issue-1996-07-30•Federal Register final rules — 1996-07-30
Federal Register final rules — 1996-07-30
issue-1996-07-30Federal Register final rules — 1996-07-30Regulation
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. 96-19334 Fisheries of the Exclusive Economic Zone Off Alaska; Delay of the Pollock Season
[Federal Register Volume 61, Number 147 (Tuesday, July 30, 1996)]
[Rules and Regulations]
[Pages 39601-39602]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-19334]
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
50 CFR Part 679
[Docket No. ; I.D. 052896A]
RIN 0648-A158
Fisheries of the Exclusive Economic Zone Off Alaska; Delay of the
Pollock Season
AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and
Atmospheric Administration (NOAA), Commerce.
ACTION: Final rule.
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SUMMARY: NMFS is delaying from August 15 to September 1 of each fishing
year, the opening of the second (non-roe) directed fishing season for
pollock in the Bering Sea and Aleutian Islands management area (BSAI).
NMFS is also prohibiting vessels from participating in the directed
pollock fishery for 7 days after the September 1 opening if the vessel
participated in any of the directed groundfish fisheries in the Gulf of
Alaska (GOA) or in the BSAI during any portion of the 7-day period
prior to the September 1 opening. This action is necessary to allow
some pollock processor vessels and shoreside processing plants to more
fully realize potential salmon processing opportunities, particularly
for late-run pink salmon. This action is intended to further the
objectives of the Fishery Management Plan for the Groundfish Fishery of
the Bering Sea and Aleutian Island Area (FMP).
EFFECTIVE DATE: August 15, 1996.
ADDRESSES: Copies of the environmental assessment/regulatory impact
review/final regulatory flexibility analysis (EA/RIR/FRFA) prepared for
the original 1993 non-roe season delay or the supplemental EA/RIR
prepared for this action may be obtained from the North Pacific Fishery
Management Council, 605 West 4th Ave., Suite 306, Anchorage, AK 99510-
2252; telephone: 907-271-2809.
FOR FURTHER INFORMATION CONTACT: Kaja Brix, 907-586-7228.
SUPPLEMENTARY INFORMATION:
Fishing for groundfish by U.S. vessels in the exclusive economic
zone of the BSAI is managed by NMFS according to the FMP. The FMP was
prepared by the North Pacific Fishery Management Council (Council)
under the Magnuson Fishery Conservation and Management Act (Magnuson
Act) and is implemented by regulations that appear at 50 CFR part 679.
Under regulations at Sec. 679.20(a)(5)(i)(A), the initial total
allowable catch (TAC) amounts specified for pollock in the BSAI
subareas and the Bogoslof District are divided into two seasonal
allowances. Subject to other regulatory provisions, the first seasonal
allowance is available for directed fishing from January 1 until noon,
A.l.t., April 15 (the roe or ``A'' season). The second seasonal
allowance is available for directed fishing from noon A.l.t., August 15
through the end of the fishing year (the non-roe or ``B'' season). NMFS
annually apportions the initial pollock TACs between the roe and non-
roe seasons after consultation with the Council during the annual
groundfish TAC specification process set forth at Sec. 679.20(a).
Recent high abundance of Alaska pink salmon, as well as poor salmon
market conditions, have caused renewed interest by the salmon industry
and groundfish processors to explore opportunities for new salmon
product types and markets. This interest prompted the Council to
recommend a delay in the opening date of the pollock non-roe season
from August 15 to September 1 to provide pollock processors the
opportunity to participate in the processing operations for late-run
pink salmon. A proposed rule to implement the Council's recommendation
was published in the Federal Register on June 12, 1996 (61 FR 29726).
Public comment was invited through July 8, 1996. No letters of comment
were received. No changes to the proposed rule are made in the final
rule, except to incorporate the regulatory format into the new
consolidated regulations governing the fisheries in Federal waters off
Alaska (50 CFR part 679).
This rule annually delays the opening of the pollock non-roe season
until September 1 for both the inshore and the offshore components,
with a fixed season ending date of November 1 of each year. Vessels
participating in the Community Development Quota (CDQ) directed pollock
fishery are exempt from the season ending date restriction. This final
rule also prohibits a vessel from participating in the directed pollock
fishery during the 7 days after the September 1 opening (i.e., from
noon A.l.t. September 1 until noon A.l.t. September 8) if the vessel
participated in any groundfish fishery in either the BSAI or the GOA
during any portion of the 7-day period prior to the opening of the
pollock non-roe season (i.e., from noon A.l.t., August 25 until noon,
September 1, A.l.t.). Vessels participating in the directed CDQ
[[Page 39602]]
pollock fishery are exempt from this prohibition.
Further justification for each of the measures implemented under
the final rule is discussed in the preamble to the proposed rule.
Classification
The Director, Alaska Region, NMFS, determined that this final rule
is necessary for the conservation and management of the BSAI fisheries
and that it is consistent with the Magnuson Act and other applicable
laws.
The Council prepared an FRFA as part of the RIR prepared for the
1993 delay of the non-roe season to August 15. A copy of this analysis
as well as the supplemental analysis prepared by the Council for the
season delay to September 1 is available from the Council (see
ADDRESSES).
An informal consultation under the Endangered Species Act was
initiated for this action on April 30, 1996. As a result of the
informal consultation, the Regional Director determined that fishing
activities conducted under this rule are not likely to adversely affect
endangered or threatened species or critical habitat.
