolio Manager Paints Derivatives
with a Broad Brush,'' The Guarantor, Oct. 10, 1994 at 3.
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The proposed amendments to the rule would have established specific
criteria for fund investment in ABSs, and would have addressed issues
concerning the diversification, maturity and quality standards
applicable to these types of securities. Most commenters argued that it
was not necessary to amend the rule in order to provide for the
treatment of ABSs because the diversification, quality, and maturity
standards applicable to ABSs could be addressed within the existing
framework of the rule. Questions were raised, however, concerning the
applicability of the rule to ABSs both prior to and after the
publication of the Proposing Release,132 and commenters presented
widely divergent and, sometimes, conflicting views on how ABSs should
be treated. The Commission therefore has concluded that amendments are
necessary to reduce uncertainty concerning the application of the rule
to these securities.
\132\ See, e.g., Donaldson, Lufkin & Jenrette Securities
Corporation (pub. avail. Sept. 23, 1994); Orrick, Herrington &
Sutcliffe (pub. avail. July 27, 1994).
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2. Definitions
The Commission is adopting, substantially as proposed, certain
definitions used in the rule. The term ``asset backed security'' is
defined as a fixed-income security issued by a ``special purpose
entity,'' substantially all the assets of which consist of
[[Page 13969]]
``qualifying assets.'' 133 The term ``special purpose entity'' is
defined as a trust, corporation, partnership or other entity organized
for the sole purpose of issuing fixed-income securities, which
securities entitle their holders to receive payments that depend
primarily on the cash flow from qualifying assets.134 Finally, the
term ``qualifying assets'' is defined as financial assets, either fixed
or revolving, that by their terms convert to cash within a finite time
period, plus any rights or other assets designed to assure the
servicing or timely distribution of proceeds to security
holders.135
\133\ Paragraph (a)(2) of rule 2a-7, as amended.
\134\ This term excludes investment companies. Id.
\135\ Id. The Division of Investment Management has received
requests for interpretive guidance under rules 2a-7 and 3a-7 under
the 1940 Act regarding trusts that hold assets that may not be
redeemed or mature within a ``finite time period.'' See, e.g.,
Donaldson, Lufkin & Jenrette Securities Corp. (pub. avail. Sept. 23,
1994) (auction rate preferred stock issued by closed-end fund that
remains outstanding after sale at auction); Brown & Wood (pub.
avail. Feb. 24, 1994) (cumulative preferred stock with no
determinable liquidation date). The Commission welcomes requests for
interpretive guidance or exemptive relief concerning such
instruments. Rule 2a-7, as amended, should not be interpreted to
permit investments in ABSs that hold assets that are not
``qualifying assets'' if the rule's conditions applicable to
investment in ABSs (e.g., the rating requirement) are not complied
with.
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3. Diversification Standards
a. Diversification: General. The proposed diversification standards
would have distinguished between qualifying assets that consist of the
securities of ten or fewer issuers, and qualifying assets that consist
of the securities of more than ten issuers. In the case of qualifying
assets that consist of securities issued by ten or fewer issuers (e.g.,
most tax exempt tender option bond structures),136 the issuer of
each core security would have been treated as the issuer for issuer
diversification purposes. The sponsor of the ABS would have been
treated as the issuer when the ten issuer limit was exceeded.
\136\ See Proposing Release, supra note 20, at Section II.C.4.d.
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(1) Special Purpose Entity as Issuer. In proposing to treat the
sponsor of the special purpose entity as the issuer of the ABS, the
Commission assumed that the credit quality of the ABS reflects the
asset origination practices of the sponsor.137 While some
commenters agreed with the Commission's analysis, most commenters
addressing the subject strongly opposed treating the sponsor of the ABS
as the issuer for diversification purposes. They argued that the
special purpose entity is protected in the event of the sponsor's
bankruptcy so that an investment in an ABS does not reflect the credit
risks associated with an investment in the sponsor. The commenters
pointed out that the NRSRO ratings assigned to ABSs are premised on the
integrity of the structure of the special purpose entity. These
commenters urged that the rule treat the special purpose entity as the
issuer of the ABS. Commenters also pointed out that the proposed
treatment of the sponsor as the issuer of the ABS was inconsistent with
the approach of the Commission elsewhere in the securities
laws.138
\137\ Id.
\138\ One commenter stated that a test different from the one
proposed--that is, one based on asset concentration, would be
consistent with certain positions taken by the Division of
Corporation Finance. An asset concentration in excess of ten percent
may elicit staff comments requesting disclosure of financial
information regarding the obligor of the assets. See Staff
Accounting Bulletins 71 and 71A (``SAB 71/71A'').
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The Commission has decided to modify the proposal to conform with
its treatment of the special purpose entity as the sponsor of the ABS
in other contexts. The diversification standards adopted treat the
special purpose entity as the issuer of the ABS, subject to the
exception described below.139
\139\ Paragraph (c)(4)(vi)(A)(4) of rule 2a-7, as amended.
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(2) Looking through the Special Purpose Entity. Several commenters
agreed that in some circumstances it would be appropriate to ``look
through'' the special purpose entity and treat the obligor of the
qualifying assets as the issuer of a portion of the ABS. These
commenters asserted that whether to look through the special purpose
entity should not turn on the number of qualifying assets, as the
Commission proposed, but the extent to which the special purpose entity
is concentrated in the assets of a single obligor.
The Commission believes that the approach recommended by the
commenters has advantages over that included in the proposal. The
proposed approach was designed primarily to require a fund to look
through the special purpose entity in the case of a tender option bond
or other synthetic security that tends to have few underlying
securities. These structures may have more underlying securities, but
it would be appropriate to continue to look to the ultimate obligor of
the underlying security if the security constitutes a sufficiently
large portion of the obligations underlying the ABS. Moreover, it would
be appropriate to treat an obligor in a more traditional ABS as the
issuer of a proportionate portion of the ABS when the security
represents a sufficiently large portion of the ABS.
Based on these considerations, the Commission has revised the rule
to provide that the special purpose entity generally is treated as the
issuer of the ABS; however, any entity whose obligations constitute ten
percent or more of the principal amount of the qualifying assets
backing the ABS is deemed to be the issuer of that portion of the ABS
equal to the percentage of the qualifying assets represented by all of
the obligations of the entity included in the pool.140 As amended,
the rule provides that a special purpose entity whose qualifying assets
are themselves ABSs (``secondary ABSs'') will be treated as the issuer
of the secondary ABSs.141 A fund holding ABSs is required to make
the calculations necessary to determine the issuer of the ABSs for
diversification purposes on a periodic basis.142
\140\ Id. A diversification test of this type is consistent with
a no-action position taken by the Division of Investment Management
under section 5(b)(1) of the 1940 Act (Hyperion Capital Management,
Inc. (pub. avail. Aug. 1, 1994)) and accounting positions taken by
the Division of Corporation Finance (SAB 71/71A, supra note 136).
See also Securities Exchange Act Release No. 34961 (Nov. 10, 1994)
[59 FR 59590 (Nov. 17, 1994)] at n.80 and accompanying text.
\141\ Paragraph (c)(4)(vi)(A)(4) of rule 2a-7, as amended.
\142\ Paragraphs (c)(8)(iv) and (c)(9)(v) of rule 2a-7, as
amended. The calculations are required to be made periodically
because of the revolving nature of many ABSs' assets.
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b. Diversification: First Loss Guarantees. The Proposing Release
noted that some ABSs are issued with guarantees as to first losses, in
which an institution guarantees all losses up to a specified percentage
(e.g., ten percent of the assets of the pool).143 Because the loss
coverage is usually a multiple of the likely losses to be experienced,
the possibility of the losses exceeding the coverage generally is
considered to be remote. Because a first loss guarantee exposes the
guarantor to essentially the same risk as a guarantor of the entire
value of the security, the Commission proposed that a first loss
guarantor be treated as guarantor of the entire principal amount of the
security for purposes of the put diversification standards.
\143\ Proposing Release, supra note 20, at Section II.C.4.e.
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Only one commenter supported this aspect of the Commission's
proposal. The remaining commenters opposed the proposed amendment, and
generally argued that the proposed treatment of first loss guarantors
was inconsistent with the proposed treatment of put providers whose
obligations are limited
[[Page 13970]]
by contract.144 One commenter objected because the amendment
appeared to be addressing the guarantor's exposure to losses, rather
than the fund's. Another commenter noted that, because of the
contractual limit on the first loss guarantor's obligations, that
guarantor is only required to make payment for losses experienced by
the pool to the extent of its guarantee, and additional losses would
have to be borne by the holder of the ABS.
\144\ Under proposed amendments to the rule's put
diversification provisions, the issuer of a fractional put would
have been treated as guaranteeing only that portion of the value of
the security which it contractually agreed to provide. See Proposing
Release, supra note 20, at Section II.C.2.c. The Commission is
adopting these amendments as proposed. See supra Section II.C.1.d.
of this Release and paragraph (c)(4)(vi)(B)(2) of rule 2a-7, as
amended.
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Rule 2a-7 diversification requirements are designed to limit the
exposure of the fund to any single issuer or credit enhancer.145
Because the exposure of a first loss guarantor to losses the pool may
incur is substantially greater than the exposure of a fractional
guarantor, the exposure of the fund to the first loss guarantor is also
substantially greater.146 Therefore, the Commission believes that
it is appropriate to treat first loss guarantees differently from
fractional guarantees. Because first loss guarantees typically are
designed to cover likely losses to be experienced, a statement made in
the Proposing Release no commenter contradicted, it seems appropriate
to treat the first loss guarantor as guaranteeing the entire value of
the security. The Commission is adopting this amendment as
proposed.147
\145\ See Proposing Release, supra note 20, at Section II.A.
\146\ For example, if a fractional put provider guarantees ten
percent of the losses experienced by a $1 million pool, and the pool
has losses of seven percent, the put provider's exposure is $7,000.
By contrast, if a first loss guarantor guarantees the first ten
percent of losses experienced by a $1 million pool, and the pool has
losses of seven percent, the guarantor's exposure is $70,000--an
amount ten times greater than the fractional put provider's
exposure.
\147\ Paragraph (c)(4)(vi)(B)(2) of rule 2a-7, as amended. The
Commission also notes that the proposed treatment of first loss
guarantees under rule 2a-7 is consistent with a notice of proposed
rulemaking issued by the Department of the Treasury, the Federal
Reserve System, and the Federal Deposit Insurance Corporation.
``Risk-Based Capital Requirements--Recourse and Direct Credit
Substitutes; Proposed Rule,'' 59 FR 27115 (May 25, 1994). As
described in that release, the Office of the Comptroller of the
Currency, Department of the Treasury, The Board of Governors of the
Federal Reserve System, the Federal Deposit Insurance Corporation
and the Office of Thrift Supervision, Department of the Treasury
proposed revisions to their risk-based capital standards that would
treat certain first loss guarantees as a guarantee of the entire
principal amount of the assets enhanced.
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4. Quality Standards
The proposed amendments to rule 2a-7 would have limited funds to
investing only in an ABS that has a short-term rating from a NRSRO and,
when the final maturity of the ABS exceeds 397 days, a long-term debt
rating from a NRSRO. Many commenters opposed this proposed requirement,
arguing that it would be redundant because the rule currently requires
fund managers to perform a thorough legal, structural and credit
analysis with respect to all securities. The Commission notes that the
legal, structural and credit analysis required by rule 2a-7 is to be
conducted independently of any determination of a security's credit
quality made by a NRSRO.148 In addition, the Commission continues
to believe that, in view of the role NRSROs have played in the
development of the structured finance markets, a rating requirement
should not be burdensome.149 Because both short- and long-term
debt ratings from NRSROs reflect the NRSROs' legal, structural, and
credit analyses, the rule requires that an ABS be rated in order to be
eligible for fund investment, but does not specify whether the rating
received must be short- or long-term.150
\148\ Paragraph (c)(3)(i) of rule 2a-7, as amended; Release
18005, supra note 11, at Section II.A. (adopting amendments to
paragraph (c)(2) of rule 2a-7); Letter to Registrants (pub. avail.
May 8, 1990). For a discussion of the limitations of NRSRO ratings
for evaluating certain aspects of ABSs, see Investment Company Act
Rel. No. 20509 at Sec. I.B.1 (Aug. 31, 1994) [59 FR 46304 (Sept. 7,
1994)].
\149\ Proposing Release, supra note 20, at Section II.C.4.b.
\150\ Paragraph (a)(9)(iii)(C) of rule 2a-7, as amended.
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5. Maturity Standards
The proposed maturity standards for ABSs would have taken into
account the difference between ``pay-through'' ABSs and ``pass-
through'' ABSs. A pay-through ABS has a maturity and payment schedule
different from that of its underlying assets. A pass-through ABS is one
in which the cash generated by the underlying assets passes through
directly to the ABS holders. Pass-through ABSs held by funds generally
are not scheduled to return a holder's principal for three to five
years. They typically provide for periodic interest rate resets and for
principal to be returned after some period (not exceeding thirteen
months) after a demand for payment has been made.
The proposed amendments would have provided that the final maturity
of an ABS is the date on which principal is scheduled to be returned to
the holder, regardless of whether demand has been made. The proposed
amendments also would have permitted a fund to measure the maturity of
an ABS with an adjustable rate of interest subject to a demand feature
by reference to the time principal is scheduled to be repaid once
demand is made, but only if the holder is entitled to receive principal
and interest within thirteen months of making demand.
Several commenters expressed concern regarding the treatment of a
pass-through ABS with a ``scheduled'' maturity. The commenters noted
that the effect of the proposed amendments would be to allow funds to
determine the maturity of an ABS by relying on the date on which
principal is scheduled, but not necessarily required, to be repaid.
These commenters concluded that the proposed amendments' reference to a
scheduled principal repayment is troublesome because on that date there
is no binding obligation under which the fund would receive payment. In
light of the comments, the Commission has decided to modify the ABS
maturity determination by amending the definition of ``demand feature''
to include a feature of an ABS permitting the fund unconditionally to
receive principal and interest within thirteen months of making
demand.151
[[Page 13971]]
The maturity of an ABS with a final maturity in excess of 397 days may
be determined by reference to a demand feature only if the ABS also
meets the definition of a floating or variable rate security.152
\151\ Paragraph (a)(7)(ii) of rule 2a-7, as amended. For
example, prior to the fund's election to receive principal payments,
the maturity of an adjustable rate ABS with a five year final
maturity and a demand feature permitting the fund to obtain
principal and interest within thirteen months would be considered a
thirteen month instrument at all times (i.e., on a rolling basis).
After the election is made, a fund could treat such an instrument as
having a maturity equal to the date when principal will be returned
(i.e., each day that the fund holds the instrument after election,
the fund could reduce the security's maturity by one day).
This amendment supersedes an interpretive position taken by the
Division of Investment Management in Merrill, Lynch, Pierce, Fenner
& Smith (pub. avail. Apr. 6, 1987). In Merrill, Lynch, the Division
addressed the maturity determination for a type of variable rate
coupon note. A holder of the notes was required to satisfy certain
conditions in order to receive principal on ``the date noted on the
face of the instrument'' (quoting paragraph (d)(1) of rule 2a-7,
prior to amendment), and, so long as the notes continued to be held,
their maturity was automatically extended at the end of each
interest rate reset period by one additional such period. The
Division concluded that, subject to certain conditions, a money fund
could treat such a security as having a maturity equal to the date
specified on the face of the instrument, as automatically extended
by an additional interest payment period. The Merrill, Lynch
position is inconsistent with paragraph (d) of rule 2a-7, as
amended, which provides that an instrument's maturity is the date on
which ``the principal amount must unconditionally be paid'' and with
the maturity determination requirements for ABS discussed in the
text of this release. Money funds may, however, continue to treat a
``mandatory tender'' feature as an unconditional right to receive
principal, provided that the issuer's obligation to pay is not
dependent on the fund taking any action (such as giving notice to
the issuer of the intent to redeem), other than physically
delivering the notes or bonds for redemption.
\152\ Paragraphs (d)(3) and (d)(5) of rule 2a-7, as amended. The
maturity of a floating or variable rate ABS may also be determined
by reference to a demand feature meeting the requirements of
paragraph (a)(7)(i) of the amended rule.
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F. Variable and Floating Rate Securities
Rule 2a-7 generally prohibits a money fund from acquiring a
security with a remaining maturity of more than 397 calendar days. The
purpose of this requirement and the other maturity provisions of the
rule is to limit a fund's exposure to interest rate risk.153 The
rule generally requires a fund to measure the maturity of a portfolio
security by reference to the security's final maturity date. A fund,
however, may measure the maturity of a ``variable rate security'' or a
``floating rate security'' (collectively, ``adjustable rate
securities'') by reference to a date that is earlier than the final
maturity date.
\153\ See Release 13380, supra note 7, at n.14 and accompanying
text; State of Wisconsin (pub. avail. Mar. 3, 1983).
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Rule 2a-7 defines a ``variable rate security'' as an instrument the
terms of which provide for the adjustment of the interest rate on
specified dates and that, upon adjustment, can reasonably be expected
to have a market value that approximates par value. A ``floating rate''
security is defined as an instrument the terms of which provide for the
adjustment of its interest rate whenever a specified benchmark changes
and that, at any time, can reasonably be expected to have a market
value that approximates par value. Rule 2a-7 allows certain adjustable
rate securities to be treated as having maturities shorter than their
final maturities; however, the manner in which an adjustable rate
instrument is treated depends upon whether it has a demand feature, the
final maturity of the instrument and whether the instrument is a
Government security.
1. Maturity Determinations: Floating Rate Securities
Under the current rule, the maturity of a floating rate security
subject to a demand feature is the period remaining until principal can
be recovered through demand. The same test is generally applicable in
determining the maturity of a variable rate security subject to a
demand feature, the principal amount of which is scheduled on the
instrument's face to be paid in more than 397 days. In contrast, a
variable rate security (without a demand feature) scheduled to be paid
in 397 days or less may be treated as having a maturity equal to the
period remaining until the next readjustment of the interest rate.
There is no parallel provision for floating rate securities with final
maturities of 397 days or less.
Because variable and floating rate securities expose funds to
similar types of interest rate risk, the Commission proposed to amend
the rule to permit funds to determine the maturity of floating rate
securities with final maturities of 397 days or less by referring to
the interest rate reset. Commenters supported the proposed amendment,
which the Commission is adopting substantially as proposed.154 The
interest rate of a floating rate security moves in tandem with changes
in the interest rate to which it is linked, and the amendments will
permit funds to treat these instruments as having one-day maturities.
\154\ Floating rate securities with final maturities of more
than 397 days that are subject to demand features are deemed to
having maturities equal to the period remaining until principal can
be recovered through demand. Paragraph (d)(5) of rule 2a-7, as
amended.
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2. Maturity Determinations: Variable Rate Securities
Under the current rule, when the period remaining until the final
maturity of a variable rate demand instrument (i.e., its maturity
without reference to the demand feature) is less than 397 days, its
maturity under rule 2a-7 is the longer of the period remaining until
the next interest rate readjustment or the date on which principal can
be recovered on demand. A variable rate security with the same final
maturity that does not have a demand feature is treated as having a
remaining maturity equal to the period remaining until the next
readjustment in the interest rate. The effect of these provisions is
that a variable rate security with a final maturity of less than 397
days will have a longer maturity when a demand feature is added to it.
To correct this anomaly, the Commission proposed that only a
variable rate demand security with a final maturity in excess of 397
days would have its maturity measured by the longer of the period
remaining until its next interest rate adjustment or the date on which
principal can be recovered on demand; the maturities of securities with
final maturities of 397 days or less would be measured by reference to
the earlier of the date on which the interest rate next readjusts or
the date on which principal can be recovered on demand. Commenters
supported the proposed amendment, which the Commission is adopting as
proposed.155
\155\ Paragraph (d)(2) of rule 2a-7, as amended.
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3. Adjustable Rate Government Securities
Rule 2a-7 provides that ``an instrument that is issued or
guaranteed by the United States government or any agency thereof which
has a variable rate of interest adjusted no less frequently than every
762 days'' is deemed to have a maturity equal to the period remaining
until the next readjustment of the interest rate.156 The
Commission is adopting two amendments to clarify the scope of this
provision.
\156\ Paragraph (d)(1) of rule 2a-7, as amended. Generally, the
readjustment must occur every 397 days to reflect the rule's
maturity requirements. For certain funds that mark-to-market,
however, readjustment may occur every 762 days. Paragraph (c)(2)(ii)
of rule 2a-7, as amended.
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First, the amendments clarify that the maturity of the security may
only be determined by reference to the interest readjustment date if,
upon readjustment, the security can reasonably be expected to have a
market value that approximates par value.157 This change makes
explicit that Government securities are treated the same way as other
adjustable rate securities under the rule.158
\157\ This codifies the interpretation of the current rule. See
Investment Company Institute (pub. avail. June 16, 1993); Morgan
Keegan & Company, Inc. (pub. avail. July 24, 1992) at n.7.
\158\ The amendments also make clear that this provision applies
to floating rate Government securities. Paragraph (d)(1) of rule 2a-
7, as amended.
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Second, the reference to Government securities in paragraph (d)(1)
of rule 2a-7 is being conformed to other provisions of the rule
relating to Government securities. As amended, the provision applies to
all Government securities, including securities issued by persons
controlled or supervised by and acting as instrumentalities of the U.S.
Government.159
\159\ The amendment reflects a no-action position taken by the
Division of Investment Management with respect to securities issued
by instrumentalities of the U.S. government. See Student Loan
Marketing Association (pub. avail. Jan. 18, 1989).
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4. Other Issues Concerning Adjustable Rate Securities
a. Background. Rule 2a-7 allows the maturity of adjustable rate
securities to be determined by reference to interest rate adjustment
dates if the security ``can reasonably be expected to have a market
value that approximates its par value'' upon adjustment of the interest
[[Page 13972]]
rate.160 The Commission proposed to clarify that the board of
directors or its delegate must have a reasonable expectation that, upon
each adjustment of the interest rate until the final maturity of the
security or until the principal amount can be recovered through demand,
the security will have a market value approximating its amortized
cost.161
\160\ Paragraphs (a)(7) and (a)(21) of rule 2a-7 [17 CFR 270.2a-
7(a)(7) and (a)(21)], prior to amendment. Adjustable rate securities
may be priced at a premium to par value when the security pays
interest above market rates. A fund may treat the security as an
adjustable rate security for purposes of rule 2a-7's maturity
provisions if the fund reasonably expects that upon readjustment of
the interest rate, the market value of the security will approximate
its amortized cost. The premium generally would be amortized over
the life of the security. It is critical that the fund carefully
consider all factors involved in the valuation of the security,
particularly the likelihood of prepayment before the premium is
fully amortized. An accelerated return of principal will require the
fund to write off the premium before it is amortized, and could
result in a significant deviation between the amortized cost and
market value of the security.
\161\ Paragraphs (a)(12) and (a)(30) of rule 2a-7, as amended.
---------------------------------------------------------------------------
Several commenters discussed the proposed amendments to the
maturity determination provisions of the rule as they relate to
adjustable rate Government securities. Commenters opposing this aspect
of the proposed amendments emphasized that the amendments should
exclude adjustable rate Government securities ``based on the lack of
credit risk'' inherent in these instruments. The maturity determination
provisions of the rule, however, are designed to limit a fund's
exposure to interest rate, rather than credit, risk and recent history
demonstrates that an investment in a Government security can expose the
fund to substantial interest rate risk.162 The Commission is,
therefore, adopting the amendment as proposed.
\162\ In the Proposing Release, the Commission noted that a
number of adjustable rate securities developed specifically for
money market funds had interest rate readjustment formulas that
could not be expected to reflect short-term interest rates under
certain conditions. At that time, the Commission expressed the
concern that changes in interest rates or other conditions that
could reasonably be foreseen to occur during the life of the
securities could result in their market values not returning to par
at the time of an interest rate readjustment. The Commission
identified securities that displayed this characteristic, and
concluded that such securities presented risks that were not
appropriate for money market funds to assume. See Proposing Release,
supra note 20, at nn.161-164 and accompanying text.
In June 1994, the Division of Investment Management provided
money market funds and their advisers with additional guidance
concerning investments in adjustable rate securities. The Division
reminded fund managers of their general obligations under rule 2a-7
to ensure that money market funds invest only in securities that are
consistent with maintaining stable net asset values, and directed
money market funds that held these securities to work with their
advisers in developing plans for their orderly disposition. See
Letter from Barry P. Barbash, Director, Division of Investment
Management, to Paul Schott Stevens, General Counsel, Investment
Company Institute (June 30, 1994). Money market funds holding
adjustable rate securities of the type described in the Proposing
Release experienced problems when short-term interest rates
increased last year. To maintain their funds' stable net asset
values, a number of fund advisers took actions which included
purchasing certain adjustable rate securities from their money
market funds at their amortized cost value (plus accrued interest),
or contributing capital to the funds. One fund holding notes of this
type, the U.S. Government Money Market Fund, a series of Community
Bankers Mutual Fund, Inc., announced in September 1994 that it would
liquidate and distribute less than $1.00 per share to its
shareholders. Press reports generally treated this liquidation as
the first instance in which a money market fund had ``broken a
dollar.'' See Brett D. Fromson, ``Losses on Derivatives Lead Money
Fund to Liquidate,'' Washington Post, Sept. 28, 1994 at F1; Leslie
Wayne, ``For Money Market Fund Investors, New Cautions,'' N.Y.
Times, Sept. 29, 1994 at D1, D8.
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The effect of the new provision is to prohibit funds from
purchasing an adjustable rate Government security with a remaining
maturity of more than 397 days unless the interest rate readjustment
mechanism can reasonably be expected to return the instrument to par
upon all interest rate adjustment dates during the life of the
instrument. A fund could purchase an adjustable rate Government
security with a remaining maturity of 397 days or less, the value of
which the fund does not expect to return to par on all interest rate
adjustment dates, but would have to treat the security as a fixed rate
security and measure its maturity by reference to its final maturity.
Adjustable rate securities with demand features generally would not be
affected by the proposed changes because if a discount develops or is
likely to develop a fund could exercise the demand feature and receive
the amortized cost value of the instrument.
b. Recordkeeping Requirement. The Commission proposed to require a
money market fund to maintain a written record of its determination
that an adjustable rate security, the maturity of which is determined
by reference to its interest rate readjustment date, will either
maintain a value of par or return to par on each interest rate
readjustment date through the life of the security. A number of
commenters who opposed this requirement stated that further guidance
regarding the definition of the term ``approximates par'' was necessary
or that the rule should specifically state the amount of deviation that
would be perm
FR Doc. 96-7334 Revisions to Rules Regulating Money Market Funds
issible. The Commission believes that this approach would
be rigid and unnecessary, absent an indication that decisions reached
in this area by funds are inconsistent with the purposes of the rule.
Other commenters asserted that the paperwork burden this
requirement could entail might outweigh benefits to shareholders, and
might have the effect of forcing funds to purchase higher proportions
of fixed rate securities that may have a higher degree of price
volatility than adjustable rate securities. The Commission is not
persuaded by this argument. One of these commenters suggested that if
the determination regarding the return to par would be common to a
group of securities, a single documentation of the analysis should be
sufficient. The Commission agrees. The amendments do not require a
fund's board of directors to maintain a written determination for each
individual adjustable rate security in the fund's portfolio--it is
sufficient for the fund to maintain the required record for each type
of security (e.g., one record could be maintained for several different
adjustable rate securities of similar credit quality whose interest
rate readjustment mechanisms are tied to LIBOR plus or minus a number
of basis points that make the securities similarly sensitive to
interest rate changes). The Commission has decided to adopt the
amendments as proposed.163
\163\ Paragraphs (c)(8)(iii) and (c)(9)(iv) of rule 2a-7, as
amended.
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G. Other Amendments to Rule 2a-7
1. U.S. Dollar Denominated Instruments
To avoid exposure to foreign currency risk, rule 2a-7 limits fund
investment to ``United States dollar-denominated securities.'' 164
The proposed amendments would have defined the term ``United States
dollar-denominated'' to clarify that it means: (a) the payment of
interest and principal must be made in U.S. dollars at all times; and
(b) an eligible security's interest rate may not vary or float with a
rate tied to foreign currencies, foreign interest rates, or any index
expressed in a currency other than U.S. dollars.
\164\ Paragraph (c)(3)(i) of rule 2a-7, as amended.
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Several commenters were critical of the proposed definition and
recommended that the rule permit fund investment in securities on which
the amount of interest payable is based on changes in the value of a
foreign currency as long as principal and interest are payable in full
in U.S. dollars. The Commission believes that amending the rule in this
manner would have the effect of exposing the fund to currency
fluctuations. The Commission has decided to adopt the definition of
[[Page 13973]]
``United States dollar-denominated'' as proposed.165
\165\ Paragraph (a)(28) of rule 2a-7, as amended.
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2. Investment in Other Money Funds
The Commission is adopting, as proposed, amendments to rule 2a-7 to
clarify that shares in other money funds that comply with the rule: (a)
are first tier securities;166 and (b) should be treated as having
a rolling maturity equal to the period of time within which the
acquired fund is required to make payment upon redemption under
applicable law.167 A shorter maturity may be used if the fund
making the investment has a contractual arrangement with the other
money fund for more rapid receipt of redemption proceeds.168
\166\ Paragraph (a)(11)(iv) of rule 2a-7, as amended.
\167\ Paragraph (d)(8) of rule 2a-7, as amended. See also
Proposing Release, supra note 20, at n.182 and accompanying text;
T+3 Letter, supra note 65.
\168\ Id.
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For diversification purposes, an investment in another money fund
generally may be treated as an investment in any other issuer (and
therefore generally cannot exceed five percent of a fund's
assets).169 An exception to this treatment is made for funds that
invest substantially all of their assets in shares of another money
fund (the ``underlying fund'') in which case the fund is permitted to
``look through'' the shares to the assets of the underlying
fund.170 These include funds in ``master-feeder'' arrangements and
certain separate accounts offering variable insurance products. Such a
fund will be deemed to be in compliance with rule 2a-7 for
diversification and other purposes if the board of directors reasonably
believes that the underlying money fund is in compliance with the
rule.171 The board of directors of the fund is not required to
monitor every investment decision made by the underlying fund. Rather,
the board could review the underlying fund's procedures and obtain
regular reports concerning the underlying fund's compliance with the
rule.172
\169\ Investment by one fund in another is limited by section
12(d)(1)(A) of the 1940 Act [15 U.S.C. 80a-12(d)(1)(A)]. Section
12(d)(1)(A) provides that a fund may not invest more than ten
percent of its assets in securities issued by other investment
companies, invest more than five percent of its assets in any single
investment company, or acquire more than three percent of the voting
securities of another investment company.
\170\ Paragraph (c)(4)(vi)(A)(5) of rule 2a-7, as amended. The
restrictions of section 12(d)(1)(A) do not apply if the fund making
the investment invests all of its assets in shares of another fund,
subject to certain conditions. Section 12(d)(1)(E) [15 U.S.C. 80a-
12(d)(1)(E)].
\171\ Paragraph (c)(4)(vi)(A)(5) of rule 2a-7, as amended. The
responsibility for making this determination may be delegated by the
board to the fund's adviser. Paragraph (e) of rule 2a-7, as amended.
\172\ In addition, the investment objectives and policies of the
two funds should not be inconsistent. See Guide 34 to Form N-1A and
Guide 38 to Form N-3.
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3. Board Approval and Reassessment of Certain Securities
Rule 2a-7 currently requires the board of directors of a taxable
fund to approve or ratify purchases of unrated securities and
securities that are rated by only one NRSRO. The amendments eliminate
this requirement.173
\173\ Paragraph (c)(3) of rule 2a-7, as amended.
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Rule 2a-7 also requires funds to limit portfolio investments to
securities determined to present minimal credit risks. In compliance
with this requirement, the fund's board of directors must reassess
promptly whether a security presents minimal credit risks when the
fund's investment adviser becomes aware that an unrated security or a
second tier security has been given a rating by any NRSRO below the
NRSRO's second highest rating category. The Proposing Release requested
comment on whether to permit delegation of the reassessment
requirement.174 All the commenters who responded to this request
suggested that the rule should permit delegation of the reassessment
requirement to the fund's investment adviser. These commenters stated
that the investment adviser is in a better position to make credit
determinations given its staff and analytical and information
resources. The Commission agrees, and is amending the rule as
suggested.175
\174\ Proposing Release, supra note 20, at Section II.D.6.
\175\ Paragraphs (c)(5)(i)(A) and (e) of rule 2a-7, as amended.
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4. Recordkeeping
Amendments to rule 2a-7 require a fund to maintain a written record
of the determination that a portfolio security presents minimal credit
risks and to maintain a record of NRSRO ratings (if any) used to
determine the status of a security under the rule.176 The
Commission is also adopting, as proposed, amendments to rule 31a-1
under the 1940 Act that require money funds to maintain in their
portfolio investment records information identifying: (a) each security
by its legal name; (b) any liquidity or credit enhancements associated
with each security; and (c) any coupons, accruals, maturities, puts,
calls or any other information necessary to identify, value and account
for each security.
\176\ Paragraph (c)(9)(iii) of rule 2a-7, as amended.
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5. Defaulted Securities
Rule 2a-7 imposes certain obligations regarding defaulted
securities.177 The Commission proposed amending the rule to
include ``events of insolvency'' as events that would trigger these
obligations, and is adopting those amendments substantially as they
were proposed.178 The Commission is adopting as proposed an
amendment to the rule that would require a fund to notify the
Commission of the default of a security subject to a credit enhancement
or demand feature only in the event that the provider of the
enhancement or demand feature failed to fulfill its obligations to the
fund.179
\177\ See Proposing Release, supra note 20, at Section II.D.8.
\178\ Paragraphs (a)(10) and (c)(5)(ii) of rule 2a-7, as
amended.
\179\ Paragraph (c)(5)(iv) of rule 2a-7, as amended.
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6. Technical Amendments
The Commission is adopting technical amendments to rule 2a-7 to
clarify its terminology. References to ``instruments'' are being
changed to ``securities.'' In addition, references to the requirement
that the market value of an adjustable rate security must reasonably
approximate its par value are being changed to clarify that the
security's market value must reasonably approximate its amortized
cost.180 The definition of ``unrated security'' also is being
revised to clarify that if an unrated security becomes rated while held
by the fund, the fund may continue to treat it as an unrated security,
in the same manner as a fund may continue to determine whether a
security rated by a single NRSRO is first or second tier if a second
NRSRO rates the security after it is acquired by the fund.181 The
definition of ``first tier security'' is also being amended to include
government securities.182
\180\ Paragraphs (a)(12), (a)(30), and (c)(8)(iii) of rule 2a-7,
as amended. See supra Section II.F.4.a. (discussion of determination
that par will be approximated).