The Assistant Administrator for Fisheries, NOAA (AA), has
determined, under the authority of 5 U.S.C. 553(d)(3), that good cause
exists to waive a portion of the 30-day delayed effectiveness period
for this rule. The AA finds that it is contrary to the public interest
to delay the effectiveness of this rule for 30 days because it conveys
a benefit to the fishing industry that would be denied it if the
opening of the fishery were not delayed from August 15. By delaying the
start of the fishery on August 15, processors will be able process pink
salmon during a time when they otherwise would be processing pollock.
Waiving a portion of the delayed effectiveness period and making this
action effective August 15 will allow certain processors to provide a
different market for pink salmon products and more fully utilize
available pink salmon resources, which will increase the economic value
of pink salmon. Once pink salmon processing has concluded, these
processors will be able to commence pollock production at the same time
as other processors that might not participate in pink salmon
production. If part of the delayed effectiveness period were not
waived, the pollock season would start on August 15, and then close
shortly thereafter when the 30-day delayed effectiveness period
expired. Such an abrupt opening and subsequent closure would be costly
to the industry and confusing as well. In addition, some processors
could be denied the opportunity to process pink salmon unless they
decided to forego some opportunities to process pollock, which is an
unlikely even because the pollock resource is more valuable.
The AA also finds that it is unnecessary to delay the effectiveness
of this rule for 30 days because based on public testimony before the
Council, the pollock and salmon industries already anticipate a delay
in the opening of the pollock fishery from August 15 to September 1 and
have planned accordingly.
This final rule has been determined to be not significant for
purposes of E.O. 12866.
List of Subjects in 50 CFR Part 679
Fisheries, Reporting and recordkeeping requirements
Dated: July 25, 1996.
Charles Karnella,
Acting Deputy Assistant Administrator for Fisheries, National Marine
Fisheries Service.
For the reasons set out in the preamble, 50 CFR part 679 is amended
as follows:
PART 679--FISHERIES OF THE EXCLUSIVE ECONOMIC ZONE OFF ALASKA
1. The authority citation for part 679 continues to read as
follows:
Authority: 16 U.S.C. 773 et seq., 1801 et seq.
2. In Sec. 679.20, paragraph (a)(5)(i)(A) is revised to read as
follows:
Sec. 679.20 General limitations.
(a) * * *
(5) * * *
(i) * * *
(A) Seasonal allowances. The TAC of pollock in each subarea or
district of the BSAI will be divided, after subtraction of reserves,
into two allowances. The first allowance will be available for directed
fishing from 0001 hours Alaska local time (A.l.t.) January 1 through
1200 hours, A.l.t. , April 15. The second allowance will be available
for directed fishing from 1200 hours, A.l.t., September 1 through 1200
hours A.l.t., November 1, of each fishing year. Within any fishing
year, unharvested amounts of the first allowance will be added to the
second allowance, and harvests in excess of the first allowance will be
deducted from the second allowance.
* * * * *
3. In Sec. 679.23, paragraph (e)(2) is revised, paragraph (e)(3)
and paragraph (e)(4)(iii) are removed, and paragraph (e)(4) is
redesignated as paragraph (e)(3) to read as follows:
Sec. 679.23 Seasons.
* * * * *
(e) * * *
(2) Directed fishing for pollock. (i) Subject to other provisions
of this part, and except as provided in paragraphs (e)(2)(ii) and
(e)(2)(iii) of this section, directed fishing for pollock is authorized
from 0001 hours, A.l.t., January 1, through 1200 hours, A.l.t, April
15, and from 1200 hours A.l.t., September 1, through 1200 hours A.l.t,
November 1, of each fishing year.
(ii) Applicable through December 31, 1998. (A) Subject to other
provisions of this part and except as provided in paragraphs
(e)(2)(ii)(B) and (e)(2)(ii)(C) of this section, directed fishing for
pollock by the offshore component, defined at Sec. 679.2 of this part,
or by vessels delivering pollock to the offshore component, is
authorized from 1200 hours A.l.t., January 26, through 1200 hours
A.l.t., April 15.
(B) Directed fishing for pollock by the offshore component, or
vessels delivering pollock to the offshore component is prohibited
through 1200 hours, A.l.t., February 5, for those vessels that are used
to fish prior to 1200 hours, A.l.t., January 26, for groundfish in the
BSAI, groundfish in the GOA, as defined at Sec. 679.2, or king or
Tanner crab in the BSAI, as defined at Sec. 679.2.
(C) Neither paragraphs (e)(2)(ii)(B) nor (e)(2)(iii) of this
section apply to vessels used to fish exclusively in a directed fishery
for pollock prior to 1200 hours, A.l.t., January 26, or during the
period that extends from 1200 hours, A.l.t., August 25, through 1200
hours A.l.t., September 1, under the Western Alaska Community
Development Quota program pursuant to subpart C and
Sec. 679.23(e)(2)(ii)(D) of this section.
(D) Directed fishing for pollock under the Western Alaska Community
Development Quota program pursuant to subpart C of this part is
authorized from 0001 hours A.l.t, January 1, through the end of the
fishing year.
(iii) Directed fishing for pollock is prohibited during the second
pollock season defined at paragraph (e)(2)(i) of this section through
1200 hours, A.l.t., September 8, for any vessel that is used to fish
with trawl gear for groundfish in the BSAI or the GOA as defined at
Sec. 679.2 of this part, between 1200 hours A.l.t., August 25, and 1200
hours A.l.t., September 1.
* * * * *
[FR Doc. 96-19334 Filed 7-25-96; 4:20 pm]
BILLING CODE 3510-22-F
Complete official Federal Register PDF
FR Doc. 96-19321 Environmental Review for Renewal of Nuclear Power Plant Operating Licenses; Correction
[Federal Register Volume 61, Number 147 (Tuesday, July 30, 1996)]
[Rules and Regulations]
[Pages 39555-39556]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-19321]
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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.
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Federal Register / Vol. 61, No. 147 / Tuesday, July 30, 1996 / Rules
and Regulations
[[Page 39555]]
NUCLEAR REGULATORY COMMISSION
10 CFR Part 51
RIN 3150-AD63
Environmental Review for Renewal of Nuclear Power Plant Operating
Licenses; Correction
AGENCY: Nuclear Regulatory Commission.
ACTION: Final rule: Correction.
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SUMMARY: This document corrects a final rule appearing in the Federal
Register on June 5, 1996 (61 FR 28467), that establishes new
requirements for the environmental review of applications to renew the
operating licenses of nuclear power plants. This action is necessary to
restore text that was inadvertently omitted in the printing process and
to provide a specific publication date for a related issuance.
DATES: Absent a determination by the NRC that the rule should be
modified, based on comments received, the final rule should be
effective on September 5, 1996. The new comment period expires August
5, 1996.
ADDRESSES: Send comments to: The Secretary of the Commission, U.S.
Nuclear Regulatory Commission, Washington, DC 20555-0001, Attention:
Docketing and Service Branch, or hand deliver comments to the Office of
the Secretary, One White Flint North, 11555 Rockville Pike, Rockville,
Maryland, between 7:30 am and 4:15 pm on Federal workdays. Copies of
comments received and all documents cited in the supplementary
information section of 61 FR 28467 may be examined at the NRC Public
Document Room, 2120 L Street NW, (Lower Level) Washington, DC, between
the hours of 2:45 p.m. and 4:15 p.m. on Federal workdays.
FOR FURTHER INFORMATION CONTACT: Donald P. Cleary, Office of Nuclear
Regulatory Research, U.S. Nuclear Regulatory Commission, Washington, DC
20555-0001, telephone: (301) 415-6263; e-mail [email protected]
1. On page 28483, second paragraph, line 9, the text in parentheses
(xxxx 1996) should read (May 1996).
2. On page 28484, in (B)(2), second paragraph, last line, the text
in parentheses (xxxx 1996) should read (May 1996).
Sec. 51.95 [Corrected]
3. On page 28489, in Sec. 51.95(c), last line, the text in
parentheses (xxxx 1996) should read (May 1996).
Appendix B [Corrected]
4. On page 28492, in Table B-1 under the heading ``Ground-water Use
and Quality,'' insert the following text beneath the fourth and last
issue.
Ground-Water Use and Quality
----------------------------------------------------------------------------------------------------------------
Issue Category Findings \3\
-------------------------------------------------\2\------------------------------------------------------------
Ground-water use conflicts (Ranney wells).. 2 SMALL, MODERATE, OR LARGE. Ranney wells can result in
potential ground-water depression beyond the site
boundary. Impacts of large ground-water withdrawal
for cooling tower makeup at nuclear power plants
using Ranney wells must be evaluated at the time of
application for license renewal. See Sec.
51.53(c)(3)(ii)(C).
Ground-water quality degradation (Ranney 1 SMALL. Ground-water quality at river sites may be
wells). degraded by induced infiltration of poor-quality
river water into an aquifer that supplies large
quantities of reactor cooling water. However, the
lower quality infiltrating water would not preclude
the current uses of ground water and is not expected
to be a problem during the license renewal term.
Ground-water quality degradation (saltwater 1 SMALL. Nuclear power plants do not contribute
intrusion). significantly to saltwater intrusion) intrusion.
Ground-water quality degradation (cooling 1 SMALL. Sites with closed-cycle cooling ponds may
ponds in salt marshes). degrade ground-water quality.Because water in salt
marshes is brackish, this is not a concern for plants
located in salt marshes.
Ground-water quality degradation (cooling 2 SMALL, MODERATE, OR LARGE. Sites with closed-cycle
ponds at inland sites). cooling ponds may degrade ground-water quality. For
plants located inland, the quality of the ground
water in the vicinity of the ponds must be shown to
be adequate to allow continuation of current uses.
See Sec. 51.53(c)(3)(ii)(D).
* * * * * *
*
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Note: Footnote at end of table.
[[Page 39556]]
5. On page 28496, in Footnote 1, the text in parentheses (xxxx
1996) should read May 1996.
Dated at Rockville, MD, this 3rd day of July, 1996.
For the Nuclear Regulatory Commission.
Michael T. Lesar,
Chief, Rules Review Section, Rules Review and Directives Branch.