\181\ Paragraph (a)(29) of rule 2a-7, as amended.
\182\ Paragraphs (a)(11)(v) and (a)(13) of rule 2a-7, as
amended. Prior to the adoption of today's amendments, a fund
purchasing a government security would have been required to treat
the security as an unrated first tier security (paragraph
(a)(11)(iii) of rule 2a-7, as amended), because NRSROs do not rate
government securities. As a result, the fund would have been
required to perform a comparability analysis. Under the amended
definition of ``first tier security,'' a fund may treat a government
security as first tier without conducting a comparability analysis,
even though the security has not received a rating from an NRSRO.
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III. Amendments to Disclosure Rules
The Commission is adopting amendments to the forms and advertising
rules used by tax exempt
[[Page 13974]]
funds and is publishing a Staff Guide designed to elicit disclosures
concerning the specific risks of investing in tax exempt funds.
A. Single State Funds
To alert investors to the greater risks of investing in single
state funds, proposed amendments to Form N-1A would have a required a
single state fund to disclose in its prospectus that: (1) its
investments are concentrated geographically; (2) for a single state
fund that does not meet the Five Percent Diversification Test, that the
fund may invest a significant percentage of its assets in the
securities of a single issuer; and (3) that an investment in the fund
therefore may be riskier than an investment in other types of money
funds.
Several commenters, while generally supporting additional
disclosure, expressed concern that the proposed disclosure for single
state funds might exaggerate the risk of investing in these funds,
leading to investor confusion. These commenters urged the Commission
not to require a single state fund to disclose that an investment in it
may be riskier than an investment in another type of money fund. The
amendments to rule 2a-7 require single state funds to be diversified at
the five percent level as to seventy-five percent of their assets, but
these funds are less diversified than other types of money market funds
and are still dependent on the financial health of a particular
state.183 Because of the importance of diversification in
protecting a fund from exposure to a particular issuer, the Commission
has decided to require a single state fund that is not diversified as
to 100% of assets to disclose on the cover page of the prospectus that
it may invest a significant percentage of its assets in the securities
of a single issuer, and that an investment in the fund may therefore be
riskier than investment in other types of money funds. The Commission
has also decided to adopt the disclosure requirement regarding
geographic concentration, which may be placed in the text of the
prospectus, substantially as proposed.184
\183\ See supra Section II.B.1.a. of this Release and paragraph
(c)(4)(ii) of rule 2a-7, as amended.
\184\ Item 4(c) of Form N-1A, as amended.
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B. Disclosure Concerning Exposure to Put Providers
The Commission is publishing an amendment to Staff Guide 21 to Form
N-1A. The amendment interprets the form as requiring a money fund
having more than forty percent of its portfolio subject to third party
credit enhancements to disclose that the safety of its portfolio (and
the ability of the fund to maintain a stable share price) is largely
dependent upon guarantees from foreign and domestic banks and that
these arrangements are not subject to federal deposit insurance. The
wording of the guide has been changed somewhat from the draft published
in the Proposing Release 185 to reflect the approach taken by the
Commission in proposing to simplify money market fund
prospectuses.186
\185\ Guide 21 to Form N-1A, as amended.
\186\ Investment Company Act Rel. No. 21216 (July 19, 1995) [60
FR 38454 (July 26, 1995)].
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Under the proposed amendments, money fund portfolio schedules would
have been required to include information regarding put
providers.187 Those amendments are not being adopted at this time.
The Commission is currently examining portfolio schedule requirements
for investment companies generally and will continue to consider the
proposed amendments in connection with that project.
\187\ Proposing Release, supra note 20, at Section III.C.
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C. Risk Disclosure in Certain Communications
Money funds are required to include in certain advertisements and
sales literature a statement that an investment in a money fund is not
insured or guaranteed by the U.S. Government and there can be no
assurance that the fund will maintain a stable net asset value.188
The amendments extend this requirement to ``tombstone'' advertisements
under rule 134 of the 1933 Act.189
\188\ See paragraph (a)(7) of rule 482 [17 CFR 230.482(a)(7)]
and introductory paragraph of rule 34b-1 [17 CFR 270.34b-1].
\189\ Paragraph (e) or rule 134, as amended [17 CFR 230.134(e)].
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IV. Exemptive Rule Governing Purchases of Certain Portfolio Securities
by Affiliated Persons
The Proposing Release noted that when money funds have held a
security that is no longer eligible for fund investment, fund advisers
or related persons frequently have repurchased the security from the
fund at the security's amortized cost value to avoid any fund
shareholder loss.190 These transactions came within section
17(a)(2) of the 1940 Act [15 U.S.C. 80a-17(a)(2)], which prohibits an
affiliated person of a fund, or an affiliated person of such a person,
from knowingly purchasing a security from the fund in the absence of a
Commission exemption. Nevertheless, the transactions appeared to be
reasonable, fair, in the best interests of fund shareholders, and
consistent with the actions that a fund should take in the event of a
default of a portfolio security.191 Thus, the staff of the
Division of Investment Management advised parties to these transactions
that the staff would not recommend enforcement action to the Commission
if these transactions were consummated.
\190\ Proposing Release, supra note 20, at nn.12 and 28 and
accompanying text.
\191\ Paragraph (c)(5)(ii) of rule 2a-7, as amended, requires a
fund holding a defaulted security to dispose of the security as soon
as practicable consistent with achieving an orderly disposition of
the security, unless the fund's board of directors concludes that
disposal would not be in the best interests of the fund.
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Based upon the Commission's experience with actions taken by funds
and their affiliates to dispose of portfolio securities that were no
longer eligible under rule 2a-7,192 the Commission proposed new
rule 17a-9 to exempt from section 17(a) of the 1940 Act the purchase of
a security that is no longer an eligible security. Several commenters,
including the ICI, opposed the adoption of rule 17a-9, asserting that
its mere existence would cause investors to expect a fund's adviser to
purchase ineligible securities from the fund, and guarantee that the
fund will maintain a stable net asset value.
\192\ See Testimony of Arthur Levitt, Chairman, U.S. Securities
and Exchange Commission, Concerning Issues Affecting the Mutual Fund
Industry Before the Subcommittee on Telecommunications and Finance,
Committee on Energy and Commerce, U.S. House of Representatives, 23-
25 (Sept. 27, 1994); Testimony of Arthur Levitt, Chairman, U.S.
Securities and Exchange Commission, Concerning Municipal Bond and
Government Securities Markets Before the Committee on Banking,
Housing and Urban Affairs, U.S. Senate, 10-11 (Jan. 5, 1995).
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The Commission believes that existing rules applicable to money
funds already address this concern by requiring money fund prospectuses
and sales literature to disclose prominently that there is no assurance
or guarantee that a fund will be able to maintain a stable net asset
value of $1.00 per share.193 Moreover, the Commission believes it
unlikely that the existence of an exemptive rule alone will create any
investor expectations.
\193\ See Release 18005, supra note 11, at Section II.H.
(adopting amendments to Item 1(a)(ix) of Form N-1A).
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The Commission has decided to adopt the rule as proposed. In doing
so, the Commission is not suggesting that affiliated persons of funds
have any legal obligation to enter into transactions covered by the new
rule. The exemption applies to transactions where: (a) the purchase
price is paid in cash; and (b) the purchase price is equal to the
greater of the amortized cost of the security or its market price (in
each
[[Page 13975]]
case, including accrued interest).194 The rule, as adopted, is
available for transactions involving securities that are no longer
eligible securities because they no longer satisfy either the credit
quality or maturity limiting provisions of the rule (e.g., the
securities are long-term adjustable rate securities whose market values
no longer approximate their par values on the interest rate
readjustment dates).
\194\ See rule 17a-9, as adopted. A fund must notify the
Commission in the event of default with respect to portfolio
securities that account for one half of one percent or more of a
fund's assets immediately before the occurrence of default. See
paragraph (c)(5)(iii) of rule 2a-7, as amended.
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V. Compliance Dates
A. General Compliance Date
Money funds may comply with any of the amendments or rules adopted
today upon publication of this release in the Federal Register.
Beginning October 3, 1996, money funds must comply with all amendments
and rules adopted today not specifically addressed below in paragraphs
B. and C.195 The Commission is delegating to the Division Director
the authority to address issues regarding compliance dates that are not
addressed in this section, unless the Director believes that it is
necessary in the public interest or in the interest of investors that
the Commission consider the issue.
\195\ To the extent these amendments involve clarification of
Commission or staff interpretations of the current provisions of
rule 2a-7, these compliance dates are not intended to suggest that
non-compliance prior thereto does not involve a violation of rule
2a-7.
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Rule 2a-7 requires funds to meet the rule's diversification
requirements with respect to a particular issuer on the date the fund
acquires a security of that issuer.196 Therefore, phase-in rules
for the new diversification requirements for tax exempt funds are
unnecessary. A tax exempt fund holding a greater percentage of its
total assets in the securities of an issuer than the applicable
diversification requirement permits as of October 3, 1996 may not
purchase additional securities or ``roll over'' current holdings until
such securities purchased or rolled over will not cause the fund to
exceed the applicable diversification requirements immediately after
the purchase or rollover. Funds are not required to exercise puts or
otherwise dispose of portfolio holdings to meet the new diversification
requirements.
\196\ Paragraphs (c)(4) (i) and (ii) (with respect to
diversification generally) and (c)(4)(v) (with respect to
diversification of puts) of rule 2a-7, as amended.
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B. Grandfathered Securities
To minimize disruption to funds and markets as a result of adoption
of these amendments, the Commission is ``grandfathering'' certain
securities first issued on or before June 3, 1996 that do not meet the
following requirements of the amended rule:
(1) requirement that demand features be rated; 197
\197\ Paragraph (a)(9)(iii)(D)(1) of rule 2a-7, as amended.
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(2) requirement that, in order for a security subject to a demand
feature to be an eligible security, the fund must receive notice from
the demand feature's issuer or another institution if there is a
substitution of the provider of the demand feature; 198
\198\ Paragraph (a)(9)(iii)(D)(2) of rule 2a-7, as amended.
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(3) new requirements for ABSs regarding maturity determinations and
ratings; 199
\199\ Paragraphs (a)(7)(ii) (definition of demand feature for
ABS) and (a)(9)(iii)(C) (rating requirements) of rule 2a-7, as
amended. Note, however, that funds are required to apply the
diversification requirements for ABS in accordance with Section
V.A., supra, of this Release. See also paragraph (c)(4)(vi)(A)(4) of
rule 2a-7, as amended (diversification calculation for ABSs).
---------------------------------------------------------------------------
(4) revised definition of ``put'' to include ability to recover
principal and any accrued interest; 200 and
\200\ Paragraph (a)(16) of rule 2a-7, as amended.
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(5) requirement that security subject to conditional demand feature
is an eligible security only if board of directors or its delegate
makes certain determinations regarding the demand feature's
exercisability.201
\201\ Paragraph (c)(3)(iii)(B) of rule 2a-7, as amended.
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A money fund may continue to hold these ``grandfathered''
securities or acquire such securities provided that they satisfy the
other provisions of the rule, as amended, and are issued on or before
June 3, 1996.
C. Disclosure and Reporting
The following amendments pertaining to disclosure and advertising
will become effective as follows:
(1) amendments to Form N-1A will be effective: (1) for investment
companies whose registration statements become effective on or after
June 3, 1996 upon use of any prospectus on or after June 3, 1996; and
(2) for all other investment companies, upon use of any prospectus
contained in any post-effective amendment filed on or after June 3,
1996;
(2) amendments to Form N-SAR will be effective for any report
required by rules 30a-1 and 30b1-1 [17 CFR 270.30a-1 and 270.30b1-1]
filed on or after July 3, 1996; and
(3) the amendment to rule 134 under the Securities Act of 1933 will
be effective for ``tombstone'' advertisements used after June 3, 1996.
VI. Regulatory Flexibility Analysis
A summary of the Initial Regulatory Flexibility Analysis regarding
the proposed rule and form amendments was published in the Proposing
Release. No comments were received. The Commission has prepared a Final
Regulatory Flexibility Analysis in accordance with 5 U.S.C. 604, a copy
of which may be obtained by contacting Martha H. Platt, Senior
Attorney, Mail Stop 10-6, Securities and Exchange Commission, 450 Fifth
Street, N.W., Washington, D.C. 20549.
VII. Statutory Authority
The Commission is amending rule 2a-7 under the exemptive and
rulemaking authority set forth in sections 6(c) [15 U.S.C. 80a-6(c)],
8(b) [15 U.S.C. 80a-8(b)], 22(c) [15 U.S.C. 80a-22(c)], 34(b) [15
U.S.C. 80a-34(b)], and 38(a) [15 U.S.C. 80a-37(a)] of the Investment
Company Act of 1940. The Commission is adopting rule 17a-9 under the
exemptive and rulemaking authority set forth in sections 6(c) [15
U.S.C. 80a-6(c)] and 38(a) [15 U.S.C. 80a-37(a)] of the Investment
Company Act of 1940. The authority citations for the amendments to the
rules and forms precede the text of the amendments.
VIII. Text of Rule and Form Amendments
List of Subjects in 17 CFR Parts 230, 239, 270 and 274
Investment companies, Reporting and recordkeeping requirements,
Securities.
For the reasons set out in the preamble, the Commission is amending
chapter II, title 17 of the Code of Federal Regulations as follows:
PART 230--GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933
1. The authority citation for Part 230 continues to read in part as
follows:
Authority: 15 U.S.C. 77b, 77f, 77g, 77h, 77j, 77s, 77sss, 78c,
78d, 78l, 78m, 78n, 78o, 78w, 79ll(d), 79t, 80a-8, 80a-29, 80a-30,
and 80a-37, unless otherwise noted.
* * * * *
2. Section 230.134 is amended by adding paragraph (e) to read as
follows:
Sec. 230.134 Communications not deemed a prospectus.
* * * * *
(e) In the case of an investment company registered under the
Investment Company Act of 1940 that holds itself out as a ``money
market fund,'' a communication used under
[[Page 13976]]
this section shall contain the disclosure required by
Sec. 230.482(a)(7).
PART 270--RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940
3. The authority citation for Part 270 is amended by removing the
third paragraph in the sub-authority to read as follows:
Authority: 15 U.S.C. 80a-1 et seq., 80a-37, 80a-39 unless
otherwise noted;
* * * * *
4. Section 270.2a-7 is revised to read as follows:
Sec. 270.2a-7 Money market funds.
(a) Definitions.
(1) Amortized Cost Method of valuation shall mean the method of
calculating an investment company's net asset value whereby portfolio
securities are valued at the fund's acquisition cost as adjusted for
amortization of premium or accretion of discount rather than at their
value based on current market factors.
(2) Asset Backed Security shall mean a fixed income security (other
than a Government security) issued by a Special Purpose Entity (as
hereinafter defined), substantially all of the assets of which consist
of Qualifying Assets (as hereinafter defined). Special Purpose Entity
shall mean a trust, corporation, partnership or other entity organized
for the sole purpose of issuing fixed income securities which entitle
their holders to receive payments that depend primarily on the cash
flow from Qualifying Assets, but does not include a registered
investment company. Qualifying Assets shall mean financial assets,
either fixed or revolving, that by their terms convert into cash within
a finite time period, plus any rights or other assets designed to
assure the servicing or timely distribution of proceeds to security
holders.
(3) Business Day shall mean any day, other than Saturday, Sunday,
or any customary business holiday.
(4) Collateralized Fully in the case of a repurchase agreement
shall mean that:
(i) The value of the securities collateralizing the repurchase
agreement (reduced by the transaction costs (including loss of
interest) that the money market fund reasonably could expect to incur
if the seller defaults) is, and during the entire term of the
repurchase agreement remains, at least equal to the Resale Price (as
defined hereinafter) provided in the agreement; and
(ii) The money market fund or its custodian either has actual
physical possession of the collateral or, in the case of a security
registered on a book entry system, the book entry is maintained in the
name of the money market fund or its custodian; and
(iii) The money market fund retains an unqualified right to possess
and sell the collateral in the event of a default by the seller; and
(iv) The collateral consists entirely of securities that are direct
obligations of, or that are fully guaranteed as to principal and
interest by, the United States or any agency thereof, and/or
certificates of deposit, bankers' acceptances which are eligible for
acceptance by a Federal Reserve Bank, and, if the seller is a
depositary institution as defined in 12 U.S.C. 1813(c), mortgage
related securities (as such term is defined in section 3(a)(41) of the
Securities Exchange Act of 1934 [15 U.S.C. 78c(a)(41)]) that, at the
time the repurchase agreement is entered into, are rated in the highest
rating category by the Requisite NRSROs.
(v) Resale Price shall mean the purchase price paid to the seller
of the securities plus the accrued resale premium on such purchase
price. The accrued resale premium shall be the amount specified in the
repurchase agreement or the daily amortization of the difference
between the purchase price and the resale price specified in the
repurchase agreement.
(5) Conditional Demand Feature shall mean a Demand Feature that is
not an Unconditional Demand Feature.
(6) Conduit Security shall mean a security issued by a Municipal
Issuer (as hereinafter defined) involving an arrangement or agreement
entered into, directly or indirectly, with a person other than a
Municipal Issuer, which arrangement or agreement provides for or
secures repayment of the security. Municipal Issuer shall mean a state
or territory of the United States (including the District of Columbia),
or any political subdivision or public instrumentality of a state or
territory of the United States. A Conduit Security does not include a
security that is:
(i) Fully and unconditionally guaranteed by a Municipal Issuer; or
(ii) Payable from the general revenues of the Municipal Issuer or
other Municipal Issuers (other than those revenues derived from an
agreement or arrangement with a person who is not a Municipal Issuer
that provides for or secures repayment of the security issued by the
Municipal Issuer); or
(iii) Related to a project owned and operated by a Municipal
Issuer; or
(iv) Related to a facility leased to and under the control of an
industrial or commercial enterprise that is part of a public project
which, as a whole, is owned and under the control of a Municipal
Issuer.
(7) Demand Feature shall mean:
(i) A Put that may be exercised either:
(A) At any time on no more than 30 days' notice; or
(B) At specified intervals not exceeding 397 calendar days and upon
no more than 30 days' notice; or
(ii) A feature permitting the holder of an Asset Backed Security
unconditionally to receive principal and interest within thirteen
months of making demand.
(8) Demand Feature Issued By A Non-Controlled Person shall mean a
Demand Feature issued by a person that, directly or indirectly, does
not control, and is not controlled by or under common control with the
issuer of the security subject to the Demand Feature. Control shall
mean ``control'' as defined in section 2(a)(9) of the Act [15 U.S.C.
80a-2(a)(9)].
(9) Eligible Security shall mean:
(i) A security with a remaining maturity of 397 calendar days or
less that has received a short-term rating (or that has been issued by
an issuer that has received a short-term rating with respect to a class
of debt obligations, or any debt obligation within that class, that is
comparable in priority and security with the security) by the Requisite
NRSROs in one of the two highest short-term rating categories (within
which there may be sub-categories or gradations indicating relative
standing); or
(ii) A security:
(A) That at the time of issuance had a remaining maturity of more
than 397 calendar days but that has a remaining maturity of 397
calendar days or less; and
(B) Whose issuer has received from the Requisite NRSROs a rating
with respect to a class of debt obligations (or any debt obligation
within that class) that is now comparable in priority and security with
the security, in one of the two highest short-term rating categories
(within which there may be sub-categories or gradations indicating
relative standing); or
(iii) An Unrated Security that is of comparable quality to a
security meeting the requirements of paragraphs (a)(9)(i) or (ii) of
this section, as determined by the money market fund's board of
directors; Provided, however, that:
(A) The board of directors may base its determination that a
Standby Commitment that is not a Demand Feature is an Eligible Security
upon a finding that the issuer of the commitment presents a minimal
risk of default;
[[Page 13977]]
(B) A security that at the time of issuance had a remaining
maturity of more than 397 calendar days but that has a remaining
maturity of 397 or less and that is an Unrated Security is not an
Eligible Security if the security has received a long-term rating from
any NRSRO that is not within the NRSRO's three highest long-term
ratings categories (within which there may be sub-categories or
gradations indicating relative standing);
(C) An Asset Backed Security shall not be an Eligible Security
unless it has a debt rating from an NRSRO; and
(D) A security that is subject to a Demand Feature shall not be an
Eligible Security unless:
(1) The Demand Feature has received a short-term rating from an
NRSRO (or the issuer of the Demand Feature has received from an NRSRO a
short-term rating with respect to a class of debt obligations or any
debt obligation within that class that is comparable in priority and
security to the Demand Feature); and
(2) The issuer of the Demand Feature, or another institution,
undertakes to notify promptly the holder of the security in the event
that the Demand Feature is substituted with a Demand Feature provided
by another issuer.
(10) Event of Insolvency shall mean, with respect to an issuer or
guarantor:
(i) An admission of insolvency, the application by the issuer or
guarantor for the appointment of a trustee, receiver, rehabilitator, or
similar officer for all or substantially all of its assets, a general
assignment for the benefit of creditors, the filing by the issuer of a
voluntary petition in bankruptcy or application for reorganization or
an arrangement with creditors; or
(ii) The institution of similar proceedings by another person which
proceedings are not contested by the issuer or guarantor; or
(iii) The institution of similar proceedings by a government agency
responsible for regulating the activities of the issuer or guarantor,
whether or not contested by the issuer or guarantor.
(11) First Tier Security shall mean any Eligible Security that:
(i) Has received a short-term rating (or that has been issued by an
issuer that has received a short-term rating with respect to a class of
debt obligations, or any debt obligation within that class, that is
comparable in priority and security with the security) by the Requisite
NRSROs in the highest short-term rating category for debt obligations
(within which there may be sub-categories or gradations indicating
relative standing); or
(ii) Is a security described in paragraph (a)(9)(ii) of this
section whose issuer has received from the Requisite NRSROs a short-
term rating with respect to a class of debt obligations (or any debt
obligation within that class) that now is comparable in priority and
security with the security, in the highest short-term rating category
for debt obligations (within which there may be sub-categories or
gradations indicating relative standing); or
(iii) Is an Unrated Security that is of comparable quality to a
security meeting the requirements of paragraphs (a)(11)(i) and (ii) of
this section, as determined by the fund's board of directors; or
(iv) Is a security issued by a registered investment company that
is a money market fund; or
(v) Is a Government Security.
(12) Floating Rate Security shall mean a security the terms of
which provide for the adjustment of its interest rate whenever a
specified interest rate changes and which, at any time until the final
maturity of the instrument or the period remaining until the principal
amount can be recovered through demand, can reasonably be expected to
have a market value that approximates its amortized cost.
(13) Government Security shall mean any Government Security as
defined in section 2(a)(16) of the Act [15 U.S.C. 80a-2(a)(16)].
(14) NRSRO shall mean any nationally recognized statistical rating
organization, as that term is used in paragraphs (c)(2)(vi)(E), (F) and
(H) of Sec. 240.15c3-1 of this Chapter that is not an affiliated
person, as defined in section 2(a)(3)(C) of the Act [15 U.S.C. 80a-
2(a)(3)(C)], of the issuer of, or any insurer, guarantor or provider of
credit support for, the security.
(15) Penny-Rounding Method of pricing shall mean the method of
computing an investment company's price per share for purposes of
distribution, redemption and repurchase whereby the current net asset
value per share is rounded to the nearest one percent.
(16) Put shall mean a right to sell a specified underlying security
or securities within a specified period of time and at an exercise
price equal to the amortized cost of the underlying security or
securities plus accrued interest, if any, at the time of exercise, that
may be sold, transferred or assigned only with the underlying security
or securities. A Put will be considered to be from the party to whom
the money market fund will look for payment of the exercise price.
(17) Put Issued by a Non-Controlled Person shall mean a Put issued
by a person that, directly or indirectly, does not control, and is not
controlled by or under common control with the issuer of the security
subject to the Put. Control shall mean ``control'' as defined in
section 2(a)(9) of the Act [15 U.S.C 80a-2(a)(9)].
(18) Refunded Security shall mean a debt security the principal and
interest payments of which are to be paid by Government Securities
(``deposited securities'') that have been irrevocably placed in an
escrow account pursuant to agreement between the issuer of the debt
security and an escrow agent that is not an affiliated person, as
defined in section 2(a)(3)(C) of the Act [15 U.S.C. 80a-2(a)(3)(C)], of
the issuer of the debt security, and, in accordance with such escrow
agreement, are pledged only to the payment of the debt security and, to
the extent that excess proceeds are available after all payments of
principal, interest, and applicable premiums on the Refunded
Securities, the expenses of the escrow agent and, thereafter, to the
issuer or another party; provided that:
(i) The deposited securities shall not be redeemable prior to their
final maturity;
(ii) At the time the deposited securities are placed in the escrow
account, an independent certified public accountant shall have
certified to the escrow agent that the deposited securities will
satisfy all scheduled payments of principal, interest and applicable
premiums on the Refunded Securities; and
(iii) The escrow agreement shall prohibit the substitution of the
deposited securities unless the substituted securities are Government
Securities and, at the time of such substitution, the escrow agent
shall have received a certification from an independent certified
public accountant substantially the same as that required by paragraph
(a)(18)(ii) of this section which certification shall give effect to
the substitution.
(19) Requisite NRSROs shall mean:
(i) Any two NRSROs that have issued a rating with respect to a
security or class of debt obligations of an issuer; or
(ii) If only one NRSRO has issued a rating with respect to such
security or class of debt obligations of an issuer at the time the fund
purchases or rolls over the security, that NRSRO.
(20) Second Tier Security shall mean any Eligible Security that is
not a First Tier Security. Second Tier Conduit Security shall mean any
Conduit Security that is an Eligible Security that is not a First Tier
Security.
(21) Single State Fund shall mean a Tax Exempt Fund that holds
itself out as primarily distributing income exempt
[[Page 13978]]
from the income taxes of a specified state or locality.
(22) Standby Commitment shall mean a Put that entitles the holder
to achieve same day settlement.
(23) Tax Exempt Fund shall mean any money market fund that holds
itself out as distributing income exempt from regular federal income
tax.
(24) Total Assets shall mean, with respect to a money market fund
using the Amortized Cost Method, the total amortized cost of its assets
and, with respect to any other money market fund, the total market-
based value of its assets.
(25) Unconditional Demand Feature shall mean an Unconditional Put
that is also a Demand Feature.
(26) Unconditional Demand Feature Issued By A Non-Controlled Person
shall mean an Unconditional Put that is also a Demand Feature Issued By
A Non-Controlled Person.
(27) Unconditional Put shall mean a Put (including any guarantee,
financial guarantee (bond) insurance, letter of credit or similar
unconditional credit enhancement) that by its terms would be readily
exercisable in the event of a default in payment of principal or
interest on the underlying security or securities.
(28) United States Dollar-Denominated shall mean, with reference to
a security, that all principal and interest payments on such security
are payable to security holders in United States dollars under all
circumstances and that the interest rate of, the principal amount to be
repaid, and the timing of payments related to such security do not vary
or float with the value of a foreign currency, the rate of interest
payable on foreign currency borrowings, or with any other interest rate
or index expressed in a currency other than United States dollars.
(29) Unrated Security shall mean:
(i) A security with a remaining maturity of 397 calendar days or
less issued by an issuer that did not, at the time the security was
acquired or rolled over by the fund, have a current short-term rating
assigned by any NRSRO:
(A) To the security; or
(B) To the issuer of the security with respect to a class of debt
obligations
(or any debt obligation within that class) that is comparable in
priority and security with the security, or a Demand Feature with
respect to the security; and
(ii) A security:
(A) That at the time of issuance had a remaining maturity of more
than 397 calendar days but that has a remaining maturity of 397
calendar days or less; and
(B) Whose issuer had not at the time it was acquired or rolled over
by the fund received from any NRSRO a short-term rating with respect to
a class of debt obligations (or any debt obligation within that class)
that now is comparable in priority and security with the security; and
(iii) A security that is a rated security and is the subject of an
external credit support agreement (including an arrangement by which
the security has become a Refunded Security) that was not in effect
when the security (or the issuer) was assigned its rating unless the
security has a rating from an NRSRO reflecting the existence of the
credit support agreement.
(iv) A security is not an Unrated Security if any debt obligation
(reference security) that is issued by the same issuer and is
comparable in priority and security with that security has a short-term
rating by an NRSRO. The status of such security as an Eligible Security
or First Tier Security shall be the same as that of the reference
security.
(30) Variable Rate Security shall mean a security the terms of
which provide for the adjustment of its interest rate on set dates
(such as the last day of a month or calendar quarter) and which, upon
each adjustment until the final maturity of the instrument or the
period remaining until the principal amount can be recovered through
demand, can reasonably be expected to have a market value that
approximates its amortized cost.
(b) Holding Out. It shall be an untrue statement of material fact
within the meaning of section 34(b) of the Act [15 U.S.C. 80a-33(b)]
for a registered investment company, in any registration statement,
application, report, account, record, or other document filed or
transmitted pursuant to the Act, including any advertisement, pamphlet,
circular, form letter, or other sales literature addressed to or
intended for distribution to prospective investors that is required to
be filed with the Commission by section 24(b) of the Act [15 U.S.C.
80a-24(b)] to:
(1) Adopt the term ``money market'' as part of its name or title or
the name or title of any redeemable securities of which it is the
issuer; or
(2) Hold itself out to investors as, or adopt a name which suggests
that it is, a money market fund or the equivalent of a money market
fund, unless such registered investment company meets the conditions of
paragraphs (c)(2), (c)(3), and (c)(4) of this section. For purposes of
this paragraph, a name which suggests that a registered investment
company is a money market fund or the equivalent thereof shall include
one which uses such terms as ``cash,'' ``liquid,'' ``money,'' ``ready
assets'' or similar terms.
(c) Share Price Calculations. The current price per share, for
purposes of distribution, redemption and repurchase, of any redeemable
security issued by any registered investment company (``money market
fund''), notwithstanding the requirements of section 2(a)(41) of the
Act [15 U.S.C. 80a-2(a)(41)] and of Secs. 270.2a-4 and 270.22c-1
thereunder, may be computed by use of the Amortized Cost Method or the
Penny-Rounding Method; Provided, however, That:
(1) Board Findings. The board of directors of the money market fund
shall determine, in good faith, that it is in the best interests of the
fund and its shareholders to maintain a stable net asset value per
share or stable price per share, by virtue of either the Amortized Cost
Method or the Penny-Rounding Method, and that the money market fund
will continue to use such method only so long as the board of directors
believes that it fairly reflects the market-based net asset value per
share.
(2) Portfolio Maturity. The money market fund shall maintain a
dollar-weighted average portfolio maturity appropriate to its objective
of maintaining a stable net asset value per share or price per share;
Provided, however, That the money market fund will not:
(i) Except as provided in paragraph (c)(2)(ii) of this section,
purchase any instrument with a remaining maturity of greater than 397
calendar days; or
(ii) In the case of a money market fund not using the Amortized
Cost Method, purchase a Government Security with a remaining maturity
of greater than 762 calendar days; or
(iii) Maintain a dollar-weighted average portfolio maturity that
exceeds ninety days.
(3) Portfolio Quality.
(i) General. The money market fund shall limit its portfolio
investments, including Puts and repurchase agreements, to those United
States Dollar-Denominated securities that the fund's board of directors
determines present minimal credit risks (which determination must be
based on factors pertaining to credit quality in addition to any rating
assigned to such securities by an NRSRO) and which are at the time of
acquisition Eligible Securities.
(ii) Securities Subject to Unconditional Demand Features. A
security that is subject to an Unconditional Demand Feature may be
determined to be an Eligible Security or a First Tier Security based
solely on
[[Page 13979]]
whether the Unconditional Demand Feature is an Eligible Security or
First Tier Security, as the case may be.
(iii) Securities Subject to Conditional Demand Features. A security
that is subject to a Conditional Demand Feature (``Underlying
Security'') may be determined to be an Eligible Security or a First
Tier Security only if:
(A) The Conditional Demand Feature is an Eligible Security or First
Tier Security, as the case may be; and
(B) At the time of the purchase of the Underlying Security, the
money market fund's board of directors has determined that there is
minimal risk that the circumstances that would result in the
Conditional Demand Feature not being exercisable will occur; and
(1) The conditions limiting exercise either can be monitored
readily by the fund, or relate to the taxability, under federal, state
or local law, of the interest payments on the security; or
(2) The terms of the Conditional Demand Feature require that the
fund will receive notice of the occurrence of the condition and the
opportunity to exercise the Demand Feature in accordance with its
terms; and
(C) (1) If the Underlying Security has a remaining maturity of 397
days or less, the Underlying Security (or the debt securities of issuer
of the Underlying Security) has received a short-term rating by the
Requisite NRSROs within the NRSROs' two highest short-term ratings
categories (within which there may be sub-categories or gradations
indicating relative standing) or, if unrated, is determined to be of
comparable quality by the money market fund's board of directors; or
(2) If the Underlying Security has a remaining maturity of more
than 397 calendar days, the Underlying Security (or the debt securities
of the issuer of the Underlying Security) has received a long-term
rating by the Requisite NRSROs within the NRSROs' two highest long-term
rating categories (within which there may be sub-categories or
gradations indicating relative standing) or, if unrated, is determined
to be of comparable quality by the money market fund's board of
directors.
(4) Portfolio Diversification.
(i) Taxable and National Funds. Immediately after the acquisition
of any security (other than a Government Security or a security subject
to an Unconditional Demand Feature Issued By a Non-Controlled Person),
a money market fund other than a Single State Fund shall not have
invested more than five percent of its Total Assets in securities
issued by the issuer of the security.
(ii) Single State Funds. With respect to 75 percent of its Total
Assets, immediately after the acquisition of any security (other than a
Government Security or a security subject to an Unconditional Demand
Feature Issued By a Non-Controlled Person), a Single State Fund shall
not have invested more than five percent of its Total Assets in
securities issued by the issuer of the security; Provided, however,
That a Single State Fund shall not invest more than five percent of its
Total Assets in securities issued by the issuer of the security unless
the securities are First Tier Securities.
(iii) Safe Harbor. Notwithstanding paragraph (c)(4)(i) of this
section, a money market fund other than a Single State Fund may invest
up to twenty-five percent of its Total Assets in the First Tier
Securities of a single issuer for a period of up to three Business days
after the purchase thereof.
(iv) Second Tier Securities.
(A) Taxable Funds. Immediately after the acquisition of any Second
Tier Security, a money market fund that is not a Tax Exempt Fund shall
not have invested more than:
(1) The greater of one percent of its Total Assets or one million
dollars in securities issued by that issuer which, when acquired by the
money market fund (either initially or upon any subsequent roll over)
were Second Tier Securities; and
(2) Five percent of its Total Assets in securities which, when
acquired by the money market fund (either initially or upon any
subsequent roll over) were Second Tier Securities.
(B) Tax Exempt Funds. Immediately after the acquisition of any
Second Tier Conduit Security that is not subject to an Unconditional
Demand Feature Issued By a Non-Controlled Person, a money market fund
that is a Tax Exempt Fund shall not have invested more than:
(1) The greater of one percent of its Total Assets or one million
dollars in securities issued by that issuer which, when acquired by the
money market fund (either initially or upon any subsequent roll over)
were Second Tier Conduit Securities not subject to an Unconditional
Demand Feature Issued By a Non-Controlled Person; and
(2) Five percent of its Total Assets in Conduit Securities which,
when acquired by the money market fund (either initially or upon any
subsequent roll over) were Second Tier Conduit Securities not subject
to an Unconditional Demand Feature Issued By a Non-Controlled Person.
(v) Puts.
(A) General. Immediately after the acquisition of any Put or
security subject to a Put, with respect to seventy-five percent of the
assets of a money market fund, no more than ten percent of the fund's
Total Assets may be invested in securities issued by or subject to Puts
from the institution that issued the Put, subject to sections
(c)(4)(v)(B) and (C) of this section.
(B) Second Tier Puts. Immediately after the acquisition of any Put
(or a security after giving effect to the Put) that is a Second Tier
Security, a money market fund shall not have invested more than five
percent of its Total Assets in securities issued by or subject to Puts
from the institution that issued the Put.
(C) Puts Issued by Non-Controlled Persons. Immediately after the
acquisition of any security subject to a Put, a money market fund shall
not have invested more than ten percent of its Total Assets in
securities issued by, or subject to Puts from the institution that
issued the Put, unless, with respect to any security subject to Puts
from that institution, the Put is a Put Issued By a Non-Controlled
Person.
(iv) Diversification Calculations.
(A) General. For purposes of making calculations under paragraphs
(c)(4)(i) through (iv) of this section:
(1) Repurchase Agreements. The acquisition of a repurchase
agreement may be deemed to be an acquisition of the underlying
securities, provided that the obligation of the seller to repurchase
the securities from the money market fund is Collateralized Fully.
(2) Refunded Securities. The acquisition of a Refunded Security
shall be deemed to be an acquisition of a Government Security.
(3) Conduit Securities. A Conduit Security shall be deemed to be
issued by the issuer (other than the Municipal Issuer) ultimately
responsible for payments of interest and principal on the security.
(4) Asset Backed Securities. An Asset Backed Security shall be
deemed to be issued by the Special Purpose Entity that issued the Asset
Backed Security, Provided, however, any person whose obligations
constitute ten percent or more of the principal amount of the
Qualifying Assets shall be deemed to be an issuer of the portion of the
Asset Backed Security such obligations represent. For purposes of the
foregoing, if the Qualifying Assets held by the Special Purpose Entity
are themselves Asset Backed Securities (``Secondary Asset Backed
Securities''), then the Special Purpose Entity shall be treated as
holding directly the Secondary Asset Backed Securities.
(5) Shares in Master Funds. A money market fund substantially all
of the
[[Page 13980]]
assets of which consist of shares of another money market fund acquired
in reliance on section 12(d)(1)(E) of the Act [15 U.S.C. 80a-
12(d)(1)(E)] shall be deemed to be in compliance with this section if
the board of directors reasonably believes that the money market fund
in which it has invested is in compliance with this section.
(B) Put Diversification Calculations. In making calculations under
the Put diversification requirements of paragraph (c)(4)(v) of this
section, the following rules apply:
(1) Issuer-Provided Puts. In the case of a security subject to a
Put from the same institution that issued the underlying security, the
value of the securities subject to the Put may be excluded from the Put
diversification requirements of paragraph (c)(4)(v) of this section.
(2) Fractional Puts. In the case of a security subject to a Put
from an institution by which the institution guarantees a specified
portion of the value of the security, the institution shall be deemed
to guarantee the specified portion thereof, Provided, however, if the
security is an Asset Backed Security and the Put is a guarantee of all
or a portion of the first losses with respect to the security, the
institution providing the Put shall be deemed to have guaranteed the
entire principal amount of the security.
(3) Layered Puts. In the case of a security subject to Puts from
multiple institutions that have not limited the extent of their
obligations as described in paragraph (c)(4)(vi)(B)(2) of this section,
each institution shall be deemed to have guaranteed the entire
principal amount of the security, Provided, however, in the case of a
security subject to an Unconditional Demand Feature and a Put (or Puts)
that is not a Demand Feature, the Put diversification requirements of
paragraph (c)(4)(v) of this section need only be satisfied as to the
institution issuing the Unconditional Demand Feature.
(4) Puts Not Relied Upon. If the fund's board of directors
determines that the fund is not relying on a Put to determine the
quality (pursuant to paragraphs (c)(3)(ii) or (c)(3)(iii) of this
section), or maturity (pursuant to paragraph (d) of this section), or
liquidity of the portfolio security and maintains a record of this
determination (pursuant to paragraphs (c)(8)(ii) and (c)(9)(vi) of this
section), the Put diversification requirements of paragraph (c)(4)(v)
of this section need not be satisfied as with respect to such put.
(vii) Diversification Safe Harbor. A money market fund that
satisfies the applicable diversification requirements of paragraph
(c)(4) of this section shall be deemed to have satisfied the
diversification requirements of section 5(b)(1) of the Act [15 U.S.C.
80a-5(b)(1)] and the rules adopted thereunder.
(5) Downgrades, Defaults and Other Events.
(i) Downgrades.
(A) General. Upon the occurrence of either of the events specified
in paragraphs (c)(5)(i)(A)(1) and (2) of this section with respect to a
portfolio security, the board of directors of the money market fund
shall reassess promptly whether such security continues to present
minimal credit risks and shall cause the fund to take such action as
the board of directors determines is in the best interests of the money
market fund and its shareholders:
(1) A portfolio security of a money market fund ceases to be a
First Tier Security (either because it no longer has the highest rating
from the Requisite NRSROs or, in the case of an Unrated Security, the
board of directors of the money market fund determines that it is no
longer of comparable quality to a First Tier Security); and
(2) The money market fund's investment adviser (or any person to
whom the fund's board of directors has delegated portfolio management
responsibilities) becomes aware that any Unrated Security or Second
Tier Security held by the money market fund has, since the security was
acquired by the fund, been given a rating by any NRSRO below the
NRSRO's second highest rating category.
(B) Securities To Be Disposed Of. The reassessments required by
paragraph (c)(5)(i)(A) of this section shall not be required if, in
accordance with the procedures adopted by the board of directors, the
security is disposed of (or matures) within five Business days of the
specified event and, in the case of events specified in paragraph
(c)(5)(i)(A)(2) of this section, the board is subsequently notified of
the adviser's actions.
(C) Special Rule for Certain Securities Subject to Demand Features.
In the event that after giving effect to a rating downgrade, more than
five percent of the fund's Total Assets are invested in securities
issued by or subject to Demand Features from a single institution that
are Second Tier Securities, the board of directors (or its delegate)
shall cause the fund to reduce its investment in securities issued by
or subject to Demand Features from that institution to no more than
five percent of its Total Assets by exercising the Demand Features at
the next succeeding exercise date(s), absent a finding by the board of
directors that disposal of the portfolio security would not be in the
best interests of the money market fund.
(ii) Defaults and Other Events. Upon the occurrence of any of the
events specified in paragraphs (c)(5)(ii)(A) through (D) of this
section with respect to a portfolio security, the money market fund
shall dispose of such security as soon as practicable consistent with
achieving an orderly disposition of the security, by sale, exercise of
any Demand Feature or otherwise, absent a finding by the board of
directors that disposal of the portfolio security would not be in the
best interests of the money market fund (which determination may take
into account, among other factors, market conditions that could affect
the orderly disposition of the portfolio security):
(A) The default with respect to a portfolio security (other than an
immaterial default unrelated to the financial condition of the issuer);
(B) A portfolio security ceases to be an Eligible Security;
(C) A portfolio security has been determined to no longer present
minimal credit risks; or
(D) An Event of Insolvency occurs with respect to the issuer of or
the provider of any Put with respect to a portfolio security other than
a Put with respect to which a non-reliance determination has been made
pursuant to paragraph (c)(4)(vi)(B)(4) of this section.
(iii) Notice to the Commission. In the event of a default with
respect to one or more portfolio securities (other than an immaterial
default unrelated to the financial condition of the issuer) or an Event
of Insolvency with respect to the issuer of the security or any Put to
which it is subject, where immediately before default the securities
(or the securities subject to the Put) accounted for \1/2\ of 1 percent
or more of a money market fund's Total Assets, the money market fund
shall promptly notify the Commission of such fact and the actions the
money market fund intends to take in response to such situation.
Notification under this paragraph shall be made telephonically or by
means of a facsimile transmission, followed by letter sent by first
class mail, directed to the attention of the Director of the Division
of Investment Management.
(iv) Defaults for Purposes of Paragraphs (c)(5)(ii) and (iii). For
purposes of paragraphs (c)(5)(ii) and (iii) of this section, an
instrument subject to a Demand Feature or unconditional credit
enhancement shall not be deemed to be in default (and an Event of
Insolvency with respect to the security
[[Page 13981]]
shall not be deemed to have occurred) if:
(A) In the case of an instrument subject to a Demand Feature, the
Demand Feature has been exercised and the fund has recovered either the
principal amount or the amortized cost of the instrument, plus accrued
interest; or
(B) The provider of the credit enhancement is continuing, without
protest, to make payments as due on the instrument.
(6) Required Procedures: Amortized Cost Method. In the case of a
money market fund using the Amortized Cost Method:
(i) General. In supervising the money market fund's operations and
delegating special responsibilities involving portfolio management to
the money market fund's investment adviser, the money market fund's
board of directors, as a particular responsibility within the overall
duty of care owed to its shareholders, shall establish written
procedures reasonably designed, taking into account current market
conditions and the money market fund's investment objectives, to
stabilize the money market fund's net asset value per share, as
computed for the purpose of distribution, redemption and repurchase, at
a single value.
(ii) Specific Procedures. Included within the procedures adopted by
the board of directors shall be the following:
(A) Shadow Pricing. Written procedures shall provide:
(1) That the extent of deviation, if any, of the current net asset
value per share calculated using available market quotations (or an
appropriate substitute which reflects current market conditions) from
the money market fund's amortized cost price per share, shall be
calculated at such intervals as the board of directors determines
appropriate and reasonable in light of current market conditions;
(2) For the periodic review by the board of directors of the amount
of the deviation as well as the methods used to calculate the
deviation; and
(3) For the maintenance of records of the determination of
deviation and the board's review thereof.
(B) Prompt Consideration of Deviation. In the event such deviation
from the money market fund's amortized cost price per share exceeds \1/
2\ of 1 percent, the board of directors shall promptly consider what
action, if any, should be initiated by the board of directors.
(C) Material Dilution or Unfair Results. Where the board of
directors believes the extent of any deviation from the money market
fund's amortized cost price per share may result in material dilution
or other unfair results to investors or existing shareholders, it shall
cause the fund to take such action as it deems appropriate to eliminate
or reduce to the extent reasonably practicable such dilution or unfair
results.
(7) Required Procedures: Penny-Rounding Method. In the case of a
money market fund using the Penny-Rounding Method, in supervising the
money market fund's operations and delegating special responsibilities
involving portfolio management to the money market fund's investment
adviser, the money market fund's board of directors undertakes, as a
particular responsibility within the overall duty of care owed to its
shareholders, to assure to the extent reasonably practicable, taking
into account current market conditions affecting the money market
fund's investment objectives, that the money market fund's price per
share as computed for the purpose of distribution, redemption and
repurchase, rounded to the nearest one percent, will not deviate from
the single price established by the board of directors.
(8) Specific Procedures: Amortized Cost and Penny-Rounding Methods.
Included within the procedures adopted by the board of directors for
money market funds using either the amortized cost or penny-rounding
methods shall be the following:
(i) Securities for Which Maturity is Determined by Reference to
Demand Features. In the case of a security for which maturity is
determined by reference to a Demand Feature, written procedures shall
require ongoing review of the security's continued minimal credit
risks, which review must be based on, among other things, financial
data for the most recent fiscal year of the issuer of the Demand
Feature and, in the case of a security subject to a Conditional Demand
Feature, the issuer of the security, whether such data is publicly
available or provided under the terms of the security's governing
documentation.
(ii) Securities Subject to Puts. In the case of a security subject
to one or more Puts, written procedures shall require periodic
evaluation of the determination described in paragraph
(c)(4)(vi)(B)(4)(puts not relied upon) of this section.
(iii) Adjustable Rate Securities Without Demand Features. In the
case of a Variable Rate or Floating Rate Security that does not have a
Demand Feature and for which maturity is determined pursuant to
paragraphs (d)(1), (d)(2) or (d)(4) of this section, written procedures
shall require periodic review of whether the security, upon
readjustment of its interest rate, can reasonably be expected to have a
market value that approximates its amortized cost.
(iv) Asset Backed Securities. In the case of an Asset Backed
Security, written procedures shall require the fund to periodically
determine whether a person other than the Special Purpose Entity is the
issuer of all or a portion of the Asset Backed Security for purposes of
paragraph (c)(4)(vi)(A)(4) of this section.
(9) Record Keeping and Reporting.
(i) Written Procedures. For a period of not less than six years
following the replacement of such procedures with new procedures (the
first two years in an easily accessible place), a written copy of the
procedures (and any modifications thereto) described in paragraphs
(c)(5) through (c)(8) and (e) of this section shall be maintained and
preserved.
(ii) Board Considerations and Actions. For a period of not less
than six years (the first two years in an easily accessible place) a
written record shall be maintained and preserved of the board of
directors' considerations and actions taken in connection with the
discharge of its responsibilities, as set forth in this section, to be
included in the minutes of the board of directors' meetings.
(iii) Credit Risk Analysis. For a period of not less than three
years from the date that the credit risks of a portfolio security were
most recently reviewed in accordance with paragraph (c)(8)(i) of this
section, a written record of the determination that a portfolio
security presents minimal credit risks and the NRSRO ratings (if any)
used to determine the status of the security as an Eligible Security,
First Tier Security or Second Tier Security shall be maintained and
preserved in an easily accessible place.
(iv) Determinations With Respect to Adjustable Rate Securities. For
a period of not less than three years from the date when the
determination was most recently made, a written record shall be
preserved and maintained, in an easily accessible place, of the
determination required by paragraph (c)(8)(iii) of this section (that a
Variable Rate or Floating Rate Security that does not have a Demand
Feature and for which maturity is determined pursuant to paragraphs
(d)(1), (d)(2) or (d)(4) of this section can reasonably be expected,
upon readjustment of its interest rate at all times during the life of
the instrument, to have a market value that approximates its amortized
cost).
[[Page 13982]]
(v) Determinations with Respect to Asset Backed Securities. For a
period of not less than three years from the date when the
determination was most recently made, a written record shall be
preserved and maintained, in an easily accessible place, of the
determination required by paragraph (c)(8)(iv) of this section (whether
a person other than the Special Purpose Entity is the issuer of all or
a portion of an Asset Backed Security pursuant to paragraph (c)(vi)(4)
of this section). The written record shall include the identities of
the issuers of the Qualifying Assets whose obligations constitute ten
percent or more of the principal value of the Qualifying Assets, the
percentage of the Qualifying Assets constituted by the securities of
each such issuer and the percentage of the fund's Total Assets that are
invested in securities of each such issuer.
(vi) Evaluations with Respect to Securities Subject to Puts. For a
period of not less than three years from the date when the evaluation
was most recently made, a written record shall be preserved and
maintained, in an easily accessible place, of the evaluation required
by paragraph (c)(8)(ii) (regarding securities subject to one or more
Puts) of this section.
(vii) Inspection of Records. The documents preserved pursuant to
this paragraph (c)(9) shall be subject to inspection by the Commission
in accordance with section 31(b) of the Act [15 U.S.C. 80a-30(b)] as if
such documents were records required to be maintained pursuant to rules
adopted under section 31(a) of the Act [15 U.S.C. 80a-30(a)].
FR Doc. 96-7334 Revisions to Rules Regulating Money Market Funds
If any
action was taken under paragraphs (c)(5)(ii) (with respect to defaulted
securities and events of insolvency) or (c)(6)(ii) (with respect to a
deviation from the fund's share price of more than \1/2\ of 1 percent)
of this section, the money market fund will file an exhibit to the Form
N-SAR [17 CFR 274.101] filed for the period in which the action was
taken describing with specificity the nature and circumstances of such
action. The money market fund will report in an exhibit to such Form
any securities it holds on the final day of the reporting period that
are not Eligible Securities.
(d) Maturity of Portfolio Securities. For purposes of this section,
the maturity of a portfolio security shall be deemed to be the period
remaining (calculated from the trade date or such other date on which
the fund's interest in the security is subject to market action) until
the date on which, in accordance with the terms of the security, the
principal amount must unconditionally be paid, or in the case of a
security called for redemption, the date on which the redemption
payment must be made, except as provided in paragraphs (d)(1) through
(8) of this section:
(1) Adjustable Rate Government Securities. A Government Security
which is a Variable Rate Security where the variable rate of interest
is readjusted no less frequently than every 762 days shall be deemed to
have a maturity equal to the period remaining until the next
readjustment of the interest rate. A Government Security which is a
Floating Rate Security shall be deemed to have a remaining maturity of
one day.
(2) Short-Term Variable Rate Securities. A Variable Rate Security,
the principal amount of which, in accordance with the terms of the
security, must unconditionally be paid in 397 calendar days or less
shall be deemed to have a maturity equal to the earlier of the period
remaining until the next readjustment of the interest rate or the
period remaining until the principal amount can be recovered through
demand.
(3) Long-Term Variable Rate Securities. A Variable Rate Security,
the principal amount of which is scheduled to be paid in more than 397
days, that is subject to a Demand Feature shall be deemed to have a
maturity equal to the longer of the period remaining until the next
readjustment of the interest rate or the period remaining until the
principal amount can be recovered through demand.
(4) Short-Term Floating Rate Securities. A Floating Rate Security,
the principal amount of which, in accordance with the terms of the
security, must unconditionally be paid in 397 calendar days or less
shall be deemed to have a maturity of one day.
(5) Long-Term Floating Rate Securities. A Floating Rate Security,
the principal amount of which is scheduled to be paid in more than 397
days, that is subject to a Demand Feature, shall be deemed to have a
maturity equal to the period remaining until the principal amount can
be recovered through demand.
(6) Repurchase Agreements. A repurchase agreement shall be deemed
to have a maturity equal to the period remaining until the date on
which the repurchase of the underlying securities is scheduled to
occur, or, where the agreement is subject to demand, the notice period
applicable to a demand for the repurchase of the securities.
(7) Portfolio Lending Agreements. A portfolio lending agreement
shall be treated as having a maturity equal to the period remaining
until the date on which the loaned securities are scheduled to be
returned, or where the agreement is subject to demand, the notice
period applicable to a demand for the return of the loaned securities.
(8) Money Market Fund Securities. An investment in a money market
fund shall be treated as having a maturity equal to the period of time
within which the acquired money market fund is required to make payment
upon redemption, unless the acquired money market fund has agreed in
writing to provide redemption proceeds to the investing money market
fund within a shorter time period, in which case the maturity of such
investment shall be deemed to be the shorter period.
(e) Delegation. The money market fund's board of directors may
delegate to the fund's investment adviser or officers the
responsibility to make any determination required to be made by the
board of directors under this section (other than the determinations
required by paragraphs (c)(1), (c)(5)(i)(C), (c)(5)(ii), (c)(6)(i),
(c)(6)(ii)(A), (B), and (C), and (c)(7) of this section) provided:
(1) Written Guidelines. The Board shall establish and periodically
review written guidelines (including guidelines for determining whether
securities present minimal credit risks as required in paragraph (c)(3)
of this section) and procedures under which the delegate makes such
determinations:
(2) Oversight. The Board shall exercise adequate oversight (through
periodic reviews of fund investments and the delegate's procedures in
connection with investment decisions and prompt review of the adviser's
actions in the event of the default of a security or Event of
Insolvency with respect to the issuer of the security or any Put to
which it is subject that requires notification of the Commission under
paragraph (c)(5)(iii) of this section) to assure that the guidelines
and procedures are being followed.
5. Section 270.2a41-1 is amended by revising paragraph (a)
introductory text to read as follows:
Sec. 270.2a41-1 Valuation of standby commitments by registered
investment companies.
(a) A standby commitment as defined in Sec. 270.2a-7(a)(22) may be
assigned a fair value of zero, Provided, That:
* * * * *
6. Section 270.12d3-1 is amended by revising paragraph (d)(7)(v) to
read as follows:
Sec. 270.12d3-1 Exemption of acquisitions of securities issued by
persons engaged in securities related businesses.
* * * * *
(d) * * *
(7) * * *
[[Page 13983]]
(v) Acquisition of Puts, as defined in Sec. 270.2a-7(a)(16),
provided that, immediately after the acquisition of any Put, the
company will not, with respect to 75 percent of the total value of its
assets, have invested more than ten percent of the total value of its
assets in securities underlying Puts from the same institution. For the
purposes of this section, a Put will be considered to be from the party
to whom the company will look for payment of the exercise price.
* * * * *
7. Section 270.17a-9 is added to read as follows:
Sec. 270.17a-9 Purchase of certain securities from a money market fund
by an affiliate, or an affiliate of an affiliate.
The purchase of a security that is no longer an Eligible Security
(as defined in paragraph (a)(9) of Sec. 270.2a-7) from an open-end
investment company holding itself out as a ``money market'' fund shall
be exempt from section 17(a) of the Act [15 U.S.C. 80a-17(a)], provided
that:
(a) The purchase price is paid in cash; and
(b) The purchase price is equal to the greater of the amortized
cost of the security or its market price (in each case, including
accrued interest).
8. Section 270.31a-1 is amended by adding a sentence to the end of
paragraph (b)(1) to read as follows:
Sec. 270.31a-1 Records to be maintained by registered investment
companies, certain majority-owned subsidiaries thereof, and other
persons having transactions with registered investment companies.
* * * * *
(b) * * *
(1) * * * In the case of a money market fund, also identify the
provider of any put (as defined in Sec. 270.2a-7(a)(16)) or guarantee
with respect to a portfolio security and give a brief description of
the nature of the put (e.g., unconditional demand feature, conditional
demand feature, guarantee, letter of credit, or bond insurance) and, in
a subsidiary portfolio investment record, provide the complete legal
name and accounting and other information (including sufficient
information to calculate coupons, accruals, maturities, puts, and
calls) necessary to identify, value, and account for each investment.
* * * * *
PART 239--FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933
PART 274--FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940
9. The authority citation for part 239 continues to read, in part,
as follows:
Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 77sss, 78c, 78l,
78m, 78n, 78o(d), 78w(a), 78ll(d), 79e, 79f, 79g, 79j, 79l, 79m,
79n, 79q, 79t, 80a-8, 80a-29, 80a-30 and 80a-37, unless otherwise
noted.
* * * * *
10. The authority citation for Part 274 continues to read as
follows:
Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 78c(b), 78l, 78m,
78n, 78o(d), 80a-8, 80a-24, and 80a-29, unless otherwise noted.
Note: Form N-1A does not and the amendments will not appear in
the Code of Federal Regulations.
Secs. 239.15A and 274.11A [Amended]
11. Form N-1A (referenced in 17 CFR 239.15A and 274.11A) is amended
by redesignating paragraph (a)(vii) as paragraph (a)(viii) and by
adding paragraph (a)(vii) and an instruction to the end of paragraph
(a)(vii) of Part A, Item 1 to read as follows:
FORM N-1A
* * * * *
PART A--INFORMATION REQUIRED IN A PROSPECTUS
* * * * *
Item 1. Cover Page
* * * * *
(vii) In the case of a Registrant that holds itself out as a money
market fund primarily distributing income exempt from the income taxes
of a specified state or locality (``single state fund''), a prominent
statement that the registrant may invest a significant percentage of
its assets in a single issuer, and that therefore investment in the
Registrant may be riskier than an investment in other types of money
market funds.
Instruction: The disclosure required for money market funds by Item
1(a)(vii) may be omitted if the registrant limits investment in a
single issuer to five percent of fund assets as to 100 percent of
assets.
* * * * *
Secs. 239.15A and 274.11A [Amended]
12. Form N-1A (referenced in 17 CFR 239.15A and 274.11A) is amended
by adding a sentence and an Instruction to the end of paragraph (c) of
Part A, Item 4 to read as follows:
FORM N-1A
* * * * *
PART A--INFORMATION REQUIRED IN A PROSPECTUS
* * * * *
Item 4. General Description of Registrant
* * * * *
(c) * * * In the case of a Registrant that holds itself out as a
money market fund primarily distributing income exempt from the income
taxes of a specified state or locality (``single state fund''), a
prominent statement that the registrant is concentrated in securities
issued by the state or entities within the state and that therefore
investment in the Registrant may be riskier than an investment in other
types of money market funds.
* * * * *
Note: Form N-3 does not and the amendments will not appear in
the Code of Federal Regulations.
Secs. 239.17a and 274.11b [Amended]
13. Form N-3 (referenced in 17 CFR 239.17a and 274.11b) is amended
by adding Instruction 11.e. to Part A, paragraph (a) of Item 4 to read
as follows:
FORM N-3
* * * * *
PART A--INFORMATION REQUIRED IN A PROSPECTUS
* * * * *
Item 4. Condensed Financial Information
(a) * * *
Instructions
11. The portfolio turnover rate to be shown at caption 10 shall be
calculated as follows:
* * * * *
e. A registrant that holds itself out as a money market fund is not
required to provide a portfolio turnover rate in response to this Item.
* * * * *
Note: Form N-SAR does not and the amendments will not appear in
the Code of Federal Regulations.
Sec. 274.101 [Amended]
14. Form N-SAR (referenced in 17 CFR 274.101) is amended by
revising the definition of ``Money Market Fund'' in General Instruction
G to read as follows:
FORM N-SAR
* * * * *
[[Page 13984]]
GENERAL INSTRUCTIONS
* * * * *
G. Definitions
* * * * *
Money Market Fund: The term ``money market fund'' shall mean any
open-end fund that meets the maturity, quality and diversification
conditions of paragraphs (c)(2), (c)(3), and (c)(4) of rule 2a-7 [17
CFR 270.2a-7].
* * * * *
15. Form N-SAR (referenced in 17 CFR 274.101) is amended by
revising the last sentence of the Instruction to Item 63 to read as
follows:
FORM N-SAR
* * * * *
Instructions to Specific Items
* * * * *
ITEM 63: Dollar weighted average maturity
* * * A money market fund shall determine the weighted average
portfolio maturity in the same manner as it would in monitoring
compliance with the average portfolio maturity provisions of rule 2a-7.
16. Form N-SAR (referenced in 17 CFR 274.101) is amended by adding
a sentence at the end of the first paragraph of the Instruction to Item
71 to read as follows:
FORM N-SAR
* * * * *
Instructions to Specific Items
* * * * *
ITEM 71: Portfolio turnover rate
* * * A money market fund should enter a portfolio turnover rate of
``0'' even if it owns securities that have maturities in excess of one
year.
* * * * *
17. Guide 21 (Disclosure of Risk Factors) to Form N-1A (referenced
in 17 CFR 239.15A and 274.11A) is amended by adding a paragraph to the
end of the Guide to read as follows:
Guide 21. Disclosure of Risk Factors
* * * * *
In many cases, a substantial portion of the portfolio securities
held by tax exempt money market funds is supported by credit and
liquidity enhancements from third parties, generally letters of credit
from foreign or domestic banks. These securities include variable rate
demand notes, tender or ``put'' bonds and similar securities. Where
more than forty percent of a money market fund registrant's portfolio
consists, or is likely to consist, of securities subject to these
features, the registrant should, in response to Item 4, state that,
because the fund invests in securities backed by banks and other
financial institutions, changes in the credit quality of these
institutions could cause losses to the fund and effect its share price.
Secs. 239.15A and 274.11A [Amended]
18. Guide 35 is added to Form N-1A (referenced in 17 CFR 239.15A
and 274.11A] to read as follows:
Guide 35. Money Market Fund Investments in Other Money Market Funds.
Money market funds are permitted to invest in the securities of
other money market funds in accordance with the provisions of rule 2a-7
and section 12(d)(1) of the 1940 Act. Except when a fund has invested
substantially all of its assets in the other money market fund, the
investing fund does not need to ``look through'' the shares of the
fund(s) in which it is investing in order to determine compliance with
the diversification or Second Tier Security limitations of rule 2a-
7.45 However, the investment objectives and policies of the money
market fund making the investment and the money market fund(s) in which
it is investing should not be inconsistent. Paragraph (c)(4)(iv)(A)(5)
of rule 2a-7 describes the obligations of a fund that invests
substantially all of its asset in another money market fund.
\45\ See Investment Company Act Rel. No. 21837 (March 21, 1996)
at Section II.G.2.
---------------------------------------------------------------------------
Secs. 239.17a and 274.11b [Amended]
19. Guide 38 is added to Form N-3 (referenced in 17 CFR 239.17a and
274.11b) to read as follows:
Guide 38. Money Market Fund Investments in Other Money Market Funds
Money market funds are permitted to invest in the securities of
other money market funds in accordance with the provisions of rule 2a-7
and section 12(d)(1) of the 1940 Act. Except when a fund has invested
substantially all of its assets in the other money market fund, the
investing fund does not need to ``look through'' the shares of the
fund(s) in which it is investing in order to determine compliance with
the diversification or Second Tier Security limitations of rule 2a-
7.45 However, the investment objectives and policies of the money
market fund making the investment and the money market fund(s) in which
it is investing should not be inconsistent. Paragraph (c)(4)(v)(A)(5)
of rule 2a-7 describes the obligations of a fund that invests
substantially all of its assets in another money market fund.
\45\ See Investment Company Act Rel. No. 21837 (March 21, 1996)
at Section II.G.2.
---------------------------------------------------------------------------
By the Commission.
Margaret H. McFarland,
Deputy Secretary.
Dated: March 21, 1996.
[FR Doc. 96-7334 Filed 3-27-96; 8:45 am]
BILLING CODE 8010-01-P
Complete official Federal Register PDF
FR Doc. 96-7302 Approval of Inflatable Personal Flotation Devices (PFDs) for Recreational Boaters
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13924-13931]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7302]
[[Page 13923]]
_______________________________________________________________________
Part II
Department of Transportation
_______________________________________________________________________
Coast Guard
_______________________________________________________________________
33 CFR Part 175, et al.
46 CFR Part 2, et al.
Approval of Inflatable Personal Flotation Devices (PFDs) for
Recreational Boaters and Standards; Final Rules
Federal Register / Vol. 61, No. 61 / Thursday, March 28, 1996 / Rules
and Regulations
[[Page 13924]]
DEPARTMENT OF TRANSPORTATION
Coast Guard
33 CFR Parts 175, 179 and 181
46 CFR Parts 2, 159, and 160
[CGD 93-055]
RIN 2115-AE58
Approval of Inflatable Personal Flotation Devices (PFDs) for
Recreational Boaters
AGENCY: Coast Guard, DOT.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: As part of the Presidential Regulatory Reform Initiative, the
Coast Guard is establishing approval procedures for recreational
inflatable personal flotation devices (PFDs), designating recreational
inflatable PFDs as ``associated equipment'' for purposes of defect
notification, revising the approval procedures for other kinds of
recreational PFDs, and making editorial changes. These procedures are
intended to establish an efficient approval procedure for PFDs. The
Coast Guard anticipates that recreational boaters will be more likely
to wear inflatable PFDs than currently approved devices, thereby
increasing use of PFDs by the boating public and saving lives.
DATES: This rule is effective on April 29, 1996. The Director of the
Federal Register approves as of April 29, 1996 the incorporation by
reference of certain publications listed in the regulations.
FOR FURTHER INFORMATION CONTACT:
Mr. Kurt J. Heinz, Marine Safety and Environmental Protection
Directorate, Lifesaving and Fire Safety Standards Branch (G-MMS-4),
telephone (202) 267-1444, facsimile (202) 267-1069, or electronic mail
``Kurt____Heinz/[email protected]''.
SUPPLEMENTARY INFORMATION:
Regulatory History
On November 9, 1993, the Coast Guard published an Advance Notice of
Proposed Rulemaking (ANPRM) entitled ``Inflatable Personal Flotation
Devices'' in the Federal Register (58 FR 59428). The ANPRM addressed
structural and performance standards for inflatable PFDs, and
procedures for approval and carriage requirements. On June 23, 1995,
the Coast Guard published a notice of proposed rulemaking (NPRM)
entitled ``Approval of Inflatable Personal Flotation Devices (PFDs) for
Recreational Boaters'' in the Federal Register (60 FR 32861). The Coast
Guard received 3 letters commenting on the NPRM. No public hearing was
requested and none was held.
Background and Purpose
In the same Federal Register as the NPRM for this rulemaking, the
Coast Guard published an interim rule (IR) containing structural and
performance standards for recreational inflatable personal flotation
devices (60 FR 32836). Limited procedures to allow for approval of
these devices were included in the IR. The NPRM for this rulemaking
proposed, as part of the Presidential Regulatory Reform Initiative, a
reinvention of the process for approval of inflatable and other PFDs
for recreational boats. The proposed rules would remove duplicative
requirements from multiple subparts dealing with various types of PFDs,
and allow for wider participation of independent laboratories in the
approval process. These proposed rules were not published as part of
the IR because they may affect the approval of other types of PFDs to a
limited extent and the public had not yet had a chance to fully
participate in their development.
Discussion of Comments and Changes
The NPRM proposed to designate inflatable PFDs as ``associated
equipment'' in 33 CFR Part 179 in accordance with 46 U.S.C. 4310. The
effect of this designation would be to require manufacturers to
establish and maintain a list of first purchasers of inflatable PFDs,
and to notify those purchasers of any defects which have been
discovered after the PFDs have been produced and sold.
Comments on this proposed provision were received from two PFD
manufacturers and from the association representing PFD manufacturers.
All three comments opposed the proposal. The association's comment
suggested that designation of inflatable PFDs as ``associated
equipment'' would place an inappropriate and inconsistent burden on
inflatable PFDs in relation to requirements for other items of personal
protection equipment. The two manufacturers' comments noted that the
designation of inflatable PFDs as ``associated equipment'' did not
appear to be consistent with the items which are currently so
designated, i.e., inboard and outboard engines and stern drive units.