[FR Doc. 96-19321 Filed 7-29-96; 8:45 am]
BILLING CODE 7590-01-P
Complete official Federal Register PDF
FR Doc. 96-19309 Revision of Patent Fees for Fiscal Year 1997
[Federal Register Volume 61, Number 147 (Tuesday, July 30, 1996)]
[Rules and Regulations]
[Pages 39585-39592]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-19309]
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DEPARTMENT OF COMMERCE
Patent and Trademark Office
37 CFR Part 1
[Docket No. 960417113-6186-02]
RIN 0651-AA82
Revision of Patent Fees for Fiscal Year 1997
AGENCY: Patent and Trademark Office, Commerce.
ACTION: Notice of final rulemaking.
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SUMMARY: The Patent and Trademark Office (PTO) is amending the rules of
practice in patent cases to adjust certain patent fee amounts to
reflect fluctuations in the Consumer Price Index (CPI) and to recover
costs of operation.
EFFECTIVE DATE: October 1, 1996.
FOR FURTHER INFORMATION CONTACT:
Robert Harris by telephone at (703) 305-8510, fax at (703) 305-8525, e-
mail at [email protected], or by mail marked to his attention and
addressed to the U.S. Patent and Trademark Office, Office of Planning
and Evaluation, Crystal Park 1, Suite 1107, Washington, DC 20231.
SUPPLEMENTARY INFORMATION: This rule change is designed to adjust PTO
fees in accordance with the applicable provisions of title 35, United
States Code; and section 10101 of the Omnibus Budget Reconciliation Act
of 1990 (as amended by section 8001 of Public Law 103-66), all as
amended by the Patent and Trademark Office Authorization Act of 1991
(Public Law 102-204).
Background
Statutory Provisions
Patent fees are authorized by 35 U.S.C. 41 and 35 U.S.C. 376, A
fifty percent reduction in the fees paid under 35 U.S.C. 41(a) and (b)
by independent inventors, small business concerns, and nonprofit
organizations who meet prescribed definitions is required by 35 U.S.C.
41(h).
Subsection 41(f) of title 35, United States Code, provides that
fees established under 35 U.S.C. 41(a) and (b) may be adjusted on
October 1, 1992, and every year thereafter, to reflect fluctuations in
the Consumer Price Index (CPI) over the precious 12 months.
Section 10101 of the Omnibus Budget Reconciliation Act of 1990
(amended by
[[Page 39586]]
section 8001 of Public Law 103-66) provides that there shall be a
surcharge on all fees established under 35 U.S.C. 41(a) and (b) to
collect $115 million in fiscal year 1997.
Subsection 41(d) of title 35, United States Code, authorizes the
Commissioner to establish fees for all other processing, services, or
materials related to patents to recover the average cost of providing
these services or materials, except for the fees for recording a
document affecting title, for each photocopy, and for each black and
white copy of a patent.
Section 376 of title 35, United States Code, authorizes the
Commissioner to set fees for patent applications filed under the patent
Cooperation Treaty (PCT).
Subsection 41(g) of title 35, United States Code, provides that new
fee amounts established by the Commissioner under section 41 may take
effect thirty days after notice in the Federal Register and the
Official Gazette of the Patent and Trademark Office.
Recovery Level Determinations
This rule adjusts patent fees for a planned recovery of
$716,723,000 in fiscal year 1997, as proposed in the Administration's
budget request to the Congress.
The patent statutory fees established by 35 U.S.C. 41(a) and (b)
will be adjusted on October 1, 1996, to reflect any fluctuations
occurring during the previous 12 months in the Consumer Price Index for
all urban consumers (CPI-U). In calculating these fluctuations, the
Office of Management and Budget (OMB) has determined that the PTO
should use CPI-U data as determined by the Secretary of Labor. However,
the Department of Labor does not make public the CPI-U until
approximately 21 days after the end of the month being calculated.
Therefore, the latest CPI-U information available is for the month of
June 1996. In accordance with previous rulemaking methodology, the PTO
uses the Administration's projected CPI-U for the 12-month period
ending September 30, 1996, which is 3.1 percent. Based on this
projection, patent statutory fees will be adjusted by 3.1 percent.
Before the final fee schedule is published, the fees may be adjusted
slightly based on updated available from the Department of Labor.
Certain non-statutory patent processing fees established under 35
U.S.C. 41(d) and PCT processing fees established under 35 U.S.C. 376
will be adjusted to recover their estimated average costs in fiscal
year 1996. Three patent service fees that are set by statue will not be
adjusted. The three fees that are not being adjusted are assignment
recording fees, printed patent copy fees and photocopy charge fees.
The final fee amounts were rounded by applying standard arithmetic
rules so that the amounts rounded would be convenient to the user. Fees
of $100 or more were rounded to the nearest $10. Fees between $2 and
$99 were rounded to an even number so that any comparable small entity
fee would be a whole number.
Workload Projections
Determination of workloads varies by fee. Principal workload
projection techniques are as follows:
Patent application workloads are projected from statistical
regression models using recent application filing trends. Patent issues
are projected from an in-house patent production model and reflect
examiner production achievements and goals. Patent maintenance fee
workloads utilize patents issued 3.5, 7.5 and 11.5 years prior to
payment and assume payment rates of 79 percent, 55 percent and 32
percent, respectively. Service fee workloads follow linear trends from
prior years' activities.