The Coast Guard does not agree with the comments which opposed
designation of inflatable PFDs as ``associated equipment'' based solely
on perceived similarity, or lack of similarity, to existing equipment.
In the recreational boating arena, approved inflatable PFDs are an
entirely new class of equipment with which the Coast Guard and the
boating public have had little practical experience. The Coast Guard is
concerned that as manufacturers begin producing approved inflatable
PFDs for the recreational boating market for the first time, there may
be latent defects in manufacturing or materials introduced into the
product which would become apparent only after extended use and
exposure in the marine environment. The provisions in 46 U.S.C.
4310(c)(1)(A) for notification of first purchasers of ``associated
equipment'' in the event of known defects or failures of compliance
would facilitate the widespread introduction of inflatable PFDs into
this unfamiliar market with a minimum of risk to both users and
manufacturers. The designation of inflatable PFDs for recreational
boats as ``associated equipment'' complements the ``Recreational
Inflatable Personal Flotation Device Standards'' final rule published
elsewhere in today's Federal Register, which allows for approval of
these devices with a minimum of restrictions or conditions.
Consequently, 33 CFR 179.03, paragraph (d) under ``Associated
equipment'' is retained as proposed in the NPRM. Because this provision
is intended only to manage the risk involved in the introduction of a
new product to a generally inexperienced market, the Coast Guard will
re-evaluate it five years from the effective date of these regulations
and remove it if it determines it is no longer necessary. As was
discussed in the NPRM, these regulations (like all regulations
affecting recreational boats) are reviewed periodically at public
meetings of the National Boating Safety Advisory Council (NBSAC).
The NPRM proposed that as a means of developing and maintaining a
list of first purchasers, PFD manufacturers be required to provide a
postage-paid product registration card with each inflatable PFD, and to
retain the returned cards on file for five years. Two comments from PFD
manufacturers opposed the requirement, in proposed new Subpart H of 33
CFR Part 181, for PFD manufacturers to provide a postage-paid
registration card with each inflatable PFD sold. The comments cited the
burden and expense associated with the provision of such cards.
In response to the comments, the Coast Guard has decided not to
include the proposed 33 CFR Part 181, Subpart H in this final rule.
With the designation of inflatable PFDs as ``Associated equipment'' in
the new 33 CFR 179.05, PFD manufacturers will be expected to ``exercise
reasonable diligence in establishing and maintaining a list of
[[Page 13925]]
(first) purchasers and their current addresses.'' The Coast Guard
acknowledges that there are other suitable means of accomplishing this
end than by a mandated postage-paid card to be filled in by the first
retail purchaser. PFD manufacturers may arrange for assistance of
dealers and distributors in obtaining information concerning first
purchasers, or provide for toll-free telephone or on-line registration
by first purchasers. The removal of the postage-paid postcard
requirement gives manufacturers flexibility to adopt the means best
suited to their individual situations.
There are no comments on any of the other proposals in the NPRM.
Those proposals were discussed in detail in the preamble to the NPRM,
and are being adopted in this final rule with only minor editorial
refinements and corrections, such as updating of Coast Guard staff
symbols to reflect a recent Coast Guard reorganization.
The only substantive addition not specifically proposed in the NPRM
is to redesignated 46 CFR 159.010-19, which specifies procedures for
termination of acceptance or recognition of laboratories. Since
termination of acceptance or recognition of a laboratory by the
Commandant constitutes a final agency action, procedural measures have
been added to ensure that such action cannot be taken by the Commandant
without due process.
Incorporation by Reference
The Director of the Federal Register has approved the material in
33 CFR 181.4 and 46 CFR 159.001-4 for incorporation by reference under
5 U.S.C. 552 and 1 CFR part 51. The material is available as indicated
in those sections.
Regulatory Evaluation
This rulemaking is not a significant regulatory action under
section 3(f) of Executive Order 12866 and does not require an
assessment of potential costs and benefits under section 6(a)(3) of
that order. It has not been reviewed by the Office of Management and
Budget under that order. It is not significant under the regulatory
policies and procedures of the Department of Transportation (DOT) (44
FR 11040; February 26, 1979).
The Coast Guard expects the economic impact of this rulemaking to
be so minimal that a full Regulatory Evaluation under paragraph 10e of
the regulatory policies and procedures of DOT is unnecessary. These
rules are generally procedural, enabling boaters to purchase and use
inflatable PFDs on their boats if they wish to do so. The only rule
that will require affected parties to do something they are not already
doing is the designation of inflatable PFDs as ``associated
equipment'', which will require that manufacturers ``exercise due
diligence in establishing and maintaining a list of (first) purchasers
and their current addresses.'' Compliance with this requirement can be
as simple as maintenance of returned postage-prepaid registration
cards, as was proposed in the NPRM. Since that specific requirement is
not included in this final rule, manufacturers will have flexibility to
comply with the statutory requirement in the least burdensome manner
for their particular circumstances. The total cost for this
requirement, including overhead, is expected to be no more than
50 cents per device, resulting in a total cost to the industry of only
$25,000 annually if 50,000 units per year are produced.
Small Entities
Under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.), the
Coast Guard must consider whether this rulemaking will have a
significant economic impact on a substantial number of small entities.
``Small entities'' may include (1) small businesses and not-for-profit
organizations that are independently owned and operated and are not
dominant in their fields and (2) governmental jurisdictions with
populations of less than 50,000.
These rules are generally procedural, enabling boaters to purchase
and use inflatable PFDs on their boats if they wish to do so. As
discussed above, the economic impact of the new requirements is
expected to be minimal, and no comments were received concerning the
impact of this rulemaking on small entities. Therefore, the Coast Guard
certifies under section 605(b) of the Regulatory Flexibility Act (5
U.S.C. 601 et seq.) that this rule will not have a significant economic
impact on a substantial number of small entities.
Collection of Information
This rule contains collection-of-information requirements. The
Coast Guard has submitted the requirements to the Office of Management
and Budget (OMB) for review under section 3504(h) of the Paperwork
Reduction Act (44 U.S.C. 3501 et seq.). The Coast Guard will publish a
notice in the Federal Register when they have been approved. The
section number is 46 CFR 159.010-7.
Federalism
The Coast Guard has analyzed this rulemaking under the principles
and criteria contained in Executive Order 12612 and has determined that
it does not have sufficient federalism implications to warrant the
preparation of a Federalism Assessment. This rulemaking establishes and
revises procedures for Coast Guard approval of inflatable and other
PFDs. The authority to establish these requirements is committed to the
Coast Guard by Federal statutes. Furthermore, since PFDs are
manufactured and used in the national marketplace, safety standards for
PFDs should be national in scope to avoid burdensome variances.
Therefore, this rule preempts State action on the same subject matter.
Environment
The Coast Guard considered the environmental impact of this
rulemaking and concluded that, under paragraph 2.B.2 of Commandant
Instruction M16475.1B, this rulemaking is categorically excluded from
further environmental documentation. This rulemaking is procedural in
nature, and contains nothing that would affect the environment.
List of Subjects
33 CFR Part 175
Marine safety.
33 CFR Part 179
Marine safety, Reporting and recordkeeping requirements.
33 CFR Part 181
Incorporation by Reference, Labeling, Marine safety, Reporting and
recordkeeping requirements.
46 CFR Part 2
Marine safety, Reporting and recordkeeping requirements, vessels.
46 CFR Part 159
Business and industry, Incorporation by Reference, Laboratories,
Marine safety, Reporting and recordkeeping requirements.
46 CFR Part 160
Marine safety, Reporting and recordkeeping requirements.
For the reasons set out in the preamble, the Coast Guard amends 33
CFR parts 175, 179 and 181; and 46 CFR parts 2, 159, and 160 as
follows:
Title 33--[Amended]
PART 175--EQUIPMENT REQUIREMENTS
1. The authority citation for part 175 continues to read as
follows:
Authority: 46 U.S.C. 4302; 49 CFR 1.46.
[[Page 13926]]
2. In Sec. 175.21, paragraph (a) is revised to read as follows:
Sec. 175.21 Condition; size and fit; approval marking.
* * * * *
(a) In serviceable condition as provided in Sec. 175.23;
* * * * *
3. Section 175.23 is added to read as follows:
Sec. 175.23 Serviceable condition.
A PFD is considered to be in serviceable condition for purposes of
Sec. 175.21(a) only if the following conditions are met:
(a) No PFD may exhibit deterioration that could diminish the
performance of the PFD, including--
(1) Metal or plastic hardware used to secure the PFD on the wearer
that is broken, deformed, or weakened by corrosion;
(2) Webbings or straps used to secure the PFD on the wearer that
are ripped, torn, or which have become separated from an attachment
point on the PFD; or
(3) Any other rotted or deteriorated structural component that
fails when tugged.
(b) In addition to meeting the requirements of paragraph (a) of
this section, no inherently buoyant PFD, including the inherently
buoyant components of a hybrid inflatable PFD, may exhibit--
(1) Rips, tears, or open seams in fabric or coatings, that are
large enough to allow the loss of buoyant material;
(2) Buoyant material that has become hardened, non-resilient,
permanently compressed, waterlogged, oil-soaked, or which shows
evidence of fungus or mildew; or
(3) Loss of buoyant material or buoyant material that is not
securely held in position.
(c) In addition to meeting the requirements of paragraph (a) of
this section, an inflatable PFD, including the inflatable components of
a hybrid inflatable PFD, must be equipped with--
(1) Except as provided in paragraph (d) of this section, a properly
armed inflation mechanism, complete with a full inflation medium
cartridge and all status indicators showing that the inflation
mechanism is properly armed;
(2) Inflatable chambers that are all capable of holding air;
(3) Oral inflation tubes that are not blocked, detached, or broken;
(4) A manual inflation lanyard or lever that is not inaccessible,
broken, or missing; and
(5) Inflator status indicators that are not broken or otherwise
non-functional.
(d) The inflation system of an inflatable PFD need not be armed
when the PFD is worn inflated and otherwise meets the requirements of
paragraphs (a) and (c) of this section.
PART 179--DEFECT NOTIFICATION
4. The authority citation for Part 179 is revised to read as
follows:
Authority: 43 U.S.C. 1333; 46 U.S.C. 4302, 4307, 4310, and 4311;
49 CFR 1.46.
5. Section 179.01 is revised to read as follows:
Sec. 179.01 Purpose.
This part prescribes rules to implement 46 U.S.C. 4310, governing
the notification of defects in boats and associated equipment.
6. Section 179.03 is revised to read as follows:
Sec. 179.03 Definitions.
Associated equipment means the following equipment as shipped,
transferred, or sold from the place of manufacture and includes all
attached parts and accessories:
(1) An inboard engine.
(2) An outboard engine.
(3) A stern drive unit.
(4) An inflatable personal flotation device approved under 46 CFR
160.076.
Boat means any vessel--
(1) Manufactured or used primarily for noncommercial use;
(2) Leased, rented, or chartered to another for the latter's
noncommercial use; or
(3) Engaged in the carrying of six or fewer passengers.
Manufacturer means any person engaged in--
(1) The manufacture, construction, or assembly of boats or
associated equipment;
(2) The manufacture or construction of components for boats and
associated equipment to be sold for subsequent assembly; or
(3) The importation into the United States for sale of boats,
associated equipment, or components thereof.
7. Section 179.05 is revised to read as follows:
Sec. 179.05 Manufacturer discovered defects.
Each manufacturer who is required to furnish a notice of a defect
or failure to comply with a standard or regulation under 46 U.S.C.
4310(b), shall furnish that notice within 30 days after the
manufacturer discovers or acquires information of the defect or failure
to comply.
8. Section 179.07 is revised to read as follows:
Sec. 179.07 Notice given by ``more expeditious means''.
Each manufacturer who gives notice by more expeditious means as
provided for in 46 U.S.C. 4310(c)(1)(C), must give such notice in
writing.
9. In Sec. 179.09 the introductory paragraph is revised to read as
follows:
Sec. 179.09 Contents of notification.
Each notice required under 46 U.S.C. 4310(b) must include the
following additional information:
* * * * *
10. Section 179.11 is revised to read as follows:
Sec. 179.11 Defects determined by the Commandant.
A manufacturer who is informed by the Commandant under 46 U.S.C.
4310(f) that a boat or associated equipment contains a defect relating
to safety or failure to comply with a standard or regulation issued
under the authority of 46 U.S.C. 4302, shall within 30 days of receipt
of the information--
(a) Furnish the notification described in 46 U.S.C. 4310(d) to the
persons designated in 46 U.S.C. 4310(c), or
(b) Provide information to the Commandant by certified mail stating
why the manufacturer believes there is no defect relating to safety or
failure of compliance.
10a. In Sec. 179.13, paragraphs (a) introductory text, (a)(1), and
(a)(2) are revised to read as follows:
Sec. 179.13 Initial report to the Commandant.
(a) When a manufacturer gives a notification required under 46
U.S.C. 4310, the manufacturer shall concurrently send to the Commandant
by certified mail--
(1) A true or representative copy of each notice, bulletin, and
other communication given to persons required to be notified under 46
U.S.C. 4310(c);
(2) The manufacturer's best estimate of the total number of boats
or items of associated equipment potentially affected by the defect or
failure to comply with a standard or regulation prescribed under 46
U.S.C. 4302; and
* * * * *
11. Section 179.17 is revised to read as follows:
Sec. 179.17 Penalties.
Each manufacturer who fails to comply with a provision of 46 U.S.C.
4310 or the regulations in this part, is subject to the penalties as
prescribed in 46 U.S.C. 4311.
12. Section 179.19 is revised to read as follows:
[[Page 13927]]
Sec. 179.19 Address of the Commandant.
(a) Each report and communication sent to the Coast Guard and
required by this part concerning boats and associated equipment other
than inflatable personal flotation devices, must be submitted to
Commandant (G-OPB-3), U.S. Coast Guard, 2100 Second St., SW.,
Washington, DC 20593-0001.
(b) Each report and communication sent to the Coast Guard and
required by this part concerning inflatable personal flotation devices,
must be submitted to Commandant (G-MMS-4), U.S. Coast Guard, 2100
Second St. SW., Washington, DC 20593-0001.
PART 181--MANUFACTURER REQUIREMENTS
13. The authority citation for part 181 is revised to read as
follows:
Authority: 46 U.S.C. 4302 and 4310; 49 CFR 1.46.
Subpart A--General
14. In Sec. 181.4, paragraph (b) is revised to read as follows:
Sec. 181.4 Incorporation by reference.
* * * * *
(b) The materials approved for incorporation by reference in this
part, and the sections affected are:
Underwriters Laboratories, Inc.
333 Pfingsten Road, Northbrook, IL 60062.
UL 1123, Marine Buoyant Devices, 181.703.
February 17, 1995.
Subpart G--Instruction Pamphlet For Personal Flotation Devices
15. Section 181.702 is revised to read as follows:
Sec. 181.702 Information pamphlet: requirement to furnish.
(a) Each manufacturer of a Type I, II, III, IV, or V personal
flotation device (PFD) must furnish with each PFD that is sold or
offered for sale for use on a recreational boat, an information
pamphlet meeting the requirements of Sec. 181.703, Sec. 181.704, or
Sec. 181.705 of this subpart, as appropriate.
(b) No person may sell or offer for sale for use on a recreational
boat, a Type I, II, III, IV, or V PFD unless an information pamphlet
required by this section is attached in such a way that it can be read
prior to purchase.
16. Section 181.703 is revised to read as follows:
Sec. 181.703 Information pamphlet: Contents.
Unless otherwise specified in this subpart, each information
pamphlet must contain the information specified in sections 33, 34 and
35 of UL 1123.
17. Section 181.704 is added to read as follows:
Sec. 181.704 contents of information pamphlet: Recreational hybrid
PFD.
Each information pamphlet for a recreational hybrid PFD approved
under 46 CFR 160.077 must contain the information specified in 46 CFR
160.077-27.
18. Section 181.705 is added to read as follows:
Sec. 181.705 Contents of information pamphlet: Recreational inflatable
PFD.
Each information pamphlet for a recreational inflatable PFD
approved under 46 CFR 160.076 must contain the information required by
46 CFR 160.076-35.
Title 46--[Amended]
PART 2--VESSEL INSPECTIONS
19. The authority citation for part 2 is revised to read as
follows:
Authority: 33 U.S.C. 1903; 43 U.S.C. 1333; 46 U.S.C. 3306, 3703;
E.O. 12334, 3 CFR, 1980 Comp., p. 277; 49 CFR 1.46; subpart 2.45
also issued under the authority of Act Dec. 27, 1950, Ch. 1155,
secs. 1, 2, 64 Stat. 1120 (see 46 U.S.C. App. note prec. 1).
20. In Sec. 2.75-1, paragraph (f) is revised to read as follows:
Sec. 2.75-1 Approvals.
* * * * *
(f) A listing of current and formerly approved equipment and
materials is published by the Coast Guard from time to time in
``Equipment Lists'' (COMDTINST M16714.3 series), which is available for
sale from the Superintendent of Documents, Government Printing Office.
Sec. 2.75-17 [Removed]
21. Section 2.75-17 is removed.
Sec. 2.75-18 [Removed]
22. Section 2.75-18 is removed.
Sec. 2.75-19 [Removed]
23. Section 2.75-19 is removed.
Sec. 2.75-20 [Removed]
24. Section 2.75-20 is removed.
Sec. 2.75-30 [Removed]
25. Section 2.75-30 is removed.
26. In Sec. 2.75-50, the section heading and paragraph (a) are
revised and a new paragraph (c) is added to read as follows:
Sec. 2.75-50 Withdrawals or terminations of approvals and appeals.
(a) The Commandant may withdraw approval for any item which is
found not to be in compliance with the conditions of approval, found to
be unsuitable for its intended purpose, or does not meet the
requirements of applicable regulations.
* * * * *
(c) Any person directly affected by a decision to deny, withdraw,
or terminate an approval may appeal the decision to the Director of
Marine Safety and Environmental Protection (Commandant (G-M)) as
provided in Sec. 1.03-15 of this chapter.
PART 159--APPROVAL OF EQUIPMENT AND MATERIALS
27. The authority citation for part 159 is revised to read as
follows:
Authority: 46 U.S.C. 3306, 3703; 49 CFR 1.45, 1.46; Section
159.001-9 also issued under the authority of 44 U.S.C. 3507.
28. Section 159.001-2 is revised to read as follows:
Sec. 159.001-2 Right of appeal.
Any person directly affected by a decision or action taken under
this subchapter, by or on behalf of the Coast Guard, may appeal to the
Director of Marine Safety and Environmental Protection (Commandant (G-
M)) as provided in Sec. 1.03-15 of this chapter.
29. Section 159.001-3 is revised to read as follows:
Sec. 159.001-3 Definitions.
As used in this part:
Classification society means an organization involved in the
inspection of ships and ship equipment, and which, as determined by the
Commandant, meets the standards in IMO Resolution A.739(18).
Independent laboratory means an organization which meets the
standards for acceptance in Sec. 159.010-3 of this part, and which is
accepted by the Coast Guard for performing certain tests and
inspections. In addition to commercial testing laboratories, the
Commandant may also accept classification societies and agencies of
governments that are involved in the inspection and testing of marine
safety equipment that meet the requirements of Sec. 159.010-3.
Memorandum of Understanding (MOU) is an agreement between the Coast
Guard and a laboratory that specifies the approval functions a
recognized independent laboratory performs for the Coast Guard and the
recognized independent laboratory's working arrangements with the Coast
Guard.
Recognized independent laboratory means an independent laboratory
which meets the standards of Sec. 159.010-3, and is accepted by the
Coast Guard to
[[Page 13928]]
perform certain equipment approval functions on behalf of the Coast
Guard, as described in a Memorandum of Understanding signed by the
laboratory and the Coast Guard in accordance with Sec. 159.010-7(b).
30. Section 159.001-4 is added to read as follows:
Sec. 159.001-4 Incorporation by reference.
(a) Certain materials is incorporated by reference into this part
with the approval of the Director of the Federal Register under 5
U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that
specified in paragraph (b) of this section, the Coast Guard must
publish notice of change in the Federal Register; and the material must
be available to the public. All approved material is available for
inspection at the Office of the Federal Register, 800 North Capitol
Street NW, suite 700, Washington, DC, and at the U.S. Coast Guard,
Lifesaving and Fire Safety Standards Branch (G-MMS-4), 2100 Second
Street SW, Washington, DC 20593-0001, and is available from the sources
indicated in paragraph (b) of this section.
(b) The material approved for incorporation by reference in this
part (subchapter) and the sections affected are as follows:
International Maritime Organization (IMO)
Publications Section, 4 Albert Embankment, London SE1 7SR, England.
Resolution A.739(18), Guidelines for the Authorization of
Organizations Acting on Behalf of the Administration, November 22,
1993--159.001-3.
31. Section 159.001-5 is revised to read as follows:
Sec. 159.001-5 Correspondence and applications.
Unless otherwise specified, all correspondence and applications in
connection with approval and testing of equipment and materials must be
addressed to: Commandant (G-MMS-4), U.S. Coast Guard, 2100 Second
Street SW, Washington, DC 20593-0001, Telephone: (202) 267-1444,
Facsimile: (202) 267-1069, Electronic mail: MVI-3/[email protected].
Subpart 159.005--Approval Procedures
32. In Sec. 159.005-13, paragraph (a)(4) is revised to read as
follows:
Sec. 159.005-13 Equipment or material: approval.
(a) * * *
(4) Publishes a record of the approval in ``Equipment Lists.'' The
most recent edition of ``Equipment Lists'' U.S. Coast Guard Publication
M16714.3 (series) is available from the Superintendent of Documents,
U.S. Government Printing Office, P.O. Box 371954, Pittsburgh, PA 15250-
7954.
* * * * *
33. The title of subpart 159.010 is revised to read as follows:
Subpart 159.010--Independent Laboratory: Acceptance, Recognition,
and Termination
34. Section 159.010-1 is revised to read as follows:
Sec. 159.010-1 Purpose.
This subpart contains the following:
(a) The standards and procedures under which the Coast Guard
accepts an independent laboratory that a manufacturer proposes to use.
(b) The standards and procedures under which a laboratory is
accepted as a recognized laboratory under applicable subparts.
(c) The circumstances under which the acceptance or recognition of
a laboratory is terminated.
35. Section 159.010-5 is revised to read as follows:
Sec. 159.010-5 Independent laboratory: application for acceptance.
(a) Each application for acceptance of an organization as an
independent laboratory must contain the following:
(1) The name and address of the organization.
(2) A list of the equipment or material that the organization would
inspect, or test, or both, under this subchapter.
(3) A description of the organization's experience and its
qualifications for conducting the inspections and tests required in the
applicable subpart.
(4) A description of the apparatus and facilities available to the
organization for conducting those inspections and tests.
(5) If instruments are used in the required tests and inspections,
a description of the instrument calibration program applying to those
instruments.
(6) The position titles of personnel who are to perform, supervise,
or witness those inspections or tests, along with the training and
experience required for personnel in those positions.
(7) A statement signed by the chief officer of the organization or
the chief officer's representative, that an official representative of
the Coast Guard is allowed access upon request to the place where tests
and inspections take place, to verify the information submitted in the
application, or to witness tests and inspections.
(b) Each application for acceptance as an independent laboratory
that is not submitted by an agency of a state or another national
government, or by a classification society, must also contain the
following:
(1) The name and address of each subsidiary and division of the
organization, or a statement that none are involved in the testing or
manufacturing of equipment approved under this subchapter.
(3) The name, title, address, and principal business activity of
each of the organization's officers and directors, and the name,
address, and principal business activity of each person, company, or
corporation that owns at least three-percent interest in the
organization or in a company or corporation that controls the
organization.
Sec. 159.010-7 [Removed]
36. Section 159.010-7 is removed.
Sec. 159.010-9 [Redesignated as Sec. 159.010-7]
37. Section 159.010-9 is redesignated 159.010-7, and revised to
read as follows:
Sec. 159.010-7 Recognized independent laboratory: Memorandum of
Understanding.
(a) Only laboratories that have entered into an MOU with the Coast
Guard may perform the functions of a recognized laboratory under this
chapter.
(b) An independent laboratory seeking to become a recognized
independent laboratory must submit a signed MOU to the Commandant that
includes--
(1) A statement of purpose;
(2) An identification and description of the parties involved;
(3) A description of the problem resolution and appeals processes;
(4) A description of the process for measuring effectiveness and
efficiency of the program under the MOU;
(5) The effective date of the MOU and terms for its termination;
(6) A statement to the effect that the MOU is not an exclusive
agreement between the recognized independent laboratory and the Coast
Guard;
(7) An agreement to conduct comparison testing with other
recognized laboratories as directed by the Coast Guard, no more often
than twice each year, with the laboratory bearing the cost of sample
acquisition and testing;
(8) A statement as to how the costs of implementing the MOU will be
borne; and
(9) A description of each party's responsibilities for--
(i) Equipment review and approval;
[[Page 13929]]
(ii) Coast Guard oversight of the recognized independent
laboratory's procedures and processes;
(iii) Coordination between the parties;
(iv) Developing and maintaining regulations and standards;
(v) Handling review and approval of new and novel items not
anticipated by existing regulations and standards;
(vi) Testing and inspection facilities and procedures;
(vii) Production quality control; and
(vii) Maintenance of records.
(c) The signature on the MOU required by paragraph (b) of this
section must be that of the chief officer of the independent laboratory
or the chief officer's representative. The Commandant or an authorized
representative of the Commandant will review the MOU to ensure that it
contains the information required by paragraph (b) of this section, and
that the substantive provisions submitted in compliance with that
paragraph are equivalent to those contained in other MOUs signed by the
Commandant. If the Commandant determines that the MOU is acceptable and
the independent laboratory is capable of carrying out the equipment
approval functions identified in the MOU in accordance with all
appropriate requirements, the Commandant or authorized representative
may at his discretion sign the MOU. Where qualitative tests or
determinations are required for approval or follow-up, provision must
be made for conducting comparison tests with other recognized
laboratories.
(d) Copies of MOUs signed by the Commandant in accordance with this
part and of lists of independent laboratories which have been accepted
as recognized laboratories but which have not yet been added to the
lists included in this subchapter may be obtained at the address listed
in Sec. 159.001-5.
Sec. 159.010-11 [Removed]
38. Section 159.010-11 is removed.
Sec. 159.010-17 [Redesignated as Sec. 159.010-11]
39. Section 159.010-17 is redesignated 159.010-11, and revised to
read as follows:
Sec. 159.010-11 Changes in the laboratory's qualifications.
(a) If any of the information submitted under Sec. 159.010-5(a)
changes, the laboratory shall notify the Commandant in writing of each
change within 30 days after the change has occurred.
(b) If any change in the independent laboratory occurs which
affects its performance under the MOU required under Sec. 159.010-7,
the laboratory shall notify the Commandant in writing within 30 days
after the change occurs. The Commandant may terminate the MOU, or may
require amendments or revisions.
Sec. 159.010-19 [Redesignated Sec. 159.010-17]
40. Section 159.010-19 is redesignated 159.010-17, and revised to
read as follows:
Sec. 159.010-17 Termination of acceptance or recognition of an
independent laboratory.
The acceptance or recognition of a laboratory terminates if the
laboratory--
(a) Requests termination;
(b) Is no longer in business;
(c) Knowingly fails to perform or supervise an inspection or test,
or both, as required in an applicable subpart;
(d) Knowingly attests to the lack of errors, omissions, or false
statement of an approval test report that contains errors omissions, or
false statements;
(e) Does not meet the requirements of Sec. 159.010-3(a);
(f) Does not comply with Sec. 159.010-11;
(g) Contracts or transfers the performance or supervision of
required inspections or tests to another laboratory or person without
the approval of the Commandant; or
(h) Fails to, or in the opinion of the Commandant is unable to,
carry out its responsibilities under an MOU required by Sec. 159.010-7.
Sec. 159.010-21 [Redesignated as Sec. 159.010-19]
41. Section 159.010-21 is redesignated 159.010-19, and revised to
read as follows:
Sec. 159.010-19 Termination of acceptance or recognition: Procedure.
(a) If the Coast Guard receives evidence of grounds for termination
of acceptance or recognition of an independent laboratory under
Sec. 159.010-17, the Commandant will notify the laboratory that
termination is under consideration. The laboratory may submit written
comments to the Commandant within 21 days of receipt of the
notification. The Commandant will take all timely written comments into
account before taking final action in the matter, and in no case will
the Commandant take final action until at least 30 days after the
laboratory has received the notification. Any final action taken by the
Commandant is final agency action on the matter.
(b) If a deficiency could materially affect the validity of an
approval issued under an applicable subpart, the Commandant may
temporarily suspend the acceptance of the laboratory and may direct the
holder of the certificate of approval to cease claiming that the items
tested or inspected by the laboratory are Coast Guard approved, pending
a final decision in the matter.
PART 160--LIFESAVING EQUIPMENT
42. The authority citation for Part 160 continues to read as
follows:
Authority: 46 U.S.C. 2103, 3306, 3703, and 4302; E.O. 12234, 3
CFR, 1980 Comp., p. 277; 49 CFR 1.46.
Subpart 160.021--Hand Red Flare Distress Signals
Sec. 160.021-9 [Removed]
44. Section 160.021-9 is removed.
Subpart 160.022--Floating Orange Smoke Distress Signals (5 Minutes)
Sec. 160.022-9 [Removed]
43. Section 160.022-9 is removed.
Subpart 160.023--Hand Combination Flare and Smoke Distress Signals
Sec. 160.023-9 [Removed]
44. Section 160.023-9 is removed.
Subpart 160.024--Pistol-Projected Parachute Red Flare Distress
Signals
Sec. 160.024-9 [Removed]
45. Section 160.024-9 is removed.
Subpart 160.028--Signal Pistols For Red Flare Distress Signals
Sec. 160.028-9 [Removed]
46. Section 160.028-9 is removed.
Subpart 160.031--Line-Throwing Appliance, Shoulder Gun Type (And
Equipment)
Sec. 160.031-9 [Removed]
47. Section 160.031-9 is removed.
Subpart 160.036--Hand-Held Rocket-Propelled Parachute Red Flare
Distress Signals
Sec. 160.036-9 [Removed]
48. Section 160.036-9 is removed.
Subpart 160.037--Hand Orange Smoke Distress Signals
Sec. 160.037-9 [Removed]
49. Section 160.037-9 is removed.
Subpart 160.040--Line-Throwing Appliance, Impulse-Projected Rocket
Type (And Equipment)
Sec. 160.040-9 [Removed]
50. Section 160.040-9 is removed.
[[Page 13930]]
Subpart 160.047--Specifications for a Buoyant Vest, Kapok, or
Fibrous Glass, Adult and Child
Sec. 160.047-6a [Removed]
51. Section 160.047-6a is removed.
Sec. 160.047-6b [Removed]
52. Section 160.047-6b is removed.
Sec. 160.047-6c [Removed]
53. Section 160.047-6c is removed.
54. Section 160.047--7 is revised to read as follows:
Sec. 160.047-7 Recognized Laboratory
(a) A manufacturer seeking Coast Guard approval of a product under
this subpart shall follow the approval procedures of subpart 159.005 of
this chapter, and shall apply for approval directly to a recognized
independent laboratory. The following laboratories are recognized under
Sec. 159.010-7 of this part, to perform testing and approval functions
under this subpart:
Underwriters Laboratories, 12 Laboratory Drive, P.O. Box 13995,
Research Triangle Park, NC 27709-3995, (919) 549-1400.
(b) Production oversight must be performed by the same laboratory
that performs the approval tests unless, as determined by the
Commandant, the employees of the laboratory performing production
oversight receive training and support equal to that of the laboratory
that performed the approval testing.
Sec. 160.047-9 [Removed]
55. Section 160.047-9 is removed.
Sec. 160.047-10 [Removed]
56. Section 160.047--10 is removed.
Subpart 160.048--Specification for a Buoyant Cushion, Fibrous Glass
Sec. 160.048-7 [Amended]
57. Section 160.048-7, removed paragraphs (a) and (b) and
redesignate paragraphs (b), (c), and (e) as (a), (b), and (c)
respectively.
Sec. 160.048-7a [Removed]
58. Section 160.048-7a is removed.
59. Section 160.048-8 is revised to read as follows:
Sec. 160.048-8 Recognized Laboratory.
(a) A manufacturer seeking Coast Guard approval of a product under
this subpart shall follow the approval procedures of subpart 159.005 of
this chapter, and shall apply for approval directly to a recognized
independent laboratory. The following laboratories are recognized under
Sec. 159.010-7 of this part, to perform testing and approval functions
under this subpart:
Underwriters Laboratories, 12 Laboratory Drive, P.O. Box 13995,
Research Triangle Park, NC 27709-3995, (919) 549-1400.
(b) Production oversight must be performed by the same laboratory
that performs the approval tests unless, as determined by the
Commandant, the employees of the laboratory performed production
oversight receive training and support equal to that of the laboratory
that performed the approval testing.
Sec. 160.048-9 [Removed]
60. Section 160.048-9 is removed.
Sec. 160.048-10 [Removed]
61. Section 160.048-10 is removed.
Subpart 160.049--Specification for a Buoyant Cushion, Plastic Foam
62. In Sec. 160.049-7, revise the heading, remove paragraphs (a)
and (d) and redesignate paragraphs (b), (c), and (e) as (a), (b), and
(c) respectively, to read as follows:
Sec. 160.049-7 Procedure for approval
Sec. 160.049-7a [Removed]
63. Section 160.049-7a is removed.
63. Section 160.049-8 is revised to read a follows:
Sec. 160.049-8 Recognized laboratory.
(a) A manufacturer seeking Coast Guard approval of a product under
this subpart shall follow the approval procedures of subpart 159.005 of
this chapter, and shall apply for approval directly to a recognized
independent laboratory. The following laboratories are recognized under
Sec. 159.010-7 of this part, to perform testing and approval functions
under this subpart:
Underwriters Laboratories, 12 Laboratory Drive, P.O. Box 13995,
Research Triangle Park, NC 27709-3995, (919) 549-1400.
(b) Production oversight must be performed by the same laboratory
that performs the approval tests unless, as determined by the
Commandant, the employees of the laboratory performing production
oversight receive training and support equal to that of the laboratory
that performed the approval testing.
Sec. 160.049-9 [Removed]
65. Section 160.049-9 is removed.
Sec. 160.049-10 [Removed]
66. Section 160.049-10 is removed.
Subpart 160.052--Specification For a Buoyant Vest, Unicellular
Plastic Foam, Adult and Child
Sec. 160.052-8a [Removed]
67. Section 160.052-8a is removed.
Sec. 160.052-8b [Removed]
68. Section 160.052-8b is removed.
Sec. 160.052-8c [Removed]
69. Section 160.052-8c is removed.
70. Section 160.052-9 is revised to read as follows:
Sec. 160.052-9 Recognized Laboratory.
(a) A manufacturer seeking Coast Guard approval of a product under
this subpart shall follow the approval procedures of subpart 159.005 of
this chapter, and shall apply for approval directly to a recognized
independent laboratory. The following laboratories are recognized under
Sec. 159.010-7 of this part, to perform testing and approval functions
under this subpart:
Underwriters Laboratories, 12 Laboratory Drive, P.O. Box 13995,
Research Triangle Park, NC 27709-3995, (919) 549-1400.
(b) Production oversight must be performed by the same laboratory
that performs the approval tests unless, as determined by the
Commandant, the employees of the laboratory performing production
oversight receive training and support equal to that of the laboratory
that performed the approval testing.
Sec. 160.052-11 [Removed]
71. Section 160.052-11 is removed.
Sec. 160.052-12 [Removed]
72. Section 160.052-12 is removed.
Subpart 160.057--Floating Orange Smoke Distress Signals (15
Minutes)
Sec. 160.057-9 [Removed]
73. Section 160.057-9 is removed.
Subpart 160.060--Specification For a Buoyant Vest, Unicellular
Polyethylene Foam, Adult and Child
Sec. 160.060-8a [Removed]
74. Section 160.060-8a is removed.
Sec. 160.060-8b [Removed]
77. Section 160.060-8b is removed.
Sec. 160.060-8c [Removed]
75. Section 160.060-8c is removed.
76. Section 160.060-9 is revised to read as follows:
Sec. 160.060-9 Recognized Laboratory.
(a) A manufacturer seeking Coast Guard approval of a product under
this subpart shall follow the approval
[[Page 13931]]
procedures of subpart 159.005 of this chapter, and shall apply for
approval directly to a recognized independent laboratory. The following
laboratories are recognized under Sec. 159.010-7 of this part, to
perform testing and approval functions under this subpart:
Underwriters Laboratories, 12 Laboratory Drive, P.O. Box 13995,
Research Triangle Park, NC 27709-3995, (919) 549-1400.
(b) Production oversight must be performed by the same laboratory
that performs the approval tests unless, as determined by the
Commandant, the employees of the laboratory performing production
oversight receive training and support equal to that of the laboratory
that performed the approval testing.
Sec. 160.060-11 [Removed]
77. Section 160.060-11 is removed.
Sec. 160.060-12 [Removed]
78. Section 160.060-12 is removed.
Subpart 160.064--Marine Buoyant Devices
Sec. 160.064-5 [Removed]
79. Section 160.064-5 is removed.
Sec. 160.064-5a [Removed]
80. Section 160.064-5a is removed.
Sec. 160.064-5b [Removed]
81. Section 160.064-5b is removed.
82. Section 160.064-7 is revised to read as follows:
Sec. 160.064-7 Recognized Laboratory.
(a) A manufacturer seeking Coast Guard approval of a product under
this subpart shall follow the approval procedures of subpart 159.005 of
this chapter, and shall apply for approval directly to a recognized
independent laboratory. The following laboratories are recognized under
Sec. 159.010-7 of this part, to perform testing and approval functions
under this subpart:
Underwriters Laboratories, 12 Laboratory Drive, P.O. Box 13995,
Research Triangle Park, NC 27709-3995, (919) 549-1400.
(b) Production oversight must be performed by the same laboratory
that performs the approval tests unless, as determined by the
Commandant, the employees of the laboratory performing production
oversight receive training and support equal to that of the laboratory
that performed the approval testing.
Sec. 160.064-8 [Removed]
83. Section 160.064-8 is removed.
Sec. 160.064-9 [Removed]
84. Section 160.064-9 is removed.
Subpart 160.066--Distress Signal for Boats, Red Aerial Pyrotechnic
Flare
85. In Sec. 160.066-11, paragraph (c) is revised to read as
follows:
Sec. 160.066-11 Approval procedures.
* * * * *
(c) The approval tests must be performed by an independent
laboratory accepted by the Commandant under Subpart 159.010 of this
chapter.
Sec. 160.066-18 [Removed]
86. Section 160.066-18 is removed.
Subpart 160.077--Hybrid Inflatable Personal Flotation Devices
87. Section 160.077-9 is revised to read as follows:
Sec. 160.077-9 Recognized Laboratory.
(a) A manufacturer seeking Coast Guard approval of a product under
this subpart shall follow the approval procedures of subpart 159.055 of
this chapter, and shall apply for approval directly to a recognized
independent laboratory. The following laboratories are recognized under
Sec. 159.010-7 of this part, to perform testing and approval functions
under this subpart: Underwriters Laboratories, 12 Laboratory Drive,
P.O. Box 13995, Research Triangle Park, NC 27709-3995, (919) 549-1400.
(b) Production oversight must be performed by the same laboratory
that performs the approval tests unless, as determined by the
Commandant, the employees of the laboratory performing production
oversight receive training and support equal to that of the laboratory
that performed the approval testing.
Dated: March 20, 1996.
J.C. Card,
Rear Admiral, U.S. Coast Guard Chief, Office of Marine Safety, Security
and Environmental Protection.
[FR Doc. 96-7302 Filed 3-27-96; 8:45 am]
BILLING CODE 4910-14-M
Complete official Federal Register PDF
FR Doc. 96-7301 Recreational Inflatable Personal Flotation Device Standards
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13931-13947]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7301]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
46 CFR Part 160
[CGD 94-110]
RIN 2115-AE96
Recreational Inflatable Personal Flotation Device Standards
AGENCY: Coast Guard, DOT.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Coast Guard is adopting a final rule that establishes
structural and performance standards for inflatable personal flotation
devices (PFDs) for recreational boaters, as well as the procedures for
Coast Guard approval of inflatable PFDs. These standards allow for
approval of inflatable PFDs which are more amendable to continuous wear
by recreational boaters than inherently buoyant PFDs, thereby
encouraging use of PFDs by the boating public and saving lives.
DATES: This rule is effective on September 24, 1996.
ADDRESSES: Unless otherwise indicated, documents referred to in this
preamble are available for inspection or copying at the office of the
Executive Secretary, Marine Safety Council (G-LRA/3406), U.S. Coast
Guard Headquarters, 2100 Second Street SW., room 3406, Washington, DC
20593-0001, between 8 a.m. and 3 p.m., Monday through Friday, except
Federal holidays.
FOR FURTHER INFORMATION CONTACT:
Mr. Robert L. Markle, U.S. Coast Guard, Marine Safety and Environmental
Protection Directorate, telephone (202) 267-6446, facsimile (202) 267-
1069, or electronic mail ``mvi-3/G-M[email protected]''. A copy of
this final rule may be obtained by calling the Coast Guard's toll-free
Customer Infoline, 1-800-368-5647. In Washington, DC, call (202) 267-
0780.
SUPPLEMENTARY INFORMATION:
Regulatory History
On November 9, 1993, the Coast Guard published an Advance Notice of
Proposed Rulemaking (ANPRM) entitled ``Inflatable Personal Flotation
Devices'' in the Federal Register (58 FR 59428). On June 23, 1995, the
Coast Guard published an interim rule (IR) entitled ``Inflatable
Personal Flotation Device Standards'' in the Federal Register (60 FR
32836). This IR became effective on July 24, 1995. Due to requests, a
public meeting, announced in the August 2, 1995, Federal Register (60
FR 39268), was held at Coast Guard Headquarters on August 28, 1995. On
October 10, 1995, the Coast guard published a notice in the Federal
Register (60 FR 52631, October 10, 1995) extending the comment period
on the IR from October 23, 1995, to November 6, 1995, to allow
discussion of the rule at the National Boating Safety Advisory Council
(NBSAC) meeting on October 30-31, 1995. Additionally, minor editorial
changes reflecting Coast Guard organizational changes were made to the
regulations established by the IR by a final rule published September
29, 1995, in the Federal Register (60 FR 50455).
[[Page 13932]]
In addition to this rulemaking project, a separate rulemaking
project (CGD 93-055) resulted in the publication of a Notice of
Proposed Rulemaking (NPRM) which proposed complementary rules governing
the carriage, use, registration, and defect notification for inflatable
PFDs for recreational boats (June 23, 1995), Federal Register (60 FR
32861)). Additional procedures for approval of inflatable PFDs, and
other types of PFDs, were included in the NPRM. These provisions were
proposed separately because they affect other types of PFDs besides
inflatables. The Final Rule for this project (CGD 93-055) is being
published elsewhere in today's Federal Register.
This rule, establishing minimum safety standards for inflatable
PFDs, is being made effective 180 days after publication in the Federal
Register pursuant to 46 U.S.C. 4302(b). Although the IR was effective
30 days after its publication, it provided a new category for approval
of PFDs, and did not change any existing approval procedures. Since
this Final Rule changes regulations now in effect, it could affect
persons who relied upon regulations in the IR which are now being
changed. For this reason, the 180 day delay in the effective date under
46 U.S.C. 4302(b) applies. This should not affect the progress of
manufacturers' design and testing, and therefore should not result in
delay in getting approved devices to market. Manufacturers can proceed
with design and testing during this period.
Public Meeting
A number of initial comments to the IR expressed confusion about
the basis and applicability of the ``Life-Saving Index'' (LSI) used in
the IR as an alternative path for approval. The LSI is a probability
based risk assessment tool designed to evaluate a PFD design's overall
lifesaving potential. Based on comments, the Coast Guard held a public
meeting and training seminar to aid interested persons in understanding
and applying the LSI analysis process. The meeting was attended by six
PFD manufacturers, two inflation system manufacturers, an official from
a boat owners association, a member of the public from the National
Boating Safety Advisory Council (NBSAC), and representatives from
Underwriters Laboratories (UL), the only laboratory currently
recognized to perform the approval tests for inflatable PFD devices. A
summary and video tape of the meeting are available as part of the
public docket for inspection and copying where indicated under
ADDRESSES. During the meeting, Coast Guard personnel discussed the
history of this rulemaking, with emphasis on the development of the LSI
and its role and usefulness in evaluating the overall lifesaving
potential of various PFD designs. There was also a discussion of the
PFD information pamphlet which accompanies the sale of inflatable PFDs
and provides important information to the potential consumer before a
PFD is purchased. Specific details of the meeting are discussed below
in the appropriate sections.
Approval History
Under the IR, Coast Guard approval of inflatable PFDs and component
materials has been possible since July 24, 1995. To this date, four
manufacturers have started the approval process for at least 6 models
of inflatable PFDs, but no device has yet received final approval.
Additionally, no inflator or inflation chamber material has been
completely tested to be accepted by the Coast Guard as meeting the
requirements of the UL 1191 consensus standard for component materials
incorporated by reference into the Coast Guard regulations. Although a
number of manufacturers have completed preliminary testing of prototype
designs of PFDs, sample PFDs for final testing have not been
constructed. This is due to a lack of accepted component materials
since a sample PFD undergoing final testing for Coast Guard approval
must be constructed of the same or equivalent materials that will be
used in commercially available manufactured products to ensure that the
final products meet the approval standards.
Regulatory Information
The two main standards adopted by the IR and retained in this
rulemaking are Underwriters Laboratories (UL) standards for inflatable
PFDs and PFD components (UL 1180 and 1191, respectively). These
standards were developed in accordance with the American National
Standards Institute (ANSI) procedure for voluntary industry standards.
In accordance with the ANSI procedures, interested parties were
provided with an opportunity to participate in the development of the
standards. The public was also given an opportunity to comment on the
adoption of approval standards for inflatable PFDs in the ANPRM
published on November 9, 1993 (58 FR 59428), and the IR published on
June 23, 1995 (60 FR 32836). The ANPRM advised of the intention to use
an industry consensus standard and encouraged interested, knowledgeable
persons to participate in the ANSI standards making process. On
February 24, 1994, notice was published in the Federal Register (59 FR
9015) of the Coast Guard's participation in the first consensus
standards meeting with UL. This notice again invited interested
technical experts knowledgeable in the field to participate in the
meeting and process. Comments received in response to the ANPRM and IR
were generally in favor of development of structural and performance
standards for inflatable personal flotation devices and procedures for
Coast Guard approval of inflatable PFDs. The UL standard (UL 1180) is
complete, with the exception of several reserved sections.
Background and Purpose
The regulations in this final rule are intended to allow approval
of PFDs which may be more appealing to recreational boaters than
currently approved PFDs, thereby increasing the percentage of PFDs
actually used by the boating public and saving lives. However, the
Coast Guard notes that the currently approved inherently buoyant PFDs
have an excellent lifesaving record. The Coast Guard boating statistics
show that while boating activity was increased several fold, the number
of fatalities has dropped from about 1,800 to 800 per year over the
past 25 years, and this decrease is in part due to use of these
inherently buoyant PFDs. The Coast Guard also notes that inherently
buoyant PFDs are more appropriate for non-swimmers than inflatable
PFDs. Non-swimmers may panic when they enter the water, and may
therefore not be able to manually or orally inflate an inflatable PFD.
Moreover, there are a number of boating applications for which
inflatable PFDs are not suitable, as listed in the PFD information
pamphlet. Therefore, inherently buoyant PFDs will continue to play a
vital role in boating safety programs for the public.
Advisory Committee and Other Consultations
In developing these regulations the Coast Guard consulted with the
National Boating Safety Advisory Council (NBSAC) and the National
Association of State Boating Law Administrators (NASBLA). In May 1994,
NBSAC passed a resolution recommending approval for Type I, II, III,
IV, and V inflatable PFDs. PFDs differ in Type based on the environment
in which they are designed to perform and their intended use. The
various Types of PFDs are described in more detail in the IR. In 1988,
1993 and 1994, NASBLA also passed resolutions urging that approvals for
inflatable PFDs be
[[Page 13933]]
granted as soon as possible. Additionally, the National Transportation
Safety Board has recommended that the Coast Guard approve inflatable
PFDs.
NBSAC formed a subcommittee to study the implementation of the
various types of approvals that might be granted by the Coast Guard and
developed an ``inflatable PFD objectives statement'' and ``performance
goals''. Copies of these documents are included in the docket file for
this rulemaking. The documents identified a number of goals that NBSAC
determined to be appropriate in the effort to set standards for the
manufacture and approval of inflatable PFDs. In November 1994, the full
council passed a resolution supporting the objectives statement and
goals.
After publication of the IR, NBSAC and NASBLA again considered the
issue of inflatable PFD approval and passed resolutions recommending
approval of inflatable PFDs. Both resolutions, though, objected to the
modifications to the UL 1180 standard that the Coast Guard included in
the IR. The details of the most recent deliberations and the
resolutions are discussed with the appropriate comments below and the
resolutions are included in the docket file for this rulemaking.
Inflatable PFD Studies
As discussed in the IR, the Coast Guard has sponsored two studies
on the suitability of inflatable PFDs in the recreational boating
environment: a 1981 Inflatable PFD Field Test, Report No. CG-M-84-1 and
a 1993 study conducted by the BOAT/U.S. Foundation for Boating Safety.
Each study involved the use of about 500 inflatable PFDs in a
recreational boating environment. Copies of these studies are included
in the docket file for this rulemaking. Initial review of these studies
indicated that inflatable PFDs could not be approved without extensive
servicing requirements or conditions on approval. However, as discussed
below, developments in inflatable PFDs have allowed the Coast Guard to
establish the approval standards for inflatable PFDs adopted in this
final rule.
New Developments in Inflatable PFDs and UL Standards
New developments in the manufacture of inflatable PFDs, along with
work done by UL in this area since the testing was conducted in the
above studies, have improved the chances that inflatable PFDs will work
when used and maintained by the average boater. The problems revealed
by the two studies discussed above have been addressed in the UL
standard. Consequently, PFDs meeting the requirements of the new UL
standard, along with certain additional requirements included in this
final rule, should not have the problems that prevented the Coast Guard
from approving recreational inflatable PFDs in the past.
The Coast Guard is issuing a final rule for approval of inflatable
PFDs at this time based on the need for more wearable PFDs, boater
demand for alternatives and the development of more ``user
serviceable'' inflatable PFDs. With these user serviceable PFDs there
is a good chance that the user of the PFD will (1) recognize when the
PFD needs servicing and (2) be able to perform the servicing correctly.
These improved PFDs are equipped with inflation mechanisms (inflators)
that are more user-friendly than previous models. User-friendly
features are often referred to as mechanisms that are designed with
``good human factors''. Good human factors relate to the ease with
which boaters can determine when their inflatable PFD needs rearming
and the ease with which they can correctly rearm the PFD. Good human
factors design will decrease the incidence of unarmed inflatable PFDs
that were evident in the studies discussed above.
The UL standard defines two different performance levels for
inflators. For an inflator to meet the requirements of the UL standard,
a high percentage of test subjects must be able to correctly identify
whether an inflator is properly armed and to be able to rearm the
device with no training other than use of the owner's manual provided
by the manufacturer and toll-free calls to a manufacturer's help line,
if one is available. The performance level assigned is based on the
percentage of passing test results. At this time, an inflator capable
of being accepted at the highest level is not available at a reasonable
cost, but at least one such inflator is under development. The
characteristics of the higher performing inflators (use code 1F) are
described in item 1 of the discussion of specific comments below. If
properly maintained, inflatable PFDs with the lower level performing
inflation mechanisms provide high reliability, though the probability
of proper maintenance (maintainability) remains a key component of
ensuring their effectiveness. The information pamphlet and owner's
manual required to accompany the sale of inflatable PFDs will emphasize
the need for proper maintenance of these devices. Additionally, the
inflatable PFD label will include warnings to check that the unit is
fully armed before donning and to perform a service test at least once
each year.
Discussion of Comments and Changes
Seventy comments were received from fifty-seven individuals and
organizations in response to the interim final rule (IR) published June
23, 1995. Thirty-eight of those commenting were boaters, nine were PFD
and component manufacturers or PFD consultants, and seven were from
organizations or associations representing manufacturers, boaters,
cities or state boating law enforcement. The remaining three groups
commenting were laboratories or dealers. A number of manufacturers and
organizations commented more than once. The Coast Guard has reviewed
all of the comments and revised the rule as appropriate. The comments
have been grouped by general and specific issues, and are discussed
below.
General Comments
None of the comments opposed Coast Guard approval of inflatable
PFDs; 49 comments urged the Coast Guard to approve inflatable PFDs as
soon as possible.
Boaters submitted the largest number of comments. Nearly all of
their comments supported Coast Guard approval of inflatable PFDs as
soon as possible, and many of them indicated that boaters would be
inclined to wear an inflatable PFD more frequently than a currently
approved PFD. Many of these comments either explicitly or implicitly
cited the published views of a boating organization, which opposed many
of the IR provisions. Two comments also specifically favored the use of
inflatables for Coast Guard Auxiliary patrols because of their
increased wearability. Additionally, one comment pointed out the
potential increased safety benefit of greater flotation of inflatable
PFDs when compared to presently approved inherently buoyant PFDs.
Wear Rates and Wearability: Ten comments noted that they favored
the use of inflatable PFDs because of their comfort (i.e., easy to
wear, not as hot, less bulky, and greater maneuverability when
performing operations aboard a boat). Six commenters indicated that
they currently owned yoke style inflatable PFDs that they were pleased
with. Eight commenters, including all but one of the above owners,
indicated they currently wear a PFD continuously. Eight more comments
indicated that the writer would wear an inflatable if approved and
available. In addition,
[[Page 13934]]
several comments from boaters indicated that they were not opposed to a
requirement that inflatables be worn to be considered as approved
devices. Approval of a PFD signifies that the PFD can be counted
towards the ``carriage requirements'' (33 CFR 175, Subpart B) which
requires boats to have on board specified quantities and Types of
approved PFDs. This totals 21 comments whose writers either presently
wear or would wear inflatable PFDs if they were approved. Three
comments from boaters indicated that they opposed any condition that
required PFDs to be worn to meet the carriage requirements.
Four comments indicated the belief that inflatable PFDs would save
lives because people would be more apt to wear them. This view was
bolstered by two comments which noted that 80 percent of drownings
occur as a result of people not wearing PFDs, as opposed to wearing the
wrong kind of PFD, and that these accidents were usually sudden events
that precluded the donning of a PFD after recognizing the event was
about to happen. Five other comments indicated that if an impact on
boating accident drownings is expected, there needs to be an incentive
to increase wear rate of PFDs, such as requiring that PFDs be worn to
count as meeting the carriage requirements, particularly on small
boats. The Coast Guard recognizes that increased wear of PFDs is
essential to increase the number of lives saved.
Maintainability: Two comments noted that inflatable PFDs have been
in military use since the beginning of World War II. One of these
comments noted using Navy-issue inflatables in World War II and
questioned why the Coast Guard would delay the approval of inflatables
for the boating community, when a perfectly satisfactory inflatable PFD
was available 50 years ago. The Coast Guard notes that inflatables used
by the military both in the past and currently are not maintained by
the individual user, but rather by trained professionals. As discussed
in the ANPRM and IR, ensuring that inflatable PFDs are maintainable by
the user has been one of the key concerns for introduction of
inflatables to recreational boating. As previously mentioned, lack of
proper maintenance adversely affects reliability due to the probability
that some PFDs will not be rearmed or will be rearmed improperly. Due
to the importance of this aspect of inflatable PFD use, the Coast Guard
emphasizes that users should check their inflation mechanisms
frequently.
Non-swimmers and Children: Six comments from boaters expressing
support for approval of inflatable PFDs indicated that their support
was based on concerns about the safety of family members who were
either children or poor swimmers. These comments suggested that
children and poor swimmers would be more likely to wear an inflatable
PFD than other types of currently approved PFDs due to an inflatable
PFD's increased comfort and more desirable appearance. These comments
concern the Coast Guard because they suggest that the desire for a more
comfortable device may lure people to use inflatable PFDs
inappropriately. The Coast Guard notes that the consensus committee
preparing the UL 1180 Standard, incorporated into this rule,
specifically pointed out that PFDs approved under the standard are not
suitable for non-swimmers or children. Additionally, this issue was
specifically raised in the ANPRM and IR of this rulemaking. The Coast
Guard emphasizes that under this rule, inflatable PFDs cannot be
approved for children and that non-swimmers should be strongly
discouraged from choosing this type of lifesaving device.
Approval of inflatable PFDs for children is not now considered
appropriate by the Coast Guard and UL consensus standard committee due
to concerns about a child's ability to take the necessary steps to
initiate inflation in an emergency or perform backup inflation in case
the primary system fails. The Coast Guard notes that the issue of
inflatable devices for children may be revisited after more experience
is gained with approval of inflatable PFDs for adults.
As for the use of inflatable PFDs by non-swimmers, as noted in the
IR, the Coast Guard acknowledges that there is no practical way that
law enforcement officials can conduct a field assessment of swimming
abilities, and thus there are no regulations restricting the use of
inflatable PFDs by non-swimmers. However, because of the unique risks
associated with these devices, the labeling and information pamphlet
for these PFDs are required to explicitly state that the devices are
not recommended for use by non-swimmers.
Terminology: One comment suggested that the barrier between
wearable inflatables and many potential consumers is that the use of
the word ``approved'' by the Coast Guard to denote devices which have
met the stated requirements, and that the term ``approved'' is not the
most accurate or effective term. The comment suggested substituting
``recognized as a required device'' or ``meets Coast Guard minimum
carriage requirements'' for the term ``approved''. The Coast Guard has
not adopted this suggestion. As previously discussed in the IR, the
Coast Guard acknowledges that the term ``approved'' may cause some
confusion and misperceptions to the public. However, both the terms
suggested by the comment may cause even more confusion. The term
``approved'' is well recognized by the public and has been used by the
Coast Guard for over 50 years to denote that a lifesaving device meets
Coast Guard minimum safety standards. The term ``recognized as a
required device'' may confuse the boating public as to the implications
of a device being ``recognized'' versus ``approved''. As for the phrase
``meets the Coast Guard minimum carriage requirements'', in addition to
possible confusion over the implications of a new term, the phrase is
not being adopted because it may cause boaters to mistakenly believe
that the carriage requirements are met by merely having that one
device. In almost all cases, this is not true and to meet the carriage
requirements, boaters may have to have several devices aboard their
vessel.
Inflatable PFD Costs/Affordability: Thirteen comments from eleven
boaters, one dealer, and a boat club addressed the issue of ensuring
the approval of reasonably-priced inflatable PFDs. Comments on this
issue were solicited in the initial ANPRM and were discussed in the IR.
One comment acknowledged that Coast Guard approval of inflatable PFDs
may bring costs down by increasing sales and competition. On the other
hand, several of these comments indicated the belief that the Coast
Guard's modifications to the UL 1180 standard would substantially
increase the cost of approved inflatable PFDs without saving
significantly more lives. Five of these comments specifically indicated
the view that increased testing costs due to Coast Guard additions to
the UL standard would keep manufacturers from seeking approval while
another comment was concerned that Coast Guard approval would merely
lead to the availability of limited products at high prices. Four
comments thought that boaters would be less able to afford the PFDs
made under the Coast Guard modifications than inflatable PFDs that only
met the UL standard. Several others were simply concerned that the cost
of inflatables would deter many boaters from buying an inflatable PFD.
Two commenters specifically noted that they have been wearing the yoke
style PFD with harness and found that
[[Page 13935]]
although many boaters inquired about the devices, the high cost seemed
to be a deterrent to most boaters. One of these comments noted also
that the rearming kits are fairly expensive.
Four comments urged the Coast Guard to make the regulations for
inflatables stringent for safety purposes, but not to the point so as
to drive the prices ``out of sight''. One of these comments expressed
concern that the manufacturers would pass on the expense of additional
approval requirements to the consumer, making the resultant PFDs
unaffordable. The comment stated that safety of the boating public
should be a high priority for the government and that the Coast Guard's
requirements should result in an easy-to-wear, affordable, and
comfortable inflatable lifejacket that meets the carriage requirements.
A number of PFD and component material manufacturers' comments also
addressed cost. These comments objected to the IR's required use of use
code 1F inflators, in place of the LSI evaluation. The objections
centered on the fact that currently, the only use code 1F inflator
which could be accepted would be disposable, and therefore
prohibitively expensive to maintain. At the time the IR was published,
the Coast Guard believed that use code 1F inflators would be available
at a reasonable cost. Unfortunately, since that time, no affordable use
code 1F inflator has been produced. However, while the IR did encourage
use of 1F inflators, it did not require them for approval.
Additionally, several manufacturers objected to some of the costs
of testing associated with the requirements added by the Coast Guard to
the UL requirements. These objections are discussed further with the
specific comments below.
The Coast Guard notes that the lowest priced PFDs permitted by the
UL standard are eligible for approval under the IR and this final rule.
Less expensive PFDs that differ from UL 1180 may also be approved under
the equivalency provisions contained in the IR and which are being
retained in the final rule. The additional testing costs imposed by the
Coast Guard modifications to the UL standard requirements under the IR
are minimal and will decrease under this final rule. In addition, the
lifesaving benefits of the additional provisions retained in this final
rule outweigh the associated costs as discussed under ``Regulatory
Evaluation.''
Comments on specific requirements are discussed below under
``Specific Comments and Major Areas of Revision''.
IR Consistency with UL Standards: Nine comments from manufacturers,
manufacturing organizations, and boating organizations and various
comments from boaters requested that the Coast Guard amend the
requirements for approval of inflatable PFDs contained in the IR so as
to make them more consistent or, in the case of a few comments,
identical with the requirements of UL 1180 and UL 1191 standards.
A number of comments objected to the perceived delay in making
Coast Guard-approved inflatable PFDs available to recreational boaters.
These comments expressed the opinion that these delays were caused by
the Coast Guard requirements contained in the two UL standards adopted,
UL 1180 and 1191. The general consensus of these comments was that the
increased safety benefits of having approved inflatables available and
worn by boaters would outweigh any potential increase in safety
benefits resulting from the manufacture of inflatable PFDs that met the
IR's additional requirements. One comment suggested that the IR places
too much emphasis on ensuring that the vests are 100 percent perfect,
and other comments cited overregulation as the major obstacle to having
the vests approved.
The Coast Guard notes that though a number of manufacturers have
completed preliminary testing of designs, no inflatable PFD has yet
been submitted for final testing and approval. This delay has been
caused by the lack of accepted component materials (inflators of any
use code and inflation chamber material) which are needed to produce
any device submitted to the Coast Guard for final approval. The interim
rule did not impose any additional requirements to the UL 1191
consensus standard, which sets the acceptance standards for component
materials.
Several comments indicated that changes to the UL standard embodied
in the IR were not consistent with the promises the Coast Guard made to
the industry. The Coast Guard notes the statements in the ANPRM and
meeting notice for the first consensus committee meeting which clearly
define the Coast Guard's intentions and commitments in entering into
the rulemaking process with the aim of using an industry consensus
standard. These documents show that the Coast Guard anticipated the
possible need for additions or modifications to the consensus standard
to meet the minimum level of safety deemed necessary and clearly stated
that such modification or additions would be incorporated into the
final approval standards if necessary.
Two of the comments discussed above requested that the final rule
base Coast Guard approval on the requirements of UL 1180 with
additional requirements limited to product marking and point-of-sale
consumer information. UL commented that they expected the rule to
contain a limited number of requirements supplemental to the UL 1180
and UL 1191 such as a USCG information pamphlet and PFD production
quality control related requirements. UL also recommended that the
Coast Guard make additional modifications and additions to the first
edition of the 1180 standard, such as making trade-offs between
requirements for donning and secureness of fit, revising the added
visibility looking to the side test, and adding warning markings. The
individual changes suggested are discussed below.
Two comments included resolutions requesting that the Coast Guard
rescind those portions of the interim rule that impose additional
requirements for Coast Guard approval beyond those imposed by UL 1180.
As noted above, one of these resolutions was passed by the National
Association of State Boating Law Administrators (NASBLA) which noted
that its membership is deeply concerned that additional requirements
beyond the UL 1180 standard may jeopardize the development and approval
of fully inflatable PFDs. NASBLA recommended that the Coast Guard amend
the IR to reflect only those standards currently in the incorporated UL
standards.
The second resolution was submitted by the PFD Manufacturers
Association (PFDMA), which represents manufacturers of PFDs and
component materials. PFDMA and supporters commented that the Coast
Guard should rescind almost all portions of the IR which impose
additional requirements to the UL standards. However, the comments did
note that the Coast Guard approval regulations do need to address
labeling and information pamphlet requirements, areas which UL 1180
either does not address or does not do so adequately. The Coast Guard
notes that two sections of the UL standard are ``Reserved'', those
dealing with production quality control requirements and with the
information pamphlet. As a result, the Coast Guard's requirements in
these areas are the only requirements for those items.
NBSAC, an advisory committee charged with advising the Coast Guard
on boating safety issues, approved a resolution, by a vote of 10 to 8,
that
[[Page 13936]]
recommended that the Coast Guard requirements for approval of
inflatable PFDs congruent with the consensus standard embodied in UL
1180 without exception or additional requirements. However, in a
written survey of the NBSAC members, immediately following the meeting
which adopted the resolution, many of the members indicated support for
the Coast Guard's modifications to the UL standards. The Coast Guard
therefore intends to raise some of these issues in the consensus
committee when UL reopens UL 1180 and UL 1191 for revision.
Several comments from individuals favored the Coast Guard's
modifications to the UL standards. One comment opposed the idea of
merely adopting the UL standard by stating that it is not desirable to
set a rigid pass/fail criteria for approval of any device in the form
of an adopted consensus standard that fixes for a long period
requirements based on currently available technology and designs. The
comment continued by explaining that the Coast Guard's approval process
should encourage and reward improvements in reliability and
effectiveness above the level of what is feasible today at a reasonable
cost. According to the comment, this approach would lead manufacturers
into entering a desirable, continuing race to produce more comfortable
and affordable PFDs, and that an industry consensus standard alone
cannot provide such an incentive. Additionally, one comment from a PFD
design consultant expressed the view that by having a clearly defined
alternative to strict compliance with UL 1180, innovative and consumer
responsive products would be more likely to make it to market. The
Coast Guard notes that both the IR and this final rule allow for the
possibility of approval of alternative designs that do not conform to
the promulgated standards. As a result, manufacturers have had, and
continue to have, the option of receiving approval for innovative
inflatable PFD designs. The Coast Guard recognizes that trade-offs must
be made between absolute safety and making inflatable PFDs both
affordable and available to recreational boaters who would not
typically wear currently approved devices and who are prepared to
accept the increased care and servicing requirements needed to maintain
reliability.
UL Standard Conflicts and Shortcomings: Comments from UL and
manufacturers indicated that there were areas in the UL standard that
need revisions or improvement as discussed below. Most of these changes
are in areas addressed by the IR but some deal with conflicting
requirements or requirements that are believed by some manufactures to
be set unintentionally too high within the UL standard.
One comment stated that even without the most objectionable
provisions of the IR, that is the LSI and ``Approved Only When Worn''
provisions, the standard as recommended by the consensus standard
committee was problematic in many areas. The comment expressed the view
that the UL standards were difficult and unrealistic in many areas, but
might be ``fixable''. The commenter also expressed the belief that as
large and complex as the UL documents were, they would likely have
contradictions or deficiencies requiring correction consistent with the
specification's stated goals. The commenter expected that, for example,
the sections of the UL standard that conflicted with the use of
disposable inflation mechanisms would be modified, and that the goal of
having disposable inflators as an option would not be abandoned.
Missing Standards for Wearability and Approval Type: The Coast
Guard notes that the UL standard calls for the USCG to set approval
type for inflatable PFDs based on a PFD's performance, serviceability,
and status indicators, but does not establish how these characteristics
are to be used. As discussed at the first consensus standards meeting
in March 1994, the Coast Guard indicated that its approval type would
be determined after the characteristics of the PFDs were identified by
the standards. As stated in the ANPRM ``[t]he consensus standard may
not address all the issues and characteristics essential to the Coast
Guard,'' and alternatives ``remaining unresolved will presented * * *
for comment.''
As initially drafted, the UL standard had a test for the projected
wear rate that a PFD design would provide. This provision, which was
referred to as ``wearability'', was deleted from the standard at the
final standards committee meeting. The consensus committee was informed
by the Coast Guard that the lack of a wearability standard would have
to be justified or otherwise addressed. The committee failed to do so.
Therefore, in the IR the Coast Guard provided conditional approval,
requiring a device to be worn to meet carriage requirements, in
addition to the UL standard as one way to address the lack of a
wearability standard. One comment indicated that unconditional approval
based on what is available today is undesirable and others supported
the IR's conditional approval as discussed above. The lack of a
wearability standard within the consensus standard will require the
Coast Guard to closely monitor accident statistics and revise the rules
if necessary. Conditional approval is discussed further below.