General Procedures
Any fee amount that is paid on or after the effective date of the
fee increase would be subject to the new fees then in effect. For
purposes of determining the amount of the fee to be paid, the date of
mailing indicated on a proper Certificate of Mailing or Transmission,
where authorized under 37 CFR 1.8, will be considered to be the date of
receipt in the PTO. A Certificate of Mailing or Transmission under
Section 1.8 is not proper for items which are specifically excluded
from the provisions of Section 1.8 Section 1.8 should be consulted for
those items for which a Certificate of Mailing or Transmission is not
proper. Such items include, inter alia, the filing of national and
international applications for patents and the filing of trademark
applications. However, the provisions of 37 CFR 1.10 relating to filing
papers and fees with an ``Express Mail'' certificate do apply to any
paper or fee (including patent and trademark applications) to be filed
in the PTO. If an application or fee is filed by ``Express Mail'' with
a proper certificate dated on or after the effective date of the rules,
as amended, the amount of the fee to be paid would be the fee
established by the amended rules.
In order to ensure clarity in the implementation of the new fees, a
discussion of specific sections is set forth below.
Discussion of Specific Rules
37 CFR 1.16 National Application Filing Fees
Section 1.16, paragraphs (a), (b), (d), and (f) through (i), is
revised to adjust fees established therein to reflect fluctuations in
the CPI. Further, section 1.16, is revised to remove the undesignated
text following paragraph (d), and add a new paragraph (k) including the
provisions of such deleted undesignated text. In addition, Sec. 1.16(k)
is also applicable to any additional fees required by Secs. 1.16 (i)
and (j).
37 CFR 1.17 Patent Application Procession Fees
Section 1.17, paragraphs (b) through (g), (m), (r) and (s), is
revised to adjust fees established therein to reflect fluctuations in
the CPI.
Section 1.17, paragraphs (j) and (n) through (p), is revised to
adjust fees established therein to recover costs.
37 CFR 1.18 Patent Issue Fees
Section 1.18, paragraphs (a) through (c), is revised to adjust fees
established therein to reflect fluctuations in the CPI.
37 CFR 1.20 Post-Issuance Fees
Section 1.20, paragraphs (c), (i), and (j), is revised to adjust
fees established therein to recover costs.
Section 1.20, paragraphs (e) through (g), is revised to adjust fees
established therein to reflect fluctuations in the CPI.
37 CFR 1.21 Miscellaneous Fees and Charges
Section 1.21, paragraph (a)(1), is revised to establish a non-
refundable applications fee which reflects the costs of processing an
application for the registration examination. Currently, the PTO
evaluates and processes the applications of individuals who do not
qualify for admission or those who withdraw from the examination, but
generally refunds the examination fee to such applicants. Thus, other
fee payers bear the costs of this evaluation and processing. This
amendment will shift the expense of evaluating applications to all
applicants. In order to offset the application fee, the examination fee
will be slightly decreased.
Section 1.21, paragraph (a)(3) and (a)(6), is revised to adjust
fees established therein to recover costs.
37 CFR 1.445 International Application Filing, Processing, and Search
Fees
Section 1.445, paragraph (a), is revised to adjust the fees
authorized by
[[Page 39587]]
35 U.S.C. 376 to recover costs and reflect current business practices.
37 CFR 1.482 International Preliminary Examination Fees
Section 1.482, paragraphs (a)(1)(i), (a)(1)(ii), and (a)(2)(ii), is
revised to adjust the fees authorized by 35 U.S.C. 376 to recover
costs.
37 CFR 1.492 National Stage Fees
Section 1.492, paragraphs (a), (b) and (d), is revised to adjust
fees established therein to reflect fluctuations in the CPI.
Response to Comments on the Rules
A notice of proposed rulemaking to adjust patent fee amounts was
published in the Federal Register on May 1, 1996, at 61 FR 19224 and
the Office Gazette of the United States Patent and Trademark Office on
May 7, 1996, at 1186 OG 14.
A public hearing was held on June 5, 1996. Two comments were
received and considered in adopting the rules set forth herein. No oral
testimony was presented.
Comment: One respondent stated that the PTO should not adjust
patent fee amounts using the U.S. Department of Labor's Consumer Price
Index (CPI). The respondent stated that the CPI does not reflect a true
or accurate index of increasing consumer prices.
Response: The PTO is required by law to base its inflationary fee
increases on fluctuations in the CPI over the 12 months prior to the
effective date of the fee increase. However, if the Department of Labor
modifies the definition or changes the method of calculating the
Consumer Price Index for all urban consumers (CPI-U), which is the
version of the CPI that OMB has determined the PTO should use, future
PTO inflationary fee increases could be based on the revised index.
Comment: One respondent stated that the patent extension fees set
in 37 CFR 1.17 (a) through (d) should be reduced by at least 50 percent
for patent applications filed on or after June 8, 1995.
Response: Patent extension fees were set in statute by Congress in
1982 with the enactment of Public Law 97-247. The PTO does not have the
authority to offer a 50 percent discount for all patent applications
filed on or after June 8, 1995.
Other Considerations
This rulemaking contains no information collection within the
meaning of the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq.
This rule has been determined to be not significant for purposes of
Executive Order 12866. The PTO has determined that this rule change has
no Federalism implications affecting the relationship between the
National Government and the States as outlined in Executive Order
12612.