Based on the above comments and on internal discussions within the
Coast Guard detailed below, the Coast Guard is minimizing the additions
and modifications to UL 1180 required for Coast Guard approval but
retaining those which in the Coast Guard's judgment are essential to
safety. The Coast Guard is retaining the two provisions of the IR for
which the UL standard had reserved sections. These two areas, the PFD
information pamphlet and production quality control, as mentioned
above, were discussed by several commenters.
Nearly all the provisions being deleted from the IR may, in the
future, further the lifesaving goals adopted by NBSAC and the Coast
Guard as discussed in the IR. Therefore, those provisions will be
proposed by the Coast Guard for inclusion in UL 11180. This will allow
the Coast Guard to pursue the incorporation of these changes in concert
with the industry and other interested parties, as many comments
indicated the desire to proceed.
The Coast Guard notes that the PFDMA had expressed an interest in
working with the Coast Guard, Underwriters Laboratories (UL), and
others to revise the interim rule based on comments and resolutions
which have been forwarded. As mentioned above, the Coast Guard does
intend to continue to work with the consensus standards committee with
the goal of incorporating as many of the provisions being deleted from
the IR by this rulemaking as possible into UL 1180.
The comments on specific provisions of the regulation and the
revisions made by this rulemaking are discussed below.
Timeline for approval: Two comments discussed the validity of the
stated goal of the Coast Guard in the IR to have significant numbers of
approved inflatable PFDs available to the public for the 1996 boating
season. One comment noted that for approved inflatables to be available
for the 1996 boating season, achievable and well defined requirements
needed to be in place well in advance of the October 23, 1995, comment
deadline for the IR. Another comment stated that it is highly unlikely
that manufacturers will be able to make significant number of
inflatable PFDs available to the public in 1996. The comment explained
that because of the many unanticipated problems associated with meeting
the requirements of the IR, manufacturers
[[Page 13937]]
would have to return to the design phase to re-engineer their products
before submitting them for approval. According to the comment, when
this process is completed, 1996 will probably be over. The comment
projected that unless requirements are substantially changed, the
regulation established by the IR would not result in inflatable PFDs
becoming more than 3 percent of the total PFDs sold by the year 2007.
The comment also stated that the Coast Guard and NBSAC goal of saving
210 lives by increasing the wear rate to 66 percent is desirable but
not a rational projection resulting from the IR.
The Coast Guard shares the concerns regarding making approved
inflatable PFDs available as soon as possible, however, it must balance
that concern with the need to ensure that Coast Guard standards for
approved inflatable PFDs will achieve a reasonable balance between
safety and cost. The Coast Guard notes that nothing currently prevents
the sale of non-approved inflatable PFDs to the public.
Specific Comments and Major Areas of Revision
The major areas of comment and revision to the IR standard are
separated into categories and discussed below. For those areas in which
the Coast Guard is deleting requirements from the IR, the Coast Guard
intends to suggest that most of the deleted requirements be considered
for inclusion in a revised version of the UL 1180 standard.
Additionally, the Coast Guard intends to suggest the requirements from
the IR which are being retained be considered for inclusion in a
revised version of the UL 1180 standard. If the UL 1180 standard is
revised to include the changes, the rules will be revised to delete
these provisions from the subpart and update the incorporation by
reference to cite the revised standard.
1. Lifesaving Index (LSI) and Use Code 1F Inflator [Sections 160.076-5,
-7, -9, -13(c)(10), -21(e), -23(a)(1), -27, and -37(b)(4 & 5)]
As the IR's approval requirements concerning use code 1F inflators
and the LSI are interdependent, they are being discussed as one
category.
IR Requirement: Under the requirements for inflatable PFDs in the
IR, the Coast Guard requires that, except for inflatable PFDs equipped
with inflators with 1F use codes, an LSI analysis be performed to
evaluate the overall lifesaving potential of an inflatable PFD
submitted for approval. A use code 1F inflator, which has a cylinder
seal indicator, provides a visible indication to the user of the
cylinder status. The same readily visible indication of inflation
cylinder status is not available with use code 2F and 3F inflators. The
LSI analysis, therefore, was provided as an alternative to allow other
reliability and wearability factors to compensate for the lack of
visible cylinder status indication. Under the IR, the Approval Type (I,
II, III, or V) given to any particular PFD design, except for those
with 1F inflators, would depend on the results of the LSI analysis. If,
as a result of the LSI analysis, it was determined that a conditional
approval would be appropriate for a particular PFD, the most likely
condition for approval would be the requirement that a PFD would be
required to be worn to count toward the PFD carriage requirement.
Comments on Use Code 1F Inflator Requirement: Thirteen commenters
specifically discussed the requirements related to inflation system
indicators with a 1F use code. Of these, four comments favored the IR's
requirements regarding the use of a 1F inflator. One cylinder
manufacturer described the IR as a great step towards saving lives and
commended the Coast Guard and UL for properly addressing the gas
cylinder issue by including indicators within the inflator mechanism.
Another comment favoring use code 1F inflator requirements did so by
reasoning that the Coast Guard's approval process should encourage and
reward improvements in reliability and effectiveness beyond what is
feasible today at reasonable cost and therefore should have a built in
mechanism, such as the requirement for the LSI analysis and 1F
inflators to encourage technological advances. Three comments,
including one of the above, expressed hope that the Coast Guard's
regulations would require approved PFDs to have an easy way to check
the CO2 cartridge to ensure it was charged, such as fire
extinguisher gauges or push-and-release pop-out pins. Use code 1F
inflators include indicators that satisfy this need.
The remaining nine commenters that discussed inflators disagreed
with the IR's emphasis on cylinder indication to increase operational
reliability of inflatable PFDs. Seven comments suggested that the Coast
Guard withdraw the requirement to either have a use code 1F inflator or
utilize the LSI analysis, for all but Type I inflatable PFDs. Four of
these comments indicated that there is lack of current technology to
provide full cylinder indication at a reasonable cost. These comments
reasoned either that use code 1F inflators remain beyond state-of-the-
art and therefore their use should not be required or that the use code
1F requirement may possibly delay the production of Coast Guard
approved inflatable PFDs. One comment added that the highest level of
cylinder indicator was not necessary because the requirements for
redundant inflation systems and for swimming ability, adequately
compensates for the remote possibility of primary inflation system
failure. The Coast Guard notes that a ``recommendation'' against use by
non-swimmers is not equivalent to a ``requirement'' and that, as
discussed above, any swimming requirement would be unenforceable.
One comment cautioned the Coast guard with regard to drawing
conclusions from the informal study at NASBLA's annual meeting
discussed in the IR, where only 2 out of 18 participants were able to
correctly identify the serviceability of 4 older style inflation
mechanisms. The comment remainded the Coast Guard that the newer styles
of inflators are designed so that it is easier to determine when an
inflator has already been fired. The comment also cautioned the Coast
Guard not to presume that all systems were represented in the field
study, and that no mechanism is completely foolproof, including one
with a cylinder seal indicator.
The Coast Guard remains concerned with the inflation systems used
on inflatable PFDs. The design of the inflation mechanism is important
because proper maintenance plays a crucial role in ensuring the
reliability of an inflatable PFD. If the status of the inflator
mechanism is easy to check, then it is more likely that a boater will
check the status often and correctly. A recent Coast Guard study of the
causes of marine casualties indicated that 80% or more of all marine
casualties are caused by human error and that these were often induced
by inadequate attention to human factors in the design and performance
standards for equipment. The Coast Guard's findings on this subject are
reported in the ``Prevention Through People'' quality action team
report, the Notice of Availability of which was published in the
February 16, 1996, Federal Register (61 FR 6283).
Comments on PFD Life-Saving Index Evaluation: Twelve commenters
specifically noted reservations about the ``Life-Saving Index'' (LSI),
while three comments expressed unqualified support of this alternative
approval path, generally because of the flexibility and encouragement
of improvements thought to be fostered by the LSI requirement.
Additionally, the October 30, 1995, NBSAC resolution discussed
[[Page 13938]]
above favored continued development of the LSI for possible future use.
The three comments which supported the LSI concept thought that the
LSI might be the most potentially beneficial portion of the IR, with
one stating that it would ``allow approval of unique and novel designs
that offer lifesaving potential equal to or greater than that of
approved devices * * * these designs may prove to be very comfortable,
affordable and popular with the boating public.'' The comment continued
that promoting innovation in design actually allows the end user to
have a voice in what can be used to meet Coast Guard requirements.
Another comment which supported the LSI expressed pleasure with the
results of the NBSAC member survey for retaining the LSI, in which 9
out of 14 respondents indicated that they favored retaining the LSI as
a clearly defined alternative to strict compliance to UL 1180. The
comment continued that through the LSI, innovative and consumer
responsive products will be able to make it to market, and that without
the LSI, inflatable PFDs will be static in design. Also the comment
indicated that if the LSI were eliminated, the Coast Guard would be
limiting the ability of manufacturers of innovative PFDs to fairly
compete with current products. As mentioned above, the Coast Guard
notes that both the IR and this final rule allow for the possibility of
approval of alternative designs that do not conform to the promulgated
standards. As a result, manufacturers have had, and continue to have,
the option of receiving approval for innovative inflatable PFD designs.
One comment which supported the overall concept of the LSI objected
to the LSI scheme if inflatable PFDs of low reliability or
effectiveness receive the same Coast Guard approval status as other
PFDs. If this were to occur, the comment continued, the boating public
should be notified of the reduced reliability of the device at the
point of sale.
On the other hand, most comments received by the Coast Guard
expressed reservations about the LSI analysis as presented in the IR.
Six of these comments expressing concerns noted that LSI concepts have
merit in a broad application, but indicated apprehension about its
application to individual items.
Five comments specifically requested that the Coast Guard delete
the LSI from the IR. One of these comments also stated that, as opposed
to the LSI, what the industry needs is a realistic standard of
performance, keyed to individual product types. Another comment stated
that the LSI and conditional approval provisions added by the IR to the
UL standard will hamper the Coast Guard's desire for a flow of
innovative, new products.
Two comments and a number of participants in the public meeting
stated that mandating the use of the LSI as an alternative to having
the use code 1F inflation mechanism, is unacceptable. These comments
criticized the LSI saying the validity of the LSI elements chosen and
weights which have been applied, do not appear statistically valid,
uniformly applied, or adequately defined. Another comment noted that
adequate development of the LSI process would likely require an ad hoc
committee effort.
A concern expressed at the public meeting on the LSI and in several
comments, related to the IR's provisions for an annual review of the
LSI. This concern focused on the fear that an annual review could
potentially subject manufacturers to revocation of approval and the
resulting possible liability. In addition, several other comments and
meeting participants cautioned that the LSI factors will become moving
targets that will unnecessarily invite litigation against manufacturers
as factors and weights are changed.
Two comments noted that approval classification, i.e., the USCG
Type designation for a PFD, should coincide directly with UL 1180
``performance type'' without requiring an LSI evaluation for approval
of any specific PFD model. These comments reasoned that because the
performance required by UL 1180 is significantly higher than required
for any other recreational use PFD, there is no need to ensure the
lifesaving potential of a device through the LSI. The Coast Guard notes
that while the UL standard requires in-water performance and other
increases, it also permits a decrease in reliability compared to
inherently buoyant PFDs. The Coast Guard believes that the increase in
wearability expected by many commenters will be needed in addition to
the UL performance increases for the lifesaving potential of most
inflatable PFDs to equal that of inherently buoyant PFDs.
Final rule requirements: The requirement that a device either have
a use code 1F inflator or be subjected to the LSI evaluation for
approval was based on two studies, one conducted by BOAT/U.S. from 1990
to 1993 and one conducted by the Coast Guard with the USCG Auxiliary
from 1979 to 1981. Both of these studies concluded that inflatable PFDs
without visible indicators of the state of inflation cylinder charge
would not be properly maintained by a substantial percentage of typical
users. The maintenance deficiencies reported in the studies were of
such a nature that the devices would not operate as intended. The Coast
Guard was concerned that if a substantial percentage of lower-
performing inflatables were not properly maintained, as the studies
suggest, the widespread use of these types of devices could actually
lead to an increase in drowning fatalities. In addition, the Coast
Guard was concerned that as the lower-performing devices would be the
least expensive, and therefore most accessible to boaters, the risk of
improper maintenance would be compounded. The use of the LSI as an
approval evaluation tool was intended to ensure that the inherent
lesser reliability of inflatable PFDs, coupled with the lower in-water
effectiveness and the additional reduction in reliability for lower-
performing devices due to human error as observed in the studies, would
be offset by other features or approval conditions on the PFD.
Most of the comments received on the IR, as discussed above,
opposed the use of the LSI as an approval evaluation tool. The comments
cited the untested, and potentially subjective, nature of the LSI. As
discussed above, these comments strongly urged the adoption of the UL
1180 consensus standard for approval of inflatable PFDs without any
additions or modifications except to address those areas in which UL
1180 is incomplete or inadequate. This view was supported by
resolutions of NBSAC, NASBLA, and PFDMA.
After careful review of all of the comments, the Coast Guard has
reconsidered its previous interpretation of the study results the NBSAC
recommendation, and of the improvements to PFD inflation hardware which
occurred as a result of the development of UL 1180 and 1191. Upon
reconsideration, the Coast Guard noted that the correlation of the
study results to actual use patterns in the market may not be entirely
conclusive. In particular, the different methodologies of the Coast
Guard Auxiliary and BOAT/U.S. Foundation studies yielded somewhat
different results, calling into question the relative validity of those
methodologies in assessing the behaviors of the overall boating
population. The Coast Guard notes that many comments received from
boaters, as discussed below under ``Approval Type'', suggest that wear
rates for approved inflatables would be higher than was observed in the
studies. Additionally, the inflators on the PFDs used in the studies
did not incorporate
[[Page 13939]]
the performance improvements mentioned above. Furthermore, the comments
from PFD manufacturers indicated that the IR requirement for conducting
an LSI analysis for devices with 2F and 3F inflators, which was based
upon the Coast Guard's initial interpretation of the studies, would
severely hamper the efforts of PFD manufacturers to bring inflatable
PFDs to market thereby delaying the safety gains considered possible as
a result of introducing approved inflatable PFDs.
In the absence of conclusive evidence that the use of the LSI to
evaluate inflatable PFDs with use code 2F and 3F inflators is necessary
to avoid undesirable outcomes as the result of approval of inflatable
PFDs for recreational use, the Coast Guard has removed the LSI from
this final rule as a required evaluation tool for approval of all PFDs
not having a use code 1F inflator. As suggested in many comments, this
final rule provides for approval of inflatable PFDs with use code 1F,
2F, or 3F inflators in accordance with the requirements of the UL 1180
consensus standard, supplemented only as needed to address the portions
of UL 1180 which are acknowledged as being incomplete or having
significant safety implications. The Coast Guard believes that the
potential benefit of increased PFD wear as the result of approval of
inflatable PFDs for recreational boaters, in conjunction with the
inflatable PFD performance improvements established in UL 1180,
outweigh the potential risk of PFD failures due to human error.
Nevertheless, the Coast Guard is strongly encouraging PFD manufacturers
to emphasize the need for proper maintenance in their marketing and
instructional materials. As inflatable PFDs are introduced to the
recreational boating market, the Coast Guard will carefully monitor
casualty data to ensure that appropriate adjustments are made to the UL
standards or requirements in the event of negative outcomes.
The Coast Guard notes that it has used the LSI to aid its
evaluation and analysis of PFD rulemaking projects since 1985, but this
is the first regulatory project in which it was to be used as an
approval evaluation tool. The Coast Guard's intent in inserting this
requirement was to provide more flexibility for design approval.
Although it is no longer required as an approval evaluation tool, the
Coast Guard anticipates that the LSI will be used in the future as an
evaluation tool for novel designs not specifically covered by UL 1180
and to evaluate rule changes, establish policy, and make equivalency
interpretations. Additionally, the Coast Guard will continue
development of the LSI as was suggested by a number of the comments
discussed above, and the October 30, 1995, NBSAC resolution which
favored continued development of the LSI for possible future use.
Therefore the following sections are revised or deleted accordingly:
Secs. 160.076-5, -7(a)(1), -9(b), -13(c)(10), -21(e), -23(a)(1), -27,
and -37(b)(4 & 5).
Future action: The uncertainty the LSI caused for manufacturers
needs to be addressed in order for the probabilistic risk based
assessment embodied in the LSI to be a truly viable alternate approval
path. The Coast Guard will propose to develop the LSI as a consensus
standard with participation of industry. If the LSI can be developed
adequately to be a viable alternative path, it may be proposed as part
of the approval process for PFDs in the future. As noted above, the
Coast Guard will carefully monitor the effect of deleting the LSI and
approving PFDs with either use code 1F, 2F or 3F inflators.
2. Approval Type [Sections 160.076-7, -9, and -39(c)]
IR Requirement: Under the approval requirements for inflatable PFDs
in the IR, the Coast Guard provided the option of approving inflatable
PFDs as Type V PFDs, which either would require that the PFD be worn to
count towards the carriage requirement, or would have other conditions
appropriate to their intended use. In the latter case, conditional
approvals would be allowed for special PFDs designed for special
circumstances, such as those for diving with recreational submersibles.
Approval of this special category of devices is not addressed by the UL
standard.
Comments on Conditional Approval and Approved Only When Worn:
Five comments indicated the need for an incentive, such as a
condition that a PFD only be approved as meeting the carriage
requirements if it is worn, to increase PFD wear rates. After noting
that 80% of drownings occur because the victim is not wearing a PFD,
one of these comments concluded that any regulation relating to PFDs
should require that PFDs be worn, particularly on small boats, if the
Coast Guard expects to have an impact on boating accident drownings.
Several comments from boaters indicated that they were not opposed to a
requirement for inflatables to be worn, and as discussed above, there
were 21 comments that either favor required wear, presently wear, or
would wear inflatable PFDs.
One of the comments requested that approval of all inflatable PFDs
be conditional on the PFD being worn and noted that approvals that are
contingent on the device being worn may increase use, grant boaters
access to approved devices, allow the industry to sell approved
devices, and allow price and comfort to drive the market. Another
comment from a manufacturer that also favored conditional approval for
all inflatable PFDs, not just Type V, noted that the condition would
benefit and promote: wear among those who purchase an inflatable PFD,
better care and maintenance of the inflation among those who wear it,
and redundancy in personal lifesaving equipment aboard vessels where
space is not limited.
One comment suggested adding the condition ``in presence of
perceived danger'' to the ``approved only when worn'' provision to make
the conditional approval more acceptable and reasonable. It is the
Coast Guard's view that for most accidents danger is often unperceived,
and that such a requirement would, instead of encouraging increased
wear, result in boaters wearing PFDs less often under the mistaken
belief that the need for them was limited to situations when imminent
danger is apparent. Additionally, as with a swimming ability
requirement, it would not be feasible for law enforcement personnel to
enforce such a condition.
Two comments that favored required wear, noted that to get more
comfortable PFDs on the market and achieve wider use than currently
approved PFDs, it may be necessary for the Coast Guard to relax the
standards of reliability and effectiveness. One of these comments
indicated that reduced ``reliability or effectiveness'' in combination
with the condition that a PFD is ``approved only when worn'' should be
an available approval option to permit manufacturers to reduce the cost
of a device.
On the other hand, several comments from manufacturers and from
boaters indicated that they were opposed to any requirement for
inflatables to be worn. Three comments from boaters indicated that they
opposed any condition that required PFDs to be worn to meet the
carriage requirements. One stated that the introduction of the
``Approved Only When Worn'' concept is curious in light of the results
of another Coast Guard interim rule which set approval standards for
hybrid inflatable life jackets (50 FR 33923; August 22, 1985) which had
adopted the same requirement. A hybrid PFD uses a mixture of inherently
buoyant material and inflation to provide flotation. In the commenter's
opinion the effect of the action was the ``kiss of death'' for hybrid
[[Page 13940]]
PFDs. In addition, the comment noted that if this requirement was truly
justified for inflatables, then it is equally justified for inherently
buoyant vests. The Coast Guard notes that there are two significant
differences between the hybrid PFDs and inflatables: comfort and price.
Hybrid PFDs do not provide as much improvement in comfort, and hence
increased wearability, as inflatables because of their greater bulk and
body coverage. Additionally, inflatables only have one means of
buoyancy, and therefore will be less expensive than hybrids and
represent a much smaller incremental increase above the cost of an
inherently buoyant PFD. The Coast Guard also notes that the option of
approving hybrid PFDs without the requirement that they be worn to be
considered approved has been available since February 1995. Since that
time only one manufacturer has sought approval without this condition.
This fact appears to confirm that the approval condition is not the
sole reason for the lack of retail success of hybrid PFDs.
Final rule requirements: The Coast Guard adopted the option of
conditional approval in the IR for inflatable PFDs without use code 1F
inflators but, as discussed above in the discussion of the use code 1F
inflators and the LSI, the Coast Guard is deleting the use code 1F
inflator provision as imposing conditional approval from the final rule
for PFDs meeting UL 1180 because of the potential impediment that the
conditions may have on the sales of devices to recreational boaters.
In this final rule, conditional approval is being used only for
PFDs which do not comply with the UL standards and which are intended
to be used in some special application or manner, such as diving with a
``wet'' submersible vessel, i.e., a vessel designed to propel a person
using SCUBA, or partially wet submersible vessel. The Coast Guard
believes that such designs can provide boaters with an effective
lifesaving alternative only if the user understands the PFD's
limitations and is used accordingly. Conditional approval serves these
ends and may make more affordable alternatives available to users who
wish to have an approved supplemental PFD on board for occasional use
or who are willing to comply with the approval conditions to have the
device count as a replacement PFD to meet the carriage requirements.
The lack of a wearability standard within the consensus standard or
conditional approval in the regulations will require the Coast Guard to
closely monitor accident statistics and revise the rules if necessary.
Therefore, the following sections are revised or deleted accordingly:
Secs. 160.076-7, -9, and -39(c).
3. Repack Evaluation (Section 160.076-25(c)(2))
IR Requirement: UL 1180 does not address repacking. Under the IR,
however, an inflatable PFD being tested for approval must pass an
evaluation in which test subjects demonstrate that they can repack the
PFD, or refold the yoke-style design so that it will function properly
when donned and used again. After being repacked the PFD must be ready
for donning and manual inflation in or out of the water, and for oral
inflation in the water. There is no time limit associated with the
test. The test is not required for devices the manufacturer requires to
be professionally serviced.
Comments: One manufacturer commented that the requirement for a
repack evaluation test is a good improvement, because most designs
currently available are very difficult to repack. However, a second
comment stated that the requirement that each test subject perform
three repack evaluations is excessive and adds expense. The comment
noted that a single repack evaluation would adequately address the
necessary safety considerations. The Coast Guard notes that as the
requirement is written in the IR, the PFD's suitibility for use in the
specific test conditions noted above must be assessed after the
repacking. The Coast Guard believes that all of these conditions can be
properly evaluated after the test subject performs only one repack.
Therefore, only one repack evaluation is needed for approval, but a
follow-up assessment must be conducted by the test laboratory to ensure
that all of the cited UL 1180 conditions are evaluated.
Final rule requirements: The Coast Guard is retaining the repack
evaluation requirement in Sec. 160.076-25(c)(2), but is making
editorial revisions to clarify that only one repack evaluation is
required. Inflatable PFDs that pass this test will have a higher in-
service operational reliability than designs not meeting the
requirement because they will be less likely to be repacked or refolded
such that inflation lanyards and the like are inaccessible for
emergency use or unusable without disassembly.
4. 45-Sec. Average Donning Time, Donning Relaxation, and Reporting
Subject Disqualification [Section 160.076-25(c)(1)]
IR Requirements: A 45-second average donning time requirement was
included in the IR in addition to the UL 1180 imposed 60-second maximum
limit for each subject. Additionally, unusual problems with the
reference vest used for the donning time test are required to be
reported to the Coast Guard, as this is a new reference vest that has
not been previously used for testing purposes. A longer donning time is
permitted for designs requesting approval with conditions which are not
yet addressed in UL 1180.
Comments: Except for the NBSAC survey discussed above, comments on
the average donning time test were not favorable and advocated
elimination of this requirement. One comment noted that in
administering a donning time test, consideration should be given to the
trade-off that exists between the simplicity of donning a PFD and the
secureness of the device during water entry. The comment suggested that
the Coast Guard eliminate the 45-second average donning time
requirement and only require the 60-second maximum in UL 1180. Another
comment indicated that the average time requirement has reduced the
time limit from 60 to 45 seconds, and did not understand why an
inflatable PFD should be donned faster than an inherently buoyant PFD.
The Coast Guard notes that the 45-second average donning time
requirement is actually a second requirement in addition to the UL 1180
60-second maximum donning time requirement. The requirement is not a
significant reduction in donning time but a change in the method of
evaluating the test results.
Final rule requirements: The average donning requirement was added
in the IR as a supplement to the 60-second maximum time requirement
contained in the UL 1180 standard, in order to effectively measure
donning-time performance of PFDs. Historically, nearly all designs of
inherently buoyant and hybrid PFDs that pass a 60-second maximum
requirement, have been shown to pass a 45-second average requirement as
well. The Coast Guard inserted the average requirement in the IR
because, overall it is a better tool for assessing whether designs are
improving or whether they are getting more difficult to don. No
reasonable PFD design would be denied approval solely as a result of
the average requirement. Unless PFDs are required to be worn, donning
is a critical part of the survival process.
However, the average donning time test provides limited additional
safety and may slow the availability of inflatable PFDs to boaters.
Therefore, the Coast Guard is deleting the average donning time test
requirements contained in the IR at Sec. 160.076-25(c)(1)
[[Page 13941]]
but retaining the requirement that a PFD meet the 60-second maximum
donning time requirement in UL 1180.
5. Average Freeboard for Type II and Freeboard Reporting (Section
160.076-25(c)(3)(i) and -25(c)(4)(i))
IR Requirement: UL 1180 contains both an average and minimum
freeboard requirement for performance types I and III PFDs, but only
contains a minimum freeboard requirement for performance type II PFDs.
To make the requirements consistent for all types of PFDs, the IR
contained an average freeboard requirement for approval Type II PFDs.
As part of the IR, freeboard is required to be measured and reported in
order that PFD performance trends can be effectively monitored by the
Coast Guard.
Comments: One comment stated that the 4.25 inch average freeboard
requirements for Type II PFDs contained in the IR is excessive based on
the 3.25 inch per subject minimum freeboard requirement, contained in
UL 1180. The commenter informed the Coast Guard that they had never
seen an average freeboard requirement applied and were not aware of any
body of data to support its use. As mentioned above, the Coast Guard
notes that the UL 1180 standard has both minimum and average freeboard
requirements already in place for performance type I and III PFDs and
that the performance type II requirements are the exception.
Final rule requirements: Although UL 1180 contains both average and
minimum freeboard requirements for type I and II PFDs, the UL standards
committee could not come to an agreement on the average requirement for
performance type II PFDs and therefore omitted the average requirement
for type IIs only. As a result, UL 1180 only contains a minimum
freeboard requirement for Type II PFDs and no average requirement.
Although adequate for safety, a minimum requirement is not conducive to
monitoring trends, comparing performance, or promoting continuous
improvement.
The Coast Guard is deleting the average freeboard requirement for
Type II PFDs as well as the freeboard reporting requirement, and will
ask UL to voluntarily measure and calculate average freeboard and
report the results to the Coast Guard. As a result, although the safety
of any individual PFD will not be effected, until the UL standard can
be updated, an inconsistency will remain between the freeboard
evaluation method of performance type II PFDs versus types I and III.
6. Wearer's View from PFD (Section 160.076-25(c)(3)(ii) and -
25(c)(4)(ii))
IR Requirement: The IR requirements ensure that the inflated PFD
does not unduly interfere with the wearer's ability to see in front and
to the sides (``side mark view'') without having to tread water. The UL
standard does not address these issues.
Comments: Three comments addressed these provisions. One comment
suggested that the side mark view evaluation be performed at 20 feet,
rather than the 3 m (10 ft) requirement in the IR, to make it
consistent with other standards and regulations which use this type of
PFD performance requirement. The Coast Guard notes that the approval
requirements for hybrid and commercial inflatable PFDs require that
this evaluation occur at 3 m rather than 20 feet (46 CFR Part 160.077
and 160.176). In addition, the comment indicated that the in-water
performance evaluation relating to front and side views should only be
conducted with the device positioned in its intended wear condition.
The comment indicated that if the PFD shifts during water entry it
should not be judged a failure for inadequacy of vision; it does not
matter if unconscious people have their vision restricted. However, the
comment agreed that the remaining in-water requirements (e.g., turns,
freeboard, etc.) are applicable to both conscious and unconscious
users. In addition, the comment requested that the front mark view
requirement not apply to Type III PFDs.
The second comment also discussed the IR requirement that the water
surface be visible to the subject when looking to the side. The comment
sugge
FR Doc. 96-7301 Recreational Inflatable Personal Flotation Device Standards
sted that this only apply to Type I devices and even then not
rigidly. The comment added that a relaxed head position without
constant visibility of the lowest point on the horizon is not an unsafe
condition. Another comment stated that the IR requirement for static
measurements of the side mark view, freeboard, and retroreflective
material location creates an excessive amount of testing and continues
to increase the cost of approval.
Final rule requirements: The Coast Guard is deleting both of the
wearer view requirements contained in Sec. 160.076-25(c)(3)(ii) and -
25(c)(4)(ii) as these provisions add limited additional safety and may
slow inflatable PFDs from being available to boaters.
7. Retroreflective Tape and Light Visibility (Section 160.076-
25(c)(3)(iii))
IR Requirement: Any retroreflective tape or light provided on the
PFD is required to be visible while worn in the water. The Coast Guard
instituted these requirements to ensure that the retroreflective
material is effective for search and rescue purposes. The Coast Guard
believes that it would be an unnecessary expense and misleading to the
user to provide these materials at locations that do not aid search and
rescue. The UL 1180 standard does not address these provisions.
Comments: One comment opposed the requirement in Sec. 160.076-
25(e)(3)(iii) that requires 75 percent of the reflective material to be
above the water line. The comment noted that this type of requirement,
and others like it, do not encourage improved performance. Instead, a
minimum surface area of reflective material above the water line should
be required. The comment added that manufacturers should be encouraged,
not discouraged to provide more reflective material.
Final rule requirements. The Coast Guard is deleting the additional
requirements relating to retroreflective material above those required
in UL 1180. UL practice is to require manufacturers to ensure that the
minimum area needed for effective search and rescue is covered with
retroreflective material if the device is sold as one that will aid in
search and rescue, or if sold for use on commercial vessels. Therefore,
the Coat Guard expects that most PFDs with such material tested by UL
will meet this requirement.
8. Chamber Material Physical Properties, Production Oversight,
Production Tests, and Manufacturer's Records Sections 160.076(b) & (c),
-25(d)(2), -29, -31, and -33]
IR Requirement: To set a baseline, the IR requires that tests be
conducted on materials taken from prototypes of PFDs tested for
approval. There are no pass/fail criteria associated with these tests
during approval, but they provide baseline data essential for
production quality control limits and for use at a later date if the
manufacturer proposes changes in materials. The production oversight
and tests established by the IR also cover all the usual elements of a
quality control program including the division of production units into
lots, running various tests on each lot, establishing and retaining
certain records, and establishing criteria for product acceptance and
resolution of problems.
Comments on inflation chamber properties: One comment indicated
that Sec. 160.076-25(d)(2), which requires testing of inflation chamber
properties from the tested prototype PFD, should
[[Page 13942]]
be revised to permit PFD manufacturers to bypass the inflation chamber
properties tests by using material from the same lot, or equivalent, as
that evaluated for the compartment material manufacturer. The comment
did not define equivalent, and the Coast Guard knows of no way to
determine equivalence other than by testing these physical properties.
However, other methods of demonstrating equivalence can be considered.
Another comment opposed this requirement because of the difficulty
and questionable value of remaining within close limits of minimum
design on all components and assembly parameters in an inflatable PFD
used for approval testing. The comment went on to say that production
lots of components occasionally dip below the assumed safe level, and
that both wide deviations within relatively small lots as well as
testing errors on a specific sample are possible. This comment points
out the competing demands of economical production and assurance that a
produced product is adequately represented by the samples which have
been tested for safety during the approval process.
Comments on Lot numbering: One comment indicated that the
Sec. 160.076-29(d) requirement to change PFD lot numbers whenever an
incoming component lot number changes, would create a hardship for
manufacturers. Another comment indicated that changes in lot numbers
for component lot changes should only be required for changing lots of
fabric and inflation mechanisms. Additionally, one comment noted that
the suggestion that PFDs be manufactured in batches and given
sequential serial numbers is burdensome and unnecessary. The comment
suggested that this method of numbering be an available option, but not
a requirement. The Coast Guard notes that the lot numbering
requirements in the IR are the same as for other kinds of PFDs and that
in the IR providing sequential serial numbers is an option, not a
requirement.
Comments on production tests: One comment questioned why
Sec. 160.76-29(e)(2) requires two sets of samples for every fifth lot,
and indicated that the tests conducted by the inspectors should replace
the tests conducted by manufacturers for these lots. The Coast Guard
notes that these provisions are the same as for other PFDs and are
based on the quality assurance concept of counter checking the primary
quality control provider's results.
One comment indicated that Sec. 160.076-29(e)(4) (vi) and (5)(iii)
requires testing without regard to production schedules. The Coast
Guard notes that these paragraphs are notes to the manufacturer's and
inspector's sampling plan tables and thus only apply to testing when
there is production in process, as the comment indicated should be the
case.
One comment indicated that the seam strength test in Sec. 160.076-
31(c)(2) is redundant with the over-pressure and air retention tests.
The Coast Guard notes that in fact the latter tests provide no
meaningful measure against which production control limits for the
material or process can be set because they are simply pass/fail tests
and thus cannot be used to monitor or predict developing problems. Seam
strength offers a measure that can show trends and thereby indicate
when to intervene to prevent problems.
Comments on supervision: One comment indicated that Sec. 160.076-
31(d)(3) which requires that the examiner not be supervised by someone
who is responsible for meeting production schedules would sometimes
initially cause problems in production start-up. The Coast Guard notes
that such start-up conflicts are expected and are handled on a case by
case basis, by waiving the requirement until the product line is
established.
Comments on records retention: One comment questioned why
Sec. 160.076-33(a) requires the records for inflatable PFDs to be
retained longer than for inherently buoyant PFDs. Another comment
questioned why Sec. 160.076-33(b)(4)(ii) requires dates of purchase and
receipt of components to be recorded in addition to the component lot
number. The comment indicated the lot number provides the necessary
tracking information.