The Assistant General Counsel for Legislation and Regulation of the
Department of Commerce has certified to the Chief Counsel for Advocacy,
Small Business Administration, that the rule change will not have a
significant impact on a substantial number of small entities
(Regulatory Flexibility Act, 5 U.S.C. 605(b)). The rule change
increases fees to reflect the change in the CPI as authorized by 35
U.S.C. 41(f). Further, the principal impact of the major patent fees
has already been taken into account in 35 U.S.C. 41(h), which provides
small entities with a 50-percent reduction in the major patent fees.
A comparison of existing and new fee amounts is included as an
Appendix to this notice of final rulemaking.
Lists of Subjects in 37 CFR Part 1
Administrative practice and procedure, Inventions and patents,
Reporting and recordkeeping requirements, Small businesses.
For the reasons set forth in the preamble, the PTO is amending
title 37 of the Code of Federal Regulations, part 1, as set forth
below.
PART 1--RULES OF PRACTICE IN PATENT CASES
1. The authority citation for 37 CFR part 1 continues to read as
follows:
Authority: 35 U.S.C. 6, unless otherwise noted.
2. Section 1.16 is amended by revising paragraphs (a), (b), (d),
(f) through (i), and adding a new paragraph (m) before the note to read
as follows:
Sec. 1.16 National application filing fees.
(a) Basic fee for filing each application for an original patent,
except provisional, design or plant applications:
By a small entity (Sec. 1.9(f))--$385.00
By other than a small entity--$770.00
(b) In addition to the basic filing fee in an original application,
except provisional applications, for filing or later presentation of
each independent claim in excess of 3:
By a small entity (Sec. 1.9(f))--$40.00
By other than a small entity--$80.00
* * * * *
(d) In addition to the basic filing fee in an original application,
except provisional applications, if the application contains, or is
amended to contain, a multiple dependent claim(s), per application:
By a small entity (Sec. 1.9(f))--$130.00
By other than a small entity--$260.00
* * * * *
(f) Basic fee for filing each design application
By a small entity (Sec. 1.9(f))--$160.00
By other than a small entity--$320.00
(g) Basic fee for filing each plant application, except provisional
applications:
By a small entity (Sec. 1.9(f))--$265.00
By other than a small entity--$530.00
(h) Basic fee for filing each reissue application:
By a small entity (Sec. 1.9(f))--$385.00
By other than a small entity--$770.00
(i) In addition to the basic filing fee in a reissue application, for
filing or later presentation of each independent claim which is in
excess of the number of independent claims in the original patent:
By a small entity (Sec. 1.9(f))--$40.00
By other than a small entity--$80.00
* * * * *
(m) If the additional fees required by paragraphs (b), (c), (d), (i)
and (j) of this section are not paid on filing or on later presentation
of the claims for which the additional fees are due, they must be paid
or the claims must be canceled by amendment, prior to the expiration of
the time period set for rely by the Office in any notice of fee
deficiency.
* * * * *
3. Section 1.17 is amended by revising paragraphs (b) through (g),
(j), (m) through (p), (r), and (s) to read as follows:
Sec. 1.17 Patent application processing fees.
* * * * *
(b) Extension fee for response within second month pursuant to
Sec. 1.136(a):
By a small entity (Sec. 1.9(f))--$195.00
By other than a small entity--$390.00
(c) Extension fee for response within third month pursuant to
Sec. 1.136(a):
By a small entity (Sec. 1.9(f))--$465.00
By other than a small entity--$930.00
(d) Extension fee for response within fourth month pursuant to
Sec. 1.136(a):
By a small entity (Sec. 1.9(f))--$735.00
By other than a small entity--$1,470.00
(e) For filing a notice of appeal from the examiner to the Board of
Patent Appeals and Interferences:
By a small entity (Sec. 1.9(f))--$150.00
By other than a small entity--$300.00
(f) In addition to the fee for filing a notice of appeal, for filing a
brief in support of an appeal:
[[Page 39588]]
By a small entity (Sec. 1.9(f))--$150.00
By other than a small entity--$300.00
(g) For filing a request for an oral hearing before the Board of Patent
Appeals and Interferences in an appeal under 35 U.S.C. 134:
By a small entity (Sec. 1.9(f))--$130.00
By other than a small entity--$260.00
* * * * *
(j) For filing a petition to institute a public use proceeding under
Sec. 1.292--$1,470.00
* * * * *
(m) For filing a petition:
(1) For revival of an unintentionally abandoned application, or
(2) For the unintentionally delayed payment of the fee for issuing a
patent:
By a small entity (Sec. 1.9(f))--$645.00
By other than a small entity--$1,290.00
(n) For requesting publication of a statutory invention registration
prior to the mailing of the first examiner's action pursuant to
Sec. 1.104--$900.00 reduced by the amount of the application basic
filing fee paid.
(o) For requesting publication of a statutory invention registration
after the mailing of the first examiner's action pursuant to
Sec. 1.104--$1,790.00 reduced by the amount of the application basic
filing fee paid.
(p) For submission of an information disclosure statement under
Sec. 1.97(c)--$230.00
* * * * *
(r) For entry of a submission after final rejection under
Sec. 1.129(a):
By a small entity (Sec. 1.9(f))--$385.00
By other than a small entity--$770.00
(s) For each additional invention requested to be examined under
Sec. 1.129(b):
By a small entity (Sec. 1.9(f))--$385.00
By other than a small entity--$770.00
4. Section 1.18 is revised to read as follows:
Sec. 1.18 Patent issue fees.
(a) Issue fee for issuing each original or reissue patent, except a
design or plant patent:
By a small entity (Sec. 1.9(f))--$645.00
By other than a small entity--$1,290.00
(b) Issue fee for issuing a design patent:
By a small entity (Sec. 1.9(f))--$220.00
By other than a small entity--$440.00
(c) Issue fee for issuing a plant patent:
By a small entity (Sec. 1.9(f))--$325.00
By other than a small entity--$650.00
5. Section 1.20 is amended by revising paragraphs (c), (e) through
(g), (i)(1), (i)(2), and (j)(1) through (j)(3) to read as follows:
Sec. 1.20 Post issuance fees.
* * * * *
(c) For filing a request for reexamination (Sec. 1.510(a))--$2,460.00
* * * * *
(e) For maintaining an original or reissue patent, except a design or
plant patent, based on an application filed on or after December 12,
1980, in force beyond four years; the fee is due by three years and six
months after the original grant:
By a small entity (Sec. 1.9(f))--$510.00
By other than a small entity--$1,020.00
(f) For maintaining an original or reissue patent, except a design or
plant patent, based on an application filed on or after December 12,
1980, in force beyond eight years; the fee is due by seven years and
six months after the original grant:
By a small entity (Sec. 1.9(f))--$1,025.00
By other than a small entity--$2,050.00
(g) For maintaining an original or reissue patent, except a design or
plant patent, based on an application filed on or after December 12,
1980, in force beyond twelve years; the fee is due by eleven years and
six months after the original grant:
By a small entity (Sec. 1.9(f))--$1,540.00
By other than a small entity--$3,080.00
* * * * *
(i) * * *
(1) Unavoidable--$680.00
(2) Unintentional--$1,600.00
(j) * * *
(1) Application for extension under Sec. 1.740--$1,090.00
(2) Initial application for interim extension under Sec. 1.790--
$410.00
(3) Subsequent application for interim extension under Sec. 1.790--
$210.00
6. Section 1.21 is amended by revising paragraphs (a)(1), (a)(3),
and (a)(6) to read as follows:
Sec. 1.21 Miscellaneous fees and charges.
* * * * *
(a) * * *
(1) For administration to examination for registration to practice:
(i) Application Fee (non-refundable)--$40.00
(ii) Registration examination fee--$300.00
* * * * *
(3) For reinstatement to practice--$40.00
* * * * *
(6) For requesting regrading of an examination under Sec. 10.7(c):
(i) Regrading of morning section (PTO Practice and Procedure)--
$225.00
(ii) Regrading of afternoon section (Claim Drafting)--$530.00
* * * * *
7. Section 1.445 is amended by revising paragraph (a) to read as
follows:
Sec. 1.445 International application filing, processing and search
fees.
(a) The following fees and charges for international applications are
established by the Commissioner under the authority of 35 U.S.C. 376:
(1) A transmittal fee (see 35 U.S.C. 361(d) and PCT Rule 14)--
$230.00
(2) A search fee (see 35 U.S.C. 361(d) and PCT Rule 16):
(i) Where a corresponding prior United States National application
filed under 35 U.S.C. 111(a) with the filing fee under 37 CFR 1.16(a)
has been filed--$440.00
(ii) For all situations not provided for in (a)(2)(i) of this
section--$680.00
(3) A supplemental search fee when required, per additional
invention--$200.00
* * * * *
8. Section 1.482 is amended by revising paragraph (a)(1)(i),
(a)(1)(ii), and (a)(2)(ii) to read as follows:
Sec. 1.482 International preliminary examination fees.
(a) * * *
(1) * * *
(i) Where an international search fee as set forth in
Sec. 1.445(a)(2) has been paid on the international application to the
United States Patent and Trademark Office as an International Searching
Authority, a preliminary examination fee of--$480.00
(ii) Where the International Searching Authority for the
international application was an authority other than the United States
Patent and Trademark Office, a preliminary examination fee of--$730.00
(2) * * *
(ii) Where an International Search Authority for the international
application was an authority other than the United States Patent and
Trademark Office--$260.00
* * * * *
9. Section 1.492 is amended by revising paragraphs (a), (b), and
(d) to read as follows:
Sec. 1.492 National stage fees.