Final rule requirements: Performance of approval tests on
production inflation chamber materials as required by the IR, avoids
the necessity and cost for manufacturers to retest a PFD design in the
event of a material change. The results of these types of material
tests indicate the level of quality that the materials used in
production must achieve to ensure production PFDs are capable of
passing the UL 1180 approval tests. The production requirements section
of UL 1180 is ``Reserved''. Production oversight is a fundamental
component for all approval processes. The IR provisions require
essentially the same production oversight as for other kinds of PFDs.
Therefore, the Coast Guard is retaining the baseline material and
production tests to establish the quality of the fundamental element of
an inflatable PFD's ability to provide durable flotation. Under the IR
and the final rule, manufacturers are provided the option of qualifying
several alternate inflation chamber materials, while still being
prevented from unwittingly submitting a ``lab queen'' for initial
approval. Inflation chamber material properties as well as production
oversight and tests, as with all PFDs, are essential quality control
provisions that ensure production units comply with specifications of
the tested prototypes.
As to the lot numbering requirements, though the IR requirements
are being retained in this final rule the Coast Guard will work with UL
and the PFD industry to establish equivalent numbering systems, and if
such a requirement is adopted into the UL standard the Coast Guard will
delete the requirement for the Coast Guard regulations.
The Coast Guard is retaining the records and recordkeeping
provisions in the final rule as published in the IR, because records
are an essential element to its oversight responsibilities. The UL
standard does not address these provisions. As the Coast Guard gains
experience with regulated use and user servicing of inflatables, the
Coast Guard believes that long-term records are necessary to allow for
tracking of defects during the initial period of approval.
Additionally, a more extensive record retention will benefit
manufacturers by limiting the scope of any necessary defect
notification solely to affected units. Inherently buoyant PFDs have a
shorter records retention period than those for inflatables because of
their ``self inspecting'' qualities of the PFDs as discussed in the
ANPRM. The Coast Guard interprets the subpart lot recordkeeping
requirement as being complied with if the component lot number provides
the manufacturer with the other required information.
9. Waterproof Marking Durability [Section 160.076-31(c)(8)]
IR Requirement: The IR requires a waterproof marking test that is
moderately more stringent than the test required for other kinds of
PFDs.
Comments: One comment indicated that Sec. 160.076-31(c)(8),
waterproof marking test, should not require elevated temperature and
mild detergent since the same is not required for other PFDs.
Final rule requirements: The Coast Guard agrees that all PFD
marking should be tested in the same manner, but had established the
test in the IR because the impermanence of markings is a common
complaint on presently approved PFDs, and because the modified test is
no challenge to current technology. However, to avoid excessive
differences between this and other Coast
[[Page 13943]]
Guard regulations and UL requirements, the waterproof marking
requirement in the IR is beign revised in this final rule to make the
test consistent with that applicable to other PFDs.
10. Inflator Marking [Sections 160.076-21(f) and -39(d)(1)(ii)]
IR Requirement: The IR requires that both inflators and PFDs be
marked with the model number of the inflator used for approval testing.
Comments: PFDMA, the industry association, and one manufacturer
acknowledged in comments the need for the Coast Guard to address PFD
marking issues as the UL standard does not completely address these
concerns.
Final rule requirements: The Coast Guard is retaining the marking
requirements in the final rule to aid in enforcement of the
serviceability requirements in Title 33 Part 175. Additionally, these
provisions are to discourage boaters from switching to less reliable
and less capable after-market inflators after purchasing a PFD, and to
minimize the possibility of a boater being harmed as a result of an
unauthorized modification to an approved PFD. The provision will also
help to prevent inadvertent voiding of approval.
11. Adhesive Requirements [Section 160.076-21(d)]
IR Requirement: The IR requires that any adhesive used in the PFD
must meet a simple performance standard. The UL standard is not
specific in this area.
Final rule requirements: The Coast Guard has decided to drop this
restriction from the final rule. Currently, adhesives are not
extensively used in most inflatable PFDs produced. The Coast Guard
included the requirement in the IR because adhesives have been used in
the past and may possibly come into use again. Even without the Coast
Guard requirement, if adhesives are used in a PFD submitted for
approval, the adhesive will still need to be evaluated for suitability
in the intended application according to section 1.4 of UL 1180, which
provides general testing standards for components and materials
different from the standard.
12. Inflation Discomfort [Section 160.076-23(a)(2)]
IR Requirement: PFDs must not be so uncomfortable during inflation
or after inflation so as to cause distress or panic to the user.
Final rule requirements: The Coast Guard is removing this
requirement from the final rule. The UL 1180 Standard partially covers
this area in section 6.11.4, which requires the PFD to have acceptable
comfort up to 90% of the maximum inflation pressure. If after a design
is approved, the Coast Guard determines that some boaters are
experiencing distress upon inflation, the need for additional
requirements in this area will be reevaluated.
13. Textile Cut Edges [Section 160.076-239b)]
IR Requirement: Textile cut edges must be finished to minimize
premature unraveling failures. This is a durability and product value
issue and not a safety issue.
Final rule requirements: The Coast Guard is removing this
requirement from the final rule. As a result, some products will need
to be removed from service sooner than if the requirement were in
effect; however, a shortened life span should not be catastrophic or
life threatening.
14. Pamphlet Requirements [Section 160.076-35]
IR Requirement: An information pamphlet must be provided which is
similar in format to that required for inherently buoyant and hybrid
PFDs, but which covers the features of inflatable PFDs.
Comments: In comments, PFDMA and three manufacturers acknowledged
the need for this information pamphlet section. They provided no
specific comments or suggested improvements to the requirements. The UL
comments indicate that they expected the Coast Guard to fill in these
requirements until the UL standard could be completed. The general
consensus of the attendees at the public meeting, discussed above, was
support of the approach to the pamphlet published in the IR.
Final rule requirements: All Coast Guard-approved PFDs are required
by 33 CFR 181 to be provided with a PFD pamphlet. The UL standard has a
section reserved for this item. Without requirements specific to
inflatable PFDs in this section, the pamphlet for inherently buoyant
PFDs specified in 33 CFR 181 would be required. This result would add
no benefit to the public as that pamphlet fails to address inflatable
PFDs. Therefore, the Coast Guard is retaining the requirement regarding
the information pamphlet in the final rule as published in the IR.
Proper selection guidance is critical for a potential inflatable PFD
consumer to make an informed purchase decision.
15. Owner's manual [Section 160.076-37 (b)(1), (b)(2), (b)(3), (b)(4),
and (b)(5)]
IR Requirement: In addition to the UL 1180 requirements for the
type of information to be provided in an owner's manual, the IR
requires five additional issues to be addressed: (1) instructions to
inform users to partially deflate a PFD to ease climbing out of the
water; (2) service life disclosure; (3) warning against misuse that
could be hazardous; (4) explanation of the meaning of any approval
conditions; and (5) estimate of user's chances of survival if approval
conditions are or are not met.
Comments: Several comments addressed this issue. One manufacturer
acknowledged the need for the IR's owner's manual section. Two comments
indicated that the requirement is Sec. 160.076-37(b)(2), to state the
expected service life in owners manual, was not prudent due to enormous
diversity of usage conditions. One of these comments went on to say
that the components which will be used in the first inflatable PFDs are
newly developed to meet the new standard and have no historical data to
justify any claims of expected service life. Additionally, a comment
from UL indicated that the example in Sec. 160.076-37(b)(3), which
requires a warning against wearing a PFD with automatic inflation under
restrictive clothing, should be revised to indicate that such a warning
be provided with all inflatable PFDs since any inflatable PFD worn
under clothing is hazardous.
Final rule requirements: During the development of UL 1180, PFD
manufacturers were divided on the service life disclosure issue, and
the UL committee could not reach a consensus on the issue. Because the
IR provisions requiring additional information to be included in
owner's manual add limited additional safety benefits and may delay
designs being available to boaters, those provisions are being deleted
in the final rule. The UL standard still requires an owner's manual to
be included and manufacturers who choose to, can include the material
which would have been required by the IR.
16. PFD Markings [Section 160.076-39 (c), (d), and (f)]
IR Requirement: In addition to the UL 1180 marking requirements for
PFDs and component materials, the IR requires several additional
marking items including information about use on commercial vessels,
the approved inflator model, and warnings of foreseeable hazards.
Additionally, conditional approval markings are permitted for
manufacturers seeking such approval.
Comments; General: The PFDMA acknowledged that, in general, the
Coast Guard's marking provisions in the IR
[[Page 13944]]
were necessary. The Association provided no specific comments.
Comments; Marking size: There were two comments on the size of the
marking required on the inflation handle of a manual inflator. Both
comments indicated that smaller marking would be adequate.
Comments; Use on Commercial Vessels: There were two comments on the
requirements in Sec. 160.076-39(d)(1)(i) which require markings on an
approved PFD to state that the PFDs are ``NOT APPROVED FOR USE ON
COMMERCIAL VESSELS.'' Both comments believed that there was a high
likelihood that the marking would be misinterpreted as prohibiting use
of these recreational inflatable PFDs on commercial vessels. One
comment noted that the marking would create the misperception in the
minds of many crew members of commercial vessels, that they are not
allowed to wear inflatable PFDs. The comment stated that as a result,
the marking will be a disservice to thousands of men and women on board
commercial vessels. Further, the comment noted, it will greatly
diminish the stated objective of getting people to take the preventive
measure of actually wearing a PFD and advocated that all inflatable
PFDs be marked ``Meets USCG Carriage Requirements Only When Worn.''
The other comment also favored use of the devices on uninspected
vessels with certain conditions. This comment stated that for
uninspected passenger vessels for hire, there appears to be no basis
for allowing inflatable PFDs in lieu of inherently buoyant PFDs unless
they are worn by the passengers during the voyage.
Comments; Reliability Disclosure: One of the comments discussed
above also requested that inflatable PFDs be marked with their
reliability (after five years of typical service), for the consumer's
information at the point of sale. The comment indicated that
comparative figures for inherently buoyant PFDs should be allowed. The
comment also suggested that the inflatable PFD should be marked with an
indication of its reliability and effectiveness when worn.
Final rule requirements: Based on the comments the Coast Guard is
revising the marking requirements in the final rule to require the PFDs
to be marked ``NOT APPROVED TO MEET CARRIAGE REQUIREMENTS ON COMMERCIAL
VESSELS.'' This will make it clear that Type I, II, or III inflatable
PFDs may be used as additional equipment on uninspected commercial
vessels, in the same fashion as most other recreational PFDs. This
would allow crew members to use these inflatables in addition to Type V
PFDs permitted to be used on these vessels in accordance with their
labels. In a future rulemaking the Coast Guard intends to consider
revising 46 CFR part 25 to address use of these PFDs to meet certain
commercial vessel carriage requirements and to address the associated
maintenance responsibilities and perhaps wear requirements as suggested
in the comments.
The Coast Guard has decided not to require markings concerning
reliability of the PFD on the PFD label as requested because, among
other things, it cannot be adequately explained in a brief statement.
This information may be addressed in the information pamphlet or the
owner's manual. The pamphlet is intended for point of sale information.
In this final rule, the Coast Guard is not requiring this information
to be provided either on the label or in the owner's manual because the
rating would depend on how the PFD is used and cared for or would
require the development of a standardized typical service life which is
not available at this time.
As to the other comments on marking requirements in Sec. 160.076-
39, the Coast Guard is deleting paragraphs (d)(2) and (f) regarding
foreseeable misuse and manual inflation handle marking, as these
provisions add limited additional safety and may delay designs being
available to boaters.
Editorial Corrections
In addition to the above changes, a number of editorial changes are
being made in the final rule to conform the text of the rule to the new
organization of the Coast Guard. Additionally, the production test and
inspection sampling plan tables in Sec. 160.076-29 are corrected in two
areas. The lot size headings are relocated to not confuse them with the
number of samples per lot. Also, in the notes to the tables the symbols
``/@'' are replaced with ``Sec. ''.
Incorporation by Reference
The following material is incorporated by reference in
Sec. 160.076-11: Fully Inflatable Recreational Personal Flotation
Devices (UL 1180), first edition, May 15, 1995; Components for Personal
Flotation Devices (UL 1191), May 16, 1995; Marine Buoyant Devices (UL
1123), February 17, 1995; American Society for Testing and Materials,
ASTM D 751-79, Standard Methods of Testing Coated Fabrics, 1979; ASTM D
1434-75, Gas Transmission Rate of Plastic Film and Sheeting, 1975; and
Federal Standards, Federal Test Method Standard No. 191A, July 20,
1978. Copies of the material are available for inspection where
indicated under ``ADDRESSES.'' Copies of the material are available
from the sources listed in Sec. 160.076-11.
The Director of the Federal Register has approved the material in
Sec. 160.076-11 for incorporation by reference under 5 U.S.C. 552 and 1
CFR part 51. The material is available as indicated in that section.
Regulatory Evaluation
This rule is not a significant regulatory action under section 3(f)
of Executive Order 12866 and does not require an assessment of
potential costs and benefits under section 6(a)(3) of that order. It
has not been reviewed by the Office of Management and Budget under that
order. It is not significant under the regulatory policies and
procedures of the Department of Transportation (DOT) (44 FR 11040;
February 26, 1979).
A Regulatory Evaluation under paragraph 10e of the DOT regulatory
policies and procedures has been prepared and is available in the
docket for inspection or copying where indicated under ADDRESSES. The
Evaluation is summarized as follows.
The requirements of this final rule open up a new marketing
opportunity for inflatable PFD manufacturers by allowing them to obtain
Coast Guard approval of recreational inflatable PFDs, if they so
choose. The final rule will also allow boaters to purchase and use
inflatable PFDs on their boats, if they wish to do so. Manufacturers
may still make and sell unapproved inflatable PFDs, and boaters may
continue to use such PFDs as additional equipment. Manufacturers who
wish to obtain approval will have to pay for the approval testing at
the recognized laboratory, pay the cost of the required quality control
and oversight, and provide the information pamphlet and manuals
required by this rule.
The estimated total initial approval cost per inflatable PFD design
is expected to be approximately $18,500, excluding the cost of
inflation system acceptance which could be amortized over several
designs of PFDs. This cost is almost entirely due to tests required by
the industry consensus standard, which are not included in the cost
imposed by this rule. Costs to approve other types of PFDs are
approximately $6,000, excluding component acceptance costs. The
additional cost to approve inflatable PFDs could easily be absorbed in
the cost of the units produced. The cost increase per device would be
small considering the number of devices which could be produced under
authorization of each approval
[[Page 13945]]
certificate. The Coast Guard anticipates that it will approve 36
inflatable PFD designs within the first 10 years after issuing this
rule.
Production inspection costs imposed by these regulations will be
approximately $1,000 for the largest size lot of inflatable PFDs
permitted. This cost is similar to that incurred for other types of
approved PFDs.
The retail cost, per device, is expected to be between $50 and $200
for inflatable PFDs. Currently approved PFDs range in price from $7-
$200.
If 500,000 units per year are produced, costs for the requirements
imposed over those imposed by the industry consensus standard is
estimated to be $618,000 annually to the industry.
Small Entities
Under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.), the
Coast Guard must consider the economic impact on small entities of a
rule for which a general notice of proposed rulemaking is required.
``Small entities'' may include (1) small businesses and not-for-profit
organizations that are independently owned and operated and are not
dominant in their fields and (2) governmental jurisdictions with
populations of less than 50,000.
As the requirements of this final rule open up a new marketing
opportunity for inflatable PFD manufacturers by allowing them to obtain
Coast Guard approval of recreational inflatable PFDs, a general notice
of proposed rulemaking was not required. The Coast Guard has
nevertheless reviewed this rule for its potential impact on small
entities. The final rule will also allow boaters to purchase and use
inflatable PFDs on their boats. As discussed above, the economic impact
of the new requirements is expected to be minimal.
Therefore, the Coast Guard certifies that this rule will not have a
significant economic impact on a substantial number of small entities.
Collection of Information
This rule contains collection-of-information requirements. The
Coast Guard has submitted the requirements to the Office of Management
and Budget (OMB) for review under section 3504(h) of the Paperwork
Reduction Act (44 U.S.C. 3501 et seq.), and OMB has approved them. The
section numbers are Secs. 160.076-13, 160.076-21, 160.076-29, 160.076-
31, 160.076-33, 160.076-35, and 160.076-39 and the OMB approval number
is OMB Control Number 2115-0619.
Federalism
The Coast Guard has analyzed this rule under the principles and
criteria contained in Executive Order 12612 and has determined that
this rule does not have sufficient federalism implications to warrant
the preparation of a Federalism Assessment. This rulemaking establishes
procedures for Coast Guard approval of inflatable PFDs. The authority
to establish these requirements are committed to the Coast Guard by
Federal statutes. Furthermore, since PFDs are manufactured and used in
the national marketplace, safety standards for PFDs should be national
in scope to avoid burdensome variances. Therefore, the Coast Guard
intends this rule to preempt State action on the same subject matter.
Environment
The Coast Guard considered the environmental impact of this rule
and concluded that under paragraph 2.B.2 of Commandant Instruction
M16475.1B, this rule is categorically excluded from further
environmental documentation. This rule has no environmental impact
other than reducing the volume of unicellular plastic foam being used
in inherently buoyant PFDs. A ``Categorical Exclusion Determination''
is available in the docket for inspection or copying where indicated
under ADDRESSES.
List of Subjects in 46 CFR Part 160
Marine safety, Reporting and recordkeeping requirements,
Incorporation by reference.
Accordingly, the interim rule amending 46 CFR part 160, which was
published at 60 FR 32836 on June 23, 1995, is adopted as final with the
following changes:
PART 160--LIFESAVING EQUIPMENT
1. The authority citation for part 160 is revised to read as
follows:
Authority: 46 U.S.C. 2103, 3306, 3703 and 4302; E.O. 12234, 45
FR 58801, 3 CFR, 1980 Comp., p. 277; 49 CFR 1.46.
2. Section 160.076-5 is amended by revising the definition of
``Commandant'', and removing the definition of ``LSI'' to read as
follows:
Sec. 160.076-5 Definitions.
* * * * *
Commandant means the Chief of the Lifesaving and Fire Safety
Standards Branch, U.S. Coast Guard Marine Safety and Environmental
Protection Directorate. Address: Commandant (G-MMS-4), U.S. Coast Guard
Headquarters, 2100 Second St. SW., Washington, DC 20593-0001; phone:
202-267-1444; facsimile: 202-267-1069; electronic mail: ``mvi-3/G-
M[email protected]''.
* * * * *
3. In Sec. 160.076-7, paragraph (a) is revised to read as follows:
Sec. 160.076-7 PFD approval Type.
(a) An inflatable PFD may be approved without conditions as a Type
I, II, or III PFD for persons over 36 kg (80 lb) if it meets the
requirements of this subpart.
* * * * *
4. In Sec. 160.076-9, paragraph (b) is revised to read as follows:
Sec. 160.076-9 Conditional approval.
* * * * *
(b) PFDs not meeting the performance specifications for type I, II,
or III PFDs in UL 1180 may be classified as Type V, conditionally
approved PFDs, when the Commandant determines that the performance or
design characteristics of the PFD make such classification appropriate.
5. In Sec. 160.076-11, paragraph (b) is revised to read as follows:
Sec. 160.076-11 Incorporation by reference.
* * * * *
(b) The materials approved for incorporation by reference in this
subpart, and the sections affected are as follows:
American Society for Testing and Materials (ASTM)
100 Barr Harbor Drive, West Conshohocken, PA 19428-2959.
ASTM D 751-79 Standard Methods of Testing Coated Fabrics, 1979,
160.076-25;
ASTM D 1434-75 Gas Transmission Rate of Plastic Film and Sheeting,
1975, 160.076-25.
Federal Standards
Naval Publishing and Printing Center, Customer Service, 700 Robbins
Avenue, Philadelphia, PA 19120.
In Federal Test Method Standard No. 191A (dated July 20, 1978) the
following methods:
(1) Method 5100, Strength and Elongation, Breaking of Woven Cloth; Grab
Method, 160.076-25;
(2) Method 5132, Strength of Cloth, Tearing; Falling-Pendulum Method,
160.076-25;
(3) Method 5134, Strength of Cloth, Tearing; Tongue Method, 160.076-25.
Underwriters Laboratories (UL)
Underwriters Laboratories, Inc., P.O. Box 13995, Research Triangle
Park, NC 27709-3995 (Phone (919) 549-1400; Facsimile: (919) 549-1842)
[[Page 13946]]
UL 1123, ``Marine Buoyant Devices'', February 17, 1995, 160.076-35;
UL 1180, ``Fully Inflatable Recreational Personal Flotation Devices'',
May 15, 1995, 160.076-7; 160.076-21; 160.076-23; 160.076-25; 160.076-
29; 160.076-31; 160.076-37; 160.076-39.
UL 1191, ``Components for Personal Flotation Devices'', May 16, 1995,
160.076-21; 160.076-25; 160.076-39.
Sec. 160.076-13 [Amended]
6. In Sec. 160.076-13 paragraph (c)(10) is removed.
Sec. 160.076-21 [Amended]
7. In Sec. 160.076-21 paragraphs (d) and (e) are removed and
paragraph (f) is redesignated as paragraph (d).
8. In Sec. 160.076-23, paragraphs (a)(2) and (b) are removed,
paragraph (a)(3) is redesignated as (a)(2), and paragraph (a)(1) is
revised to read as follows:
Sec. 160.076-23 Construction and performance requirements.
(a) * * *
(1) Meet the requirements in UL 1180 applicable to the PFD
performance type for which approval is sought; and
* * * * *
9. In Sec. 160.076-25, paragraph (c) is revised to read as follows:
Sec. 160.076-25 Approval testing.
* * * * *
(c) Each test subject participating in the tests in UL 1180,
section 6 shall in addition, demonstrate that the test subject can
repack the PFD such that it can be used in the donning tests and manual
activation tests required by--
(1) Section 6.2.3 of UL 1180; and
(2) Sections 6.4.1, and 6.4.2 of UL 1180, if the test engineer
cannot verify that the manual and oral inflators are properly stowed.
* * * * *
Sec. 160.076-27 [Removed and reserved]
10. Sec. 160.076-27 is removed and reserved.
Sec. 160.076-29 [Amended]
11. In Sec. 160.076-29, Tables 160.076-29A and 160.076-29B are
revised to read as follows:
* * * * *
Table 160.076-29A--Manufacturer's Sampling Plan
----------------------------------------------------------------------------------------------------------------
Number of Samples Per Lot (Lot size)
-----------------------------------------------------------------
1-100 101-200 201-300 301-500 501-750 751-1000
----------------------------------------------------------------------------------------------------------------
Tests:
Inflation Chamber Materials...............
(5) See Note (a)
Seam Strength............................. 1 1 2 2 3 4
Over-pressure (b)(c)...................... 1 2 3 4 6 8
Air Retention.............................
(5) EVERY DEVICE IN THE LOT
Buoyancy and Inflation Medium Retention... 1 2 3 4 6 8
Tensile Strength..........................
(5) See Note (d)
Detailed Product Examination.................. 2 2 3 4 6 8
Retest Sample Size (b)........................ ......... ......... 13 13 20 20
Final Lot Inspection..........................
(5) EVERY DEVICE IN THE LOT
----------------------------------------------------------------------------------------------------------------
Notes to Table.
(a) See Sec. 160.076-29(e)(4)(i).
(b) See Sec. 160.076-29(e)(4)(ii).
(c) See Sec. 160.076-29(e)(4)(iii).
(d) See Sec. 160.076-29(e)(4)(iv).
Table 160.076-29B--Inspector's Sampling Plan
----------------------------------------------------------------------------------------------------------------
Number of Samples Per Lot (Lot size)
-----------------------------------------------------------------
1-100 101-200 201-300 301-500 501-750 751-1000
----------------------------------------------------------------------------------------------------------------
Tests:
Over-pressure (a)......................... 1 1 2 2 3 4
Air Retention............................. 1 1 2 2 3 4
Buoyancy & Inflation Medium Retention..... 1 1 2 2 3 4
Tensile Strength..........................
(5) See Note (b)
Waterproof marking........................
(5) See Note (c)
Detailed Project Examination.................. 1 1 1 2 2 3
Retest Sample Size (a)........................ 10 10 13 13 20 20
Final Lot Inspection.......................... 10 15 20 25 27 30
----------------------------------------------------------------------------------------------------------------
Notes to Table:
(a) See Sec. 160.076-29(e)(5)(i).
(b) See Sec. 160.076-29(e)(5)(ii).
(c) See Sec. 160.076-29(e)(5)(iii).
* * * * *
12. In Sec. 160.076-31, paragraph (c)(8) is revised to read as
follows:
Sec. 160.076-31 Production tests and examinations.
* * * * *
(c) * * *
(8) Waterproof Marking Test. Each sample must be completely
submerged in fresh water for at least 30 minutes. The sample must then
be removed, immediately placed on a hard surface, and the markings
vigorously rubbed with the fingers for 15 seconds. If the printing
becomes illegible, the sample must be rejected.
* * * * *
13. In Sec. 160.076-37, paragraph (b) is revised to read as
follows:
Sec. 160.076-37 Owner's manual.
* * * * *
[[Page 13947]]
(b) Manual contents. Each owner's manual must contain the
information specified in section 11 of UL 1180, and, if the PFD is
conditionally approved, an explanation of the meaning of, and reasons
for, the approval conditions.
14. In Sec. 160.076-39, paragraph (d)(2) is removed and reserved,
paragraphs (c) and (d)(1)(i) are revised and paragraph (f) is removed
to read as follows:
Sec. 160.076-39 Marking.
* * * * *
(c) A Type V, conditionally approved, inflatable PFD must be marked
with the approval conditions specified on the approval certificate.
(d) * * *
(1) * * *
(i) ``NOT APPROVED TO MEET CARRIAGE REQUIREMENTS ON COMMERCIAL
VESSELS.''
* * * * *
Dated: March 20, 1996.
J.C. Card,
Rear Admiral, U.S. Coast Guard, Chief, Office of Marine Safety,
Security and Environmental Protection.
[FR Doc. 96-7301 Filed 3-27-96; 8:45 am]
BILLING CODE 4910-14-M
Complete official Federal Register PDF
FR Doc. 96-7272 Consolidated Drug Elimination Program Requirements for Assisted Housing and Public Housing
[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Rules and Regulations]
[Pages 13986-13993]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7272]
[[Page 13985]]
_______________________________________________________________________
Part V
Department of Housing and Urban Development
_______________________________________________________________________
24 CFR Part 261, et al.
Consolidated Drug Elimination Program Requirements for Assisted Housing
and Public Housing; Final Rule
Federal Register / Vol. 61, No. 61 / Thursday, March 28, 1996 / Rules
and Regulations
[[Page 13986]]
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Office of the Secretary
24 CFR Parts 261, 761, and 961
[Docket No. FR-3997-F-01]
RIN 2501-AC18
Consolidated Drug Elimination Program Requirements for Assisted
Housing and Public Housing
AGENCY: Office of the Secretary, HUD.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This final rule consolidates and streamlines HUD's regulations
for the Assisted Housing Drug Elimination Program and the Public
Housing Drug Elimination Program. This rule is part of HUD's efforts to
comply with the President's regulatory reform initiatives. Since the
requirements for the two programs are very similar, this consolidation
will eliminate redundant and unnecessary provisions in HUD's
regulations.
EFFECTIVE DATE: April 29, 1996.
FOR FURTHER INFORMATION CONTACT: For questions concerning the Assisted
Housing Drug Elimination Program (AHDEP), contact: Michael E. Diggs,
Office of Multifamily Housing Programs, Office of Housing, Room 6130,
telephone number (202) 708-0614, ext. 2514.
For questions concerning the Public Housing Drug Elimination
Program (PHDEP), contact: Malcolm E. (Mike) Main, Crime Prevention and
Security Division, Office of Community Relations and Involvement,
Office of Public and Indian Housing, Room 4116, telephone (202) 708-
1197, ext. 4232.
The address for the above persons is: Department of Housing and
Urban Development, 451 Seventh Street, SW., Washington, DC 20410.
Hearing- or speech-impaired persons may call (800) 877-8339 (Federal
Information Relay Service TDD). (Except for the ``800'' number, these
telephone numbers are not toll-free.)
SUPPLEMENTARY INFORMATION:
I. Background
The Public Housing Drug Elimination Program was first authorized by
chapter 2, subtitle C, title V of the Anti-Drug Abuse Act of 1988 (42
U.S.C. 11901-11908). The purpose of the Drug Elimination Program is to
make grants for use in eliminating drug-related crime and the problems
associated with it. HUD first issued implementing regulations for this
program in 24 CFR part 961 on July 3, 1990 (55 FR 27598). Under this
original authorization, public housing agencies (PHAs) and Indian
housing authorities (IHAs) were eligible to apply for and receive
grants under the program. (IHAs and PHAs will be collectively referred
to as HAs.)
Section 581 of the National Affordable Housing Act (NAHA) (Pub. L.
101-625, approved November 28, 1990) amended the Public Housing Drug
Elimination Program in a number of ways, and HUD implemented these
amendments through a final rule published on January 7, 1993 (58 FR
3160). As described in the preamble to the January 7, 1993 final rule,
that rule also implemented two amendments to the program from the
Housing and Community Development Act of 1992 (Pub. L. 102-550,
approved October 28, 1992).
In addition to enhancing the Public Housing Drug Elimination
Program, the National Affordable Housing Act included the authorization
for the Assisted Housing Drug Elimination Program. Under the Assisted
Housing Program, HUD can provide grants to private for-profit and
nonprofit owners of Federally assisted low-income housing. For purposes
of the Assisted Housing Drug Elimination Program, NAHA also permits HUD
to establish other criteria, in addition to those applicable to the
Public Housing Drug Elimination Program, for the evaluation of funding
applications submitted by owners of Federally assisted low-income
housing. HUD issued a final rule implementing the Assisted Housing Drug
Elimination Program on January 26, 1995 (60 FR 5280). The January 26,
1995 final rule followed the regulations for the Public Housing Drug
Elimination Program very closely. The main difference from the Public
Housing Program's regulations reflected the flexibility in the
submission requirements and eligible activities provided by NAHA for
the Assisted Housing Program.
II. Regulatory Reinvention
In response to Executive Order 12866 and President Clinton's
memorandum of March 4, 1995 to all Federal departments and agencies on
the subject of regulatory reinvention, HUD has reviewed all its
regulations to determine whether certain regulations can be eliminated,
streamlined, or consolidated with other regulations. As part of this
review, HUD determined that the regulations for the Assisted Housing
Drug Elimination Program and the Public Housing Drug Elimination
Program are very similar, and HUD can consolidate them into one part.
Therefore, this final rule will consolidate the regulations in
parts 261 (Assisted Housing Drug Elimination Program) and 961 (Public
Housing Drug Elimination Program), into one set of regulations in part
761 (in chapter VII of title 24 of the Code of Federal Regulations
(CFR)). Chapter VII of HUD's regulations is an appropriate place for
the Drug Elimination Program regulations, since that chapter has
historically contained those regulations common to programs under the
authority of the Assistant Secretary for Housing--Federal Housing
Commissioner (such as the Assisted Housing Drug Elimination Program)
and to programs under the authority of the Assistant Secretary for
Public and Indian Housing (such as the Public Housing Drug Elimination
Program).
This final rule also streamlines the Drug Elimination Program
regulations to the extent possible. For example, some of the provisions
merely repeat language in the authorizing statute (42 U.S.C. 11901-
11908). It is unnecessary to maintain statutory requirements in the
CFR, since those requirements are otherwise fully accessible and
binding. Furthermore, if regulations contain statutory language, HUD
must amend the regulations whenever Congress amends the statute.
Therefore, this final rule will remove repetitious statutory language
and replace it with a citation to the specific statutory section for
easy reference.
This rule also removes information in the regulations that is
nonregulatory and would more appropriately appear in the separate
Notices of Funding Availability (NOFAs) for the two programs, such as
details about the selection criteria and examples of eligible
activities. This final rule streamlines the regulations to provide that
specific information on these topics will be included in the annual
NOFAs.
Specifically, this final rule accomplishes the following:
1. Consolidates the regulations from parts 261 and 961 into part
761;
2. Removes the definitions of terms that are either not used in the
regulations or are defined in the statute;
3. Removes the nonregulatory examples from the definition of
``program income'' and from the new Sec. 761.15--Applicants and
activities; and
4. Removes statutory language from the new Sec. 761.15--Applicants
and activities.
As a result of the streamlining efforts in this rule, HUD will
eliminate approximately 7 pages of unnecessary regulations from the
CFR.
[[Page 13987]]
II. Justification for Final Rulemaking
HUD generally publishes a rule for public comment before issuing a
rule for effect, in accordance with HUD's regulations on rulemaking
found in 24 CFR part 10. However, part 10 provides for exceptions from
the general rule if the agency finds good cause to omit advance notice
and public participation. The good cause requirement is satisfied when
prior public procedure is ``impracticable, unnecessary, or contrary to
the public interest'' (24 CFR 10.1). HUD finds that good cause exists
to publish this rule for effect without first soliciting public
comment, in that prior public procedure is unnecessary. This final rule
merely consolidates and streamlines two sets of similar regulations; it
does not change HUD's policies or substantive requirements.
III. Other Matters
Regulatory Flexibility Act
The Secretary, in accordance with the Regulatory Flexibility Act (5
U.S.C. 605(b)), has reviewed and approved this final rule, and in so
doing certifies that this rule will not have a significant economic
impact on a substantial number of small entities. This rule merely
streamlines regulations by removing unnecessary provisions. The rule
will have no adverse or disproportionate economic impact on small
businesses.
Environmental Impact
This rulemaking does not have an environmental impact. This
rulemaking simply amends existing regulations by consolidating and
streamlining provisions and does not alter the environmental effect of
the regulations being amended. Separate Findings of No Significant
Impact with respect to the environment were made in accordance with HUD
regulations in 24 CFR part 50 that implement section 102(2)(C) of the
National Environmental Policy Act of 1969 (42 U.S.C. 4332) at the time
of initial development of the regulations for the Drug Elimination
Programs. The findings remain applicable to this rule, and are
available for public inspection between 7:30 a.m. and 5:30 p.m.
weekdays in the Office of the Rules Docket Clerk, Office of General
Counsel, Room 10276, Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC.
Executive Order 12612, Federalism
The General Counsel, as the Designated Official under section 6(a)
of Executive Order 12612, Federalism, has determined that this rule
will not have substantial direct effects on States or their political
subdivisions, or the relationship between the Federal Government and
the States, or on the distribution of power and responsibilities among
the various levels of government. No programmatic or policy changes
will result from this rule that would affect the relationship between
the Federal Government and State and local governments.
Executive Order 12606, The Family
The General Counsel, as the Designated Official under Executive
Order 12606, The Family, has determined that this rule will not have
the potential for significant impact on family formation, maintenance,
or general well-being, and thus is not subject to review under the
Order. No significant change in existing HUD policies or programs will
result from promulgation of this rule.
List of Subjects
24 CFR Part 261
Drug abuse, Drug traffic control, Grant programs--housing and
community development, Grant programs--low and moderate income housing,
Reporting and recordkeeping requirements.
24 CFR Part 761
Drug abuse, Drug traffic control, Grant programs--housing and
community development, Grant programs--Indians, Grant programs--low and
moderate income housing, Indians, Public housing, Reporting and
recordkeeping requirements.
24 CFR Part 961
Drug abuse, Drug traffic control, Grant programs--housing and
community development, Grant programs--Indians, Grant programs--low and
moderate income housing, Indians, Public housing, Reporting and
recordkeeping requirements.
Accordingly, under the authority of 42 U.S.C. 3535(d), for the
reasons stated in the preamble, in title 24 of the Code of Federal
Regulations, parts 261 and 961 are removed, and part 761 is added as
follows:
PART 261--[REMOVED]
1. Part 261 is removed.
2. In chapter VII, the heading is revised to read as follows:
CHAPTER VII--OFFICE OF THE SECRETARY, DEPARTMENT OF HOUSING AND URBAN
DEVELOPMENT (HOUSING ASSISTANCE PROGRAMS AND PUBLIC AND INDIAN HOUSING
PROGRAMS)
3. A new part 761 is added to read as follows:
PART 761--DRUG ELIMINATION PROGRAMS
Subpart A--General
Sec.
761.1 Purpose and scope.
761.5 Public and Indian housing; encouragement of resident
participation.
761.10 Definitions.
Subpart B--Use of Grant Funds
761.15 Applicants and activities.
Subpart C--Application and Selection
761.20 Application selection and requirements.
761.25 Resident comments on grant application.
Subpart D--Grant Administration
761.30 Grant administration.
761.35 Periodic grantee reports.
761.40 Other Federal requirements.
Authority: 42 U.S.C. 3535(d) and 11901 et seq.
Subpart A--General
Sec. 761.1 Purpose and scope.
This part 761 contains the regulatory requirements for the Assisted
Housing Drug Elimination Program and the Public Housing Drug
Elimination Program. The purposes of these programs are to:
(a) Eliminate drug-related crime and problems associated with it in
and around the premises of Federally assisted low-income housing, and
public and Indian housing developments;
(b) Encourage owners of Federally assisted low-income housing,
public housing agencies and Indian housing authorities (collectively
referred to as HAs), and resident management corporations to develop a
plan that includes initiatives that can be sustained over a period of
several years for addressing drug-related crime and problems associated
with it in and around the premises of housing proposed for funding
under this part; and
(c) Make available Federal grants to help owners of Federally
assisted low-income housing, HAs, and RMCs carry out their plans.
Sec. 761.5 Public and Indian housing; encouragement of resident
participation.
For the purposes of the Public Housing Drug Elimination Program,
the elimination of drug-related crime and problems associated with it
within public housing developments requires the active involvement and
commitment of public housing residents and their organizations. To
enhance the ability of HAs to combat drug-related crime and problems
associated with it within their developments, Resident Councils (RCs),
[[Page 13988]]
Resident Management Corporations (RMCs), and Resident Organizations
(ROs) will be permitted to undertake management functions specified in
this part, notwithstanding the otherwise applicable requirements of 24
CFR parts 950 and 964.
Sec. 761.10 Definitions.
The definitions ``Department'', ``HUD'', ``Indian'', ``Indian
Housing Authority (IHA)'', and ``Public Housing Agency (PHA)'' are
defined in 24 CFR part 5.
Controlled substance shall have the meaning provided in section 102
of the Controlled Substance Act (21 U.S.C. 802).
Drug intervention means a process to identify assisted housing or
public housing resident drug users, to assist them in modifying their
behavior, and/or to refer them to drug treatment to reduce or eliminate
drug abuse.
Drug prevention means a process to provide goods and services
designed to alter factors, including activities, environmental
influences, risks, and expectations, that lead to drug abuse.
Drug-related crime shall have the meaning provided in 42 U.S.C.
11905(2).
Drug treatment means a program for the residents of an applicant's
development that strives to end drug abuse and to eliminate its
negative effects through rehabilitation and relapse prevention.
Federally assisted low-income housing, or assisted housing, shall
have the meaning provided in 42 U.S.C. 11905(4). However, sections
221(d)(3) and 221(d)(4) market rate projects with tenant-based
assistance contracts and section 8 projects with tenant-based
assistance are not considered federally assisted low-income housing and
are not eligible for funding under this part 761.
Governmental jurisdiction means the unit of general local
government, State, or area of operation of an Indian tribe in which the
housing development administered by the applicant is located.
In and around means within, or adjacent to, the physical boundaries
of a housing development.
Indian tribe means any tribe, band, pueblo, group, community, or
nation of Indians, or Alaska Natives.
Local law enforcement agency means a police department, sheriff's
office, or other entity of the governmental jurisdiction that has law
enforcement responsibilities for the community at large, including the
housing developments owned or administered by the applicant. In Indian
jurisdictions, this includes tribal prosecutors that assume law
enforcement functions analogous to a police department or the Bureau of
Indian Affairs (BIA). More than one law enforcement agency may have
these responsibilities for the jurisdiction that includes the
applicant's developments.
Problems associated with drug-related crime means the negative
physical, social, educational, and economic impact of drug-related
crime on assisted housing residents or public and Indian housing
residents, and the deterioration of the assisted housing or public and
Indian housing environment because of drug-related crime.
Program income means gross income received by a grantee and
directly generated from the use of program funds. When program income
is generated by an activity only partially assisted with program funds,
the income shall be prorated to reflect the percentage of program funds
used.
Resident council (RC), for purposes of the Public Housing Program,
means an incorporated or unincorporated nonprofit organization or
association that meets each of the following requirements:
(1) It must be representative of the residents it purports to
represent;
(2) It may represent residents in more than one development or in
all of the developments of a HA, but it must fairly represent residents
from each development that it represents;
(3) It must adopt written procedures providing for the election of
specific officers on a regular basis (but at least once every three
years); and
(4) It must have a democratically elected governing board. The
voting membership of the board must consist of residents of the
development or developments that the resident organization or resident
council represents.
Resident Management Corporation (RMC), for purposes of the Public
Housing Program, means the entity that proposes to enter into, or that
enters into, a management contract with a PHA under 24 CFR part 964 in
accordance with the requirements of that part, or with an IHA under 24
CFR part 950, or with an IHA in accordance with the requirements of
this part 761. The corporation must have each of the following
characteristics:
(1) It must be a nonprofit organization that is incorporated under
the laws of the State or the Indian tribe in which it is located;
(2) It may be established by more than one resident organization or
resident council, so long as each such organization or council:
(i) Approves the establishment of the corporation, and;
(ii) Has representation on the Board of Directors of the
corporation;
(3) It must have an elected Board of Directors;
(4) Its by-laws must require the Board of Directors to include
representatives of each resident organization or resident council
involved in establishing the corporation;
(5) Its voting members must be residents of the development or
developments it manages;
(6) It must be approved by the resident council or resident
organization. If there is no council or organization, a majority of the
households of the development must approve the establishment of such an
organization to determine the feasibility of establishing a corporation
to manage the development; and
(7) It may serve as both the resident management corporation and
the resident council or the resident organization, so long as the
corporation meets the requirements of part 964 of this chapter for a
resident council or the requirements of this part for a resident
organization.
Resident organization (RO) shall have the same meaning as Resident
council (RC), as defined in this Sec. 761.10.
State means any of the several States of the United States, the
District of Columbia, the Commonwealth of Puerto Rico, any territory or
possession of the United States, or any agency or instrumentality of a
State exclusive of local governments. The term does not include any
public or Indian housing agency under the United States Housing Act of
1937 (42 U.S.C. 1437 note).
Unit of general local government means any city, county, town,
municipality, township, parish, village, local public authority
(including any public or Indian housing agency under the United States
Housing Act of 1937) or other general purpose political subdivision of
a State.
Subpart B--Use of Grant Funds
Sec. 761.15 Applicants and activities.
In any particular funding round, the separate Notices of Funding
Availability (NOFAs) published in the Federal Register will contain
specific information concerning eligible and ineligible applicants and
activities.
(a) Eligible applicants. (1) Under the Public Housing Drug
Elimination Program (PHDEP), specific information with regard to
eligible applicants will appear in the NOFA for each funding round.
(2) Under the Assisted Housing Program (AHDEP), eligible applicants
[[Page 13989]]
are owners of federally assisted low-income housing, as the term
``Federally assisted low-income housing'' is defined in Sec. 761.10.
(b) Eligible activities. An application for funding under the
Assisted Housing Program or the Public Housing Program may be for one
or more of the eligible activities described in 42 U.S.C. 11903, as
further explained or limited in paragraph (b) of this section and in
the separate annual Notices of Funding Availability (NOFAs) for each
program. All personnel funded by these programs in accordance with an
eligible activity must meet, and demonstrate compliance with, all
relevant Federal, State, tribal, or local government insurance,
licensing, certification, training, bonding, or other similar law
enforcement requirements.
(1) Employment of security personnel, as provided in 42 U.S.C.
11903(a)(1). For purposes of the Public Housing Program, the following
provisions in paragraphs (b)(1)(i) and (b)(1)(ii) of this section
apply:
(i) Security guard personnel. (A) Contract security personnel
funded by this program must perform services not usually performed by
local law enforcement agencies on a routine basis.
(B) The applicant, the cooperating local law enforcement agency,
and the provider (contractor) of the security personnel are required,
as a part of the security personnel contract, to enter into and execute
a written agreement that describes the following:
(1) The activities to be performed by the security personnel, their
scope of authority, and how they will coordinate their activities with
the local law enforcement agency;
(2) The types of activities that the security personnel are
expressly prohibited from undertaking.
(ii) Employment of HA police. (A) If additional HA police are to be
employed for a service that is also provided by a local law enforcement
agency, the applicant must provide a cost analysis that demonstrates
the employment of HA police is more cost efficient than obtaining the
service from the local law enforcement agency.
(B) Additional HA police services to be funded under this program
must be over and above those that the existing HA police, if any,
provides, and the tribal, State or local government is contractually
obligated to provide under its Cooperation Agreement with the applying
HA (as required by the HA's Annual Contributions Contract). An
applicant seeking funding for this activity must first establish a
baseline by describing the current level of services provided by both
the local law enforcement agency and the HA police, if any (in terms of
the kinds of services provided, the number of officers and equipment
and the actual percent of their time assigned to the developments
proposed for funding), and then demonstrate to what extent the funded
activity will represent an increase over this baseline.
(C) The applicant and the cooperating local law enforcement agency
are required to enter into and execute a written agreement that
describes the following:
(1) The activities to be performed by the HA police, their scope of
authority, and how they will coordinate their activities with the local
law enforcement agency;
(2) The types of activities that the HA police are expressly
prohibited from undertaking.
(2) Reimbursement of local law enforcement agencies for additional
security and protective services, as provided in 42 U.S.C. 11903(a)(2).
For purposes of the Public Housing Program, the following provisions in
paragraphs (b)(2)(i) and (b)(2)(ii) of this section apply:
(i) Additional security and protective services to be funded must
be over and above those that the tribal, State, or local government is
contractually obligated to provide under its Cooperation Agreement with
the applying HA (as required by the HA's Annual Contributions
Contract). An application seeking funding for this activity must first
establish a baseline by describing the current level of services (in
terms of the kinds of services provided, the number of officers and
equipment, and the actual percent of their time assigned to the
developments proposed for funding) and then demonstrate to what extent
the funded activity will represent an increase over this baseline.
(ii) Communications and security equipment to improve the
collection, analysis, and use of information about drug-related
criminal activities in a public housing community may be eligible items
if used exclusively in connection with the establishment of a law
enforcement substation on the funded premises or scattered site
developments of the applicant. Funds for activities under this section
may not be drawn until the grantee has executed a contract for the
additional law enforcement services.
(3) Physical improvements to enhance security, as provided in 42
U.S.C. 11903(a)(3). For purposes of the Public Housing Program, the
following provisions in paragraphs (b)(3)(i) through (b)(3)(iv) of this
section apply:
(i) An activity that is funded under any other HUD program shall
not also be funded by this program.
(ii) Funding is not permitted for physical improvements that
involve the demolition of any units in a development.
(iii) Funding is not permitted for any physical improvements that
would result in the displacement of persons.
(iv) Funding is not permitted for the acquisition of real property.
(4) Employment of investigating individuals, as provided in 42
U.S.C. 11903(a)(4). For purposes of the Public Housing Program, the
following provisions in paragraphs (b)(4)(i) and (b)(4)(ii) of this
section apply:
(i) If one or more investigators are to be employed for a service
that is also provided by a local law enforcement agency, the applicant
must provide a cost analysis that demonstrates the employment of
investigators is more cost efficient than obtaining the service from
the local law enforcement agency.
(ii) The applicant, the cooperating local law enforcement agency,
and the investigator(s) are required, before any investigators are
employed, to enter into and execute a written agreement that describes
the following:
(A) The nature of the activities to be performed by the
investigators, their scope of authority, and how they will coordinate
their activities with the local law enforcement agency;
(B) The types of activities that the investigators are expressly
prohibited from undertaking.
(5) Voluntary tenant patrols, as provided in 42 U.S.C. 11903(a)(5).
For purposes of the Public Housing Program, the following provisions in
paragraphs (b)(5)(i) through (b)(5)(iv) of this section apply:
(i) The provision of training, communications equipment, and other
related equipment (including uniforms), for use by voluntary tenant
patrols acting in cooperation with officials of local law enforcement
agencies is permitted. Grantees are required to obtain liability
insurance to protect themselves and the members of the voluntary tenant
patrol against potential liability for the activities of the patrol.
The cost of this insurance will be considered an eligible program
expense.
(ii) The applicant, the cooperating local law enforcement agency,
and the members of the tenant patrol are required, before putting the
tenant patrol into effect, to enter into and execute a written
agreement that describes the following:
(A) The nature of the activities to be performed by the tenant
patrol, the patrol's scope of authority, and how the
[[Page 13990]]
patrol will coordinate its activities with the local law enforcement
agency;
(B) The types of activities that a tenant patrol is expressly
prohibited from undertaking, to include but not limited to, the
carrying or use of firearms or other weapons, nightsticks, clubs,
handcuffs, or mace in the course of their duties under this program;
(C) The type of initial tenant patrol training and continuing
training the members receive from the local law enforcement agency
(training by the local law enforcement agency is required before
putting the tenant patrol into effect).
(iii) Tenant patrol members must be advised that they may be
subject to individual or collective liability for any actions
undertaken outside the scope of their authority and that such acts are
not covered under a HA's or RMC's liability insurance.
(iv) Grant funds may not be used for any type of financial
compensation for voluntary tenant patrol participants. However, the use
of program funds for a grant coordinator for volunteer tenant foot
patrols is permitted.
(6) Drug prevention, intervention, and treatment programs, as
provided in 42 U.S.C. 11903(a)(6).
(7) Funding resident management corporations (RMCs), resident
councils (RCs), and resident organizations (ROs). For purposes of the
Public Housing Program, funding may be provided for HAs that receive
grants to contract with RMCs and incorporated RCs and ROs to develop
security and drug abuse prevention programs involving site residents,
as provided in 42 U.S.C. 11903(a)(7).
(8) Eliminating drug-related crime in HA-owned housing, under the
Public Housing Program, as provided in 42 U.S.C. 11903(b).
(c) Continuation of current program activities. For purposes of
both drug elimination programs, the Department will evaluate an
applicant's performance under any previous Drug Elimination Program
grants within the past five years. Subject to evaluation and review are
the applicant's financial and program performance; reporting and
special condition compliance; accomplishment of stated goals and
objectives under the previous grant; and program adjustments made in
response to previous ineffective performance. If the evaluation
discloses a pattern under past grants of ineffective performance with
no corrective measures attempted, it will result in a deduction of
points from the current application.
(d) Ineligible activities. For purposes of the Public Housing
Program, the following provisions in paragraph (d) of this section
apply:
(1) Joint applications are not eligible for funding under this
program.
(2) Funding is not permitted for costs incurred before the
effective date of the grant agreement, including, but not limited to,
consultant fees for surveys related to the application or the actual
writing of the application.
(3) Funding is not permitted for the costs related to screening or
evicting residents for drug-related crime. However, investigators
funded under this program may participate in judicial and
administrative proceedings.
Subpart C--Application and Selection
Sec. 761.20 Application selection and requirements.
(a) Selection criteria. HUD will review each application that it
determines meets the requirements of this part 761 and evaluate it by
assigning points in accordance with the selection criteria in 42 U.S.C.
11904 and in the separate NOFAs published for each program.
(b) Plan requirement. Each application must include a plan for
addressing the problem of drug-related crime and/or the problems
associated with it on the premises of the housing for which the
application is being submitted. For applications that cover more than
one development, the plan does not have to address each development
separately if the same activities will apply to each development. The
plan must address each development separately only where program
activities will differ from one development to another.
(c) Notices of Funding Availability. HUD will publish specific
Notices of Funding Availability (NOFAs) in the Federal Register as
appropriate for each program to inform the public of the availability
of grant amounts under this part 761. The NOFAs will provide specific
guidance with respect to the grant process, including the deadlines for
the submission of grant applications; the limits (if any) on maximum
grant amounts; the information that must be submitted to permit HUD to
score each of the selection criteria; the maximum number of points to
be awarded for each selection criterion; the contents of the plan for
addressing drug-related crime and problems associated with it that must
be included with the application; the listing of any certifications and
assurances that must be submitted with the application; and the process
for ranking and selecting applicants. NOFAs will also include any
additional information, factors, and requirements that HUD has
determined to be necessary and appropriate to provide for the
implementation and administration of the program under this part 761.
(d) Environmental review. Grants under this part 761 are
categorically excluded from review under the National Environmental
Policy Act of 1969 (NEPA) (42 U.S.C. 4321), in accordance with 24 CFR
50.20(p). However, prior to an award of grant funds under this part,
HUD will perform an environmental review to the extent required by
HUD's environmental regulations in 24 CFR part 50, including the
applicable related authorities in 24 CFR 50.4.
Sec. 761.25 Resident comments on grant application.
The applicant must provide the residents of developments proposed
for funding under this part 761, as well as any RMCs, RCs, or ROs that
represent those residents (including any HA-wide RMC, RC, or RO), if
applicable, with a reasonable opportunity to comment on its application
for funding under these programs. The applicant must give these
comments careful consideration in developing its plan and application,
as well as in the implementation of funded programs. Grantees must
maintain copies of all written comments submitted for three years.
Subpart D--Grant Administration
Sec. 761.30 Grant administration.
(a) General. Each grantee is responsible for ensuring that grant
funds are administered in accordance with the requirements of this part
761, any specific Notices of Funding Availability (NOFAs) issued for
these programs, 24 CFR part 85 (as applicable), applicable laws and
regulations, applicable OMB circulars, HUD fiscal and audit controls,
grant agreements, grant special conditions, the grantee's approved
budget (SF-424A), budget narrative, plan, and activity timetable.
(b) Grant term extensions. (1) Grant term. Terms of the grant
agreement may not exceed 12 months for the Assisted Housing Program,
and 24 months for the Public Housing Program, unless an extension is
approved by the local HUD Office or local HUD Office of Native American
Programs. Any funds not expended at the end of the grant term shall be
remitted to HUD.
(2) Extension. HUD may grant an extension of the grant term in
response to a written request for an extension stating the need for the
extension and indicating the additional time required. HUD will not
consider requests for retroactive extension of program periods. HUD
will permit only one
[[Page 13991]]
extension. HUD will only consider extensions if the grantee meets the
extension criteria of paragraph (b)(5) of this section at the time the
grantee submits for approval the request for the extension.
(3) Receipt. The request must be received by the local HUD Office
or local HUD Office of Native American Programs prior to the
termination of the grant, and requires approval by the local HUD Office
or local HUD Office of Native American Programs with jurisdiction over
the grantee.
(4) Term. The maximum extension allowable for any program period is
6 months.
(5) Extension criteria. The following criteria must be met by the
grantee when submitting a request to extend the expenditure deadline
for a program or set of programs.
(i) Financial status reports. There must be on file with the local
HUD Office or local HUD Office of Native American Programs current and
acceptable Financial Status Reports, SF-269As.
(ii) Grant agreement special conditions. The grantee must have
satisfied all grant agreement special conditions except those
conditions that the grantee must fulfill in the remaining period of the
grant. This also includes the performance and resolution of audit
findings in a timely manner.
(iii) Justification. The grantee must submit a narrative
justification with the program extension request. The justification
must provide complete details, including the circumstances that require
the proposed extension, and an explanation of the impact of denying the
request.
(6) HUD action. The local HUD Office or local HUD Office of Native
American Programs will attempt to take action on any proposed extension
request within 15 days after receipt of the request.
(c) Duplication of funds. To prevent duplicate funding of any
activity, the grantee must establish controls to assure that an
activity or program that is funded by other HUD programs, or programs
of other Federal agencies, shall not also be funded by the Drug
Elimination Program. The grantee must establish an auditable system to
provide adequate accountability for funds that it has been awarded. The
grantee is responsible for ensuring that there is no duplication of
funds.
(d) Insurance. Each grantee shall obtain adequate insurance
coverage to protect itself against any potential liability arising out
of the eligible activities under this part. In particular, applicants
shall assess their potential liability arising out of the employment or
contracting of security personnel, law enforcement personnel,
investigators, and drug treatment providers, and the establishment of
voluntary tenant patrols; evaluate the qualifications and training of
the individuals or firms undertaking these functions; and consider any
limitations on liability under tribal, State, or local law. Grantees
shall obtain liability insurance to protect the members of the
voluntary tenant patrol against potential liability as a result of the
patrol's activities under Sec. 761.15(b)(5). Voluntary tenant patrol
liability insurance costs are eligible program expenses. Subgrantees
shall obtain their own liability insurance.
(e) Failure to implement program. If the grant plan, approved
budget, and timetable, as described in the approved application, are
not operational within 60 days of the grant agreement date, the grantee
must report by letter to the local HUD Office or the local HUD Office
of Native American Programs the steps being taken to initiate the plan
and timetable, the reason for the delay, and the expected starting
date. Any timetable revisions that resulted from the delay must be
included. The local HUD Office or local HUD Office of Native American
Programs will determine if the delay is acceptable, approve/disapprove
the revised plan and timetable, and take any additional appropriate
action.
(f) Sanctions. (1) HUD may impose sanctions if the grantee:
(i) Is not complying with the requirements of this part 761, or of
other applicable Federal law;
(ii) Fails to make satisfactory progress toward its drug
elimination goals, as specified in its plan and as reflected in its
performance and financial status reports;
(iii) Does not establish procedures that will minimize the time
elapsing between drawdowns and disbursements;
(iv) Does not adhere to grant agreement requirements or special
conditions;
(v) Proposes substantial plan changes to the extent that, if
originally submitted, the applications would not have been selected for
funding;
(vi) Engages in the improper award or administration of grant
subcontracts;
(vii) Does not submit reports; or
(viii) Files a false certification.
(2) HUD may impose the following sanctions:
(i) Temporarily withhold cash payments pending correction of the
deficiency by the grantee or subgrantee;
(ii) Disallow all or part of the cost of the activity or action not
in compliance;
(iii) Wholly or partly suspend or terminate the current award for
the grantee's or subgrantee's program;
(iv) Require that some or all of the grant amounts be remitted to
HUD;
(v) Condition a future grant and elect not to provide future grant
funds to the grantee until appropriate actions are taken to ensure
compliance;
(vi) Withhold further awards for the program; or
(vii) Take other remedies that may be legally available.
Sec. 761.35 Periodic grantee reports.
Grantees are responsible for managing the day-to-day operations of
grant and subgrant supported activities. Grantees must monitor grant
and subgrant supported activities to assure compliance with applicable
Federal requirements and that performance goals are being achieved.
Grantee monitoring must cover each program, function or activity of the
grant.
(a) Semi-annual (nonconstruction) performance reports. For purposes
of the Public Housing Program only, the following provisions in
paragraph (a) of this section apply:
(1) In accordance with 24 CFR 85.40(b)(1)(2) and 85.50(b), grantees
are required to provide the local HUD Office or the local HUD Office of
Native American Programs with a semi-annual performance report that
evaluates the grantee's performance against its plan. These reports
shall include (but are not limited to) the following in summary form:
(i) Any change or lack of change in crime statistics or other
indicators drawn from the applicant's plan assessment and an
explanation of any difference;
(ii) Successful completion of any of the strategy components
identified in the applicant's plan;
(iii) A discussion of any problems encountered in implementing the
plan and how they were addressed;
(iv) An evaluation of whether the rate of progress meets
expectations;
(v) A discussion of the grantee's efforts in encouraging resident
participation; and
(vi) A description of any other programs that may have been
initiated, expanded, or deleted as a result of the plan, with an
identification of the resources and the number of people involved in
the programs and their relation to the plan.
(2) Reporting period. Semi-annual performance reports (for periods
ending June 30 and December 31) are due to the local HUD Office or the
local HUD Office of Native American Programs on July 30 and January 31
of each year. If
[[Page 13992]]
the reports are not received by the local HUD Office or the local HUD
Office of Native American Programs on or before the due date, grant
funds will not be advanced until the reports are received.
(b) Final performance report. For purposes of both the Assisted
Housing Program and the Public Housing Program, the following
provisions in paragraph (b) of this section apply:
(1) Evaluation. Grantees are required to provide the local HUD
Office or the local HUD Office of Native American Programs, as
applicable, with a final cumulative performance report that evaluates
the grantee's overall performance against its plan. This report shall
include (but is not limited to) the information listed in paragraphs
(a)(1)(i) through (a)(1)(vi) of this section, in summary form.
(2) Reporting period. The final performance report shall cover the
period from the date of the grant agreement to the termination date of
the grant agreement. The report is due to the local HUD Office or the
local HUD Office of Native American Programs, as applicable, within 90
days after termination of the grant agreement.
(c) Semi-annual financial status reporting requirements. For
purposes of both the Assisted Housing Program and the Public Housing
Program, the following provisions in paragraph (c) of this section
apply, as specified below:
(1) Forms. The grantee shall provide a semi-annual financial status
report. For purposes of the Public Housing Program, this report shall
be in accordance with 24 CFR 85.41 (b) and (c). For both the Assisted
Housing and Public Housing Programs, the grantee shall use the form SF-
269A, Financial Status Report-Long Form, to report the status of funds
for nonconstruction programs. The grantee shall use SF-269A, block 12,
``Remarks,'' to report on the status of programs, functions, or
activities within the program.
(2) Reporting period. Semi-annual financial status reports (SF-
269A) must be submitted as follows:
(i) For purposes of the Assisted Housing Program, semi-annual
financial status reports covering the first 180 days of funded
activities must be submitted to the local HUD Office between 190 and
210 days after the date of the grant agreement. If the SF-269A is not
received on or before the due date (210 days after the date of the
grant agreement) by the local HUD Office, grant funds will not be
advanced until the reports are received.
(ii) For purposes of the Public Housing Program, semi-annual
financial status reports (for periods ending June 30 and December 31)
must be submitted to the local HUD Office or the local Office of Indian
Programs, as applicable, by July 30 and January 31 of each year. If the
local HUD Office or the local HUD Office of Native American Programs,
as applicable, does not receive the SF-269A on or before the due date,
the grant funds will not be advanced until the reports are received.
(d) Final financial status report (SF-269A). For purposes of both
the Assisted Housing Program and the Public Housing Program, the
following provisions in paragraph (d) of this section apply:
(1) Cumulative summary. The final report will be a cumulative
summary of expenditures to date and must indicate the exact balance of
unexpended funds. The grantee shall remit all Drug Elimination Program
funds owed to HUD, including any unexpended funds, as follows:
(i) For purposes of the Assisted Housing Program, the grantee must
remit such funds to HUD within 90 days after the termination of the
grant agreement.
(ii) For purposes of the Public Housing Program, the local HUD
Office or the local HUD Office of Native American Programs shall notify
the grantee, in writing, of the requirement to remit such funds to HUD.
The grantee shall remit such funds prior to or upon receipt of the
notice.
(2) Reporting period. The final financial status report shall cover
the period from the date of the grant agreement to the termination date
of the grant agreement. The report is due to the local HUD Office or
the local HUD Office of Native American Programs, as applicable, within
90 days after the termination of the grant agreement.
Sec. 761.40 Other Federal requirements.
In addition to the nondiscrimination and equal opportunity
requirements set forth in 24 CFR part 5, subpart A, use of grant funds
requires compliance with the following Federal requirements:
(a) Labor standards. (1) When grant funds are used to undertake
physical improvements to increase security under Sec. 761.15(b)(3), the
following labor standards apply:
(i) The grantee and its contractors and subcontractors must pay the
following prevailing wage rates, and must comply with all related
rules, regulations and requirements:
(A) For laborers and mechanics employed in the program, the wage
rate determined by the Secretary of Labor pursuant to the Davis-Bacon
Act (40 U.S.C. 276a et seq.) to be prevailing in the locality with
respect to such trades;
(B) For laborers and mechanics employed in carrying out nonroutine
maintenance in the program, the HUD-determined prevailing wage rate. As
used in paragraph (a) of this section, nonroutine maintenance means
work items that ordinarily would be performed on a regular basis in the
course of upkeep of a property, but have become substantial in scope
because they have been put off, and that involve expenditures that
would otherwise materially distort the level trend of maintenance
expenses. Nonroutine maintenance may include replacement of equipment
and materials rendered unsatisfactory because of normal wear and tear
by items of substantially the same kind. Work that constitutes
reconstruction, a substantial improvement in the quality or kind of
original equipment and materials, or remodeling that alters the nature
or type of housing units is not nonroutine maintenance.
(ii) The employment of laborers and mechanics is subject to the
provisions of the Contract Work Hours and Safety Standards Act (40
U.S.C. 327-333).
(2) The provisions of paragraph (a)(1) of this section shall not
apply to labor contributed under the following circumstances:
(i) Upon the request of any resident management corporation, HUD
may, subject to applicable collective bargaining agreements, permit
residents (for purposes of the Public Housing Program, residents of a
program managed by the resident management corporation) to volunteer a
portion of their labor.
(ii) An individual may volunteer to perform services if:
(A) The individual does not receive compensation for the voluntary
services, or is paid expenses, reasonable benefits, or a nominal fee
for voluntary services; and
(B) Is not otherwise employed at any time in the work subject to
paragraphs (a)(1)(i)(A) or (a)(1)(i)(B) of this section.
(b) Flood insurance. Grants will not be awarded for proposed
activities that involve acquisition, construction, reconstruction,
repair or improvement of a building or mobile home located in an area
that has been identified by the Federal Emergency Management Agency
(FEMA) as having special flood hazards unless:
(1) The community in which the area is situated is participating in
the National Flood Insurance Program in accordance with 44 CFR parts 59
through 79; or
(2) Less than a year has passed since FEMA notification to the
community regarding such hazards; and
[[Page 13993]]
(3) Flood insurance on the structure is obtained in accordance with
section 102(a) of the Flood Disaster Protection Act of 1973 (42 U.S.C.
4001).
(c) Lead-based paint. The provisions of section 302 of the Lead-
Based Paint Poisoning Prevention Act, 42 U.S.C. 4821-4846, and
implementing regulations in 24 CFR part 965, subpart H apply to
activities under these programs as set out in this paragraph (c).
Paragraph (c) of this section is promulgated pursuant to the authority
granted in 24 CFR 35.24(b)(4) and supersedes, with respect to all
housing to which it applies, the requirements (not including
definitions) prescribed by subpart C of 24 CFR part 35.
(1) Applicability. The provisions of paragraph (c) of this section
shall apply to all developments constructed or substantially
rehabilitated before January 1, 1978, and for which assistance under
this part is being used for physical improvements to enhance security
under Sec. 761.15(b)(3).
(2) Definitions. The term ``applicable surfaces'' means all intact
and nonintact interior and exterior painted surfaces of a residential
structure.
(3) Exceptions. The following activities are not covered by this
section:
(i) Installation of security devices;
(ii) Other similar types of single-purpose programs that do not
involve physical repairs or remodeling of applicable surfaces of
residential structures; or
(iii) Any non-single-purpose rehabilitation that does not involve
applicable surfaces and that does not exceed $3,000 per unit.
(d) Conflicts of interest. In addition to the conflict of interest
requirements in 24 CFR part 85 for the Public Housing Program, no
person, as described in paragraphs (d)(1) and (d)(2) of this section,
may obtain a personal or financial interest or benefit from an activity
funded under these drug elimination programs, or have an interest in
any contract, subcontract, or agreement with respect thereto, or the
proceeds thereunder, either for him or herself or for those with whom
he or she has family or business ties, during his or her tenure, or for
one year thereafter:
(1) Who is an employee, agent, consultant, officer, or elected or
appointed official of the grantee, that receives assistance under the
program and who exercises or has exercised any functions or
responsibilities with respect to assisted activities; or
(2) Who is in a position to participate in a decisionmaking process
or gain inside information with regard to such activities.
(e) For IHAs, Sec. 950.115 of this title, ``Applicability of civil
rights requirements,'' and Sec. 950.120 of this title, ``Compliance
with other Federal requirements,'' apply and control to the extent they
may differ from other requirements of this section;
(f) Indian preference. For purposes of the Public Housing Program,
applicants are subject to the Indian Civil Rights Act (24 U.S.C. 1301),
the provisions of section 7(b) of the Indian Self-Determination and
Education Assistance Act (25 U.S.C. 450e(b)), and the Indian preference
rules in the IHA procurement regulations at 24 CFR 950, subpart B.
These provisions require that, to the greatest extent feasible,
preference and opportunities for training and employment be given to
Indians, and that preference in the award of subcontracts and subgrants
be given to Indian Organizations and Indian Owned Economic Enterprises.
(g) Intergovernmental Review. The requirements of Executive Order
12372 (3 CFR, 1982 Comp., p. 197) and the regulations issued under the
Order in 24 CFR part 52, to the extent provided by Federal Register
notice in accordance with 24 CFR 52.3, apply to these programs.
PART 961--[REMOVED]
4. Part 961 is removed.
Dated: March 15, 1996.
Henry G. Cisneros,
Secretary.
[FR Doc. 96-7272 Filed 3-27-96; 8:45 am]
BILLING CODE 4210-32-P
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