* * * * *
(a) The basic national fee:
(1) Where an international preliminary examination fee as set forth in
Sec. 1.482 has been paid on the international application to the
[[Page 39589]]
United States Patent and Trademark Office:
By a small entity (Sec. 1.9(f))--$350.00
By other than a small entity--$700.00
(2) Where no international preliminary examination fee as set forth in
Sec. 1.482 has been paid to the United States Patent and Trademark
Office, but an international search fee as set forth in
Sec. 1.445(a)(2) has been paid on the international application to the
United States Patent and Trademark Office as an International Searching
Authority:
By a small entity (Sec. 1.9(f))--$385.00
But other than a small entity--$770.00
(3) Where no international preliminary examination fee as set forth in
Sec. 1.482 has been paid and no international search fee as set forth
in Sec. 1.445(a)(2) has been paid on the international application to
the United States Patent and Trademark Office:
By a small entity (Sec. 1.9(f))--$520.00
But other than a small entity--$1,040.00
(4) Where an international preliminary examination fee as set forth in
Sec. 1.482 has been paid to the United States Patent and Trademark
Office and the international preliminary examination report states that
the criteria of novelty, inventive step (non-obviousness), and
industrial applicability, as defined in PCT Article 33 (1) to (4) have
been satisfied for all the claims presented in the application entering
the national stage (see Sec. 1.496(b)):
By a small entity (Sec. 1.9(f))--$48.00
But other than a small entity--$96.00
(5) Where a search report on the international application has been
prepared by the European Patent Office or the Japanese Patent Office:
By a small entity (Sec. 1.9(f))--$455.00
But other than a small entity--$910.00
(b) In addition to the basic national fee, for filing or later
presentation of each independent claim in excess of 3:
By a small entity (Sec. 1.9(f))--$40.00
But other than a small entity--$80.00
* * * * *
(d) In addition to the basic national fee, if the application contains,
or is amended to contain, a multiple dependent claim(s), per
application:
By a small entity (Sec. 1.9(f))--$130.00
By other than a small entity--$260.00
* * * * *
Dated: July 24, 1996.
Bruce A. Lehman,
Assistant Secretary of Commerce and Commissioner of Patents and
Trademarks.
Note: The following appendix will not appear in the Code of
Federal Regulations.
Appendix A--Comparison of Existing and Revised Fee Amounts
----------------------------------------------------------------------------------------------------------------
Pre-Oct
37 CFR Sec. Description 1996 Oct 1996
----------------------------------------------------------------------------------------------------------------
1.16(a)................................ Basic Filing Fee................................. $750 $770
1.16(a)................................ Basic Filing Fee (Small Entity).................. 375 385
1.16(b)................................ Independent Claims............................... 78 80
1.16(b)................................ Independent Claims (Small Entity)................ 39 40
1.16(c)................................ Claims in Excess of 20........................... 22 --
1.16(c)................................ Claims in Excess of 20 (Small Entity)............ 11 --
1.16(d)................................ Multiple Dependent Claims........................ 250 260
1.16(d)................................ Multiple Dependent Claims (Small Entity)......... 125 130
1.16(e)................................ Surcharge--Late Filing Fee....................... 130 --
1.16(e)................................ Surcharge--Late Filing Fee (Small Entity)........ 65 --
1.16(f)................................ Design Filing Fee................................ 310 320
1.16(f)................................ Design Filing Fee (Small Entity)................. 155 160
1.16(g)................................ Plant Filing Fee................................. 510 530
1.16(g)................................ Plant Filing Fee (Small Entity).................. 255 265
1.16(h)................................ Reissue Filing Fee............................... 750 770
1.16(h)................................ Reissue Filing Fee (Small Entity)................ 375 385
1.16(i)................................ Reissue Independent Claims....................... 78 80
1.16(i)................................ Reissue Independent Claims (Small Entity)........ 39 40
1.16(j)................................ Reissue Claims In Excess of 20................... 22 --
1.16(j)................................ Reissue Claims in Excess of 20 (Small Entity).... 11 --
1.16(k)................................ Provisional Application Filing Fee............... 150 --
1.16(k)................................ Provisional Application Filing Fee (Small Entity) 75 --
1.16(l)................................ Surcharge--Incomplete Provisional App. Filed..... 50 --
1.16(l)................................ Surcharge--Incomplete Provisional App. Filed 25 --
(Small Entity).
1.17(a)................................ Extension--First Month........................... 110 --
1.17(a)................................ Extension--First Month (Small Entity)............ 55 --
1.17(b)................................ Extension--Second Month.......................... 380 390
1.17(b)................................ Extension--Second Month (Small Entity)........... 190 195
1.17(c)................................ Extension--Third Month........................... 900 930
1.17(c)................................ Extension--Third Month (Small Entity)............ 450 465
1.17(d)................................ Extension--Fourth Month.......................... 1,400 1,470
1.17(d)................................ Extension--Fourth Month (Small Entity)........... 700 735
1.17(e)................................ Notice of Appeal................................. 290 300
1.17(e)................................ Notice of Appeal (Small Entity).................. 145 150
1.17(f)................................ Filing a Brief................................... 290 300
1.17(f)................................ Filing a Brief (Small Entity).................... 145 150
1.17(g)................................ Request for Oral Hearing......................... 250 260
1.17(g)................................ Request for Oral Hearing (Small Entity).......... 125 130
1.17(h)................................ Petition--Not All Inventors...................... 130 --
1.17(h)................................ Petition--Correction of Inventorship............. 130 --
1.17(h)................................ Petition--Decision on Questions.................. 130 --
1.17(h)................................ Petition--Suspend Rules.......................... 130 --
1.17(h)................................ Petition--Expedited License...................... 130 --
1.17(h)................................ Petition--Scope of License....................... 130 --
[[Page 39590]]
1.17(h)................................ Petition--Retroactive License.................... 130 --
1.17(h)................................ Petition--Refusing Maintenance Fee............... 130 --
1.17(h)................................ Petition--Refusing Maintenance Fee--Expired 130 --
Patent.
1.17(h)................................ Petition--Interference........................... 130 --
1.17(h)................................ Petition--Reconsider Interference................ 130 --
1.17(h)................................ Petition--Late Filing of Interference............ 130 --
1.20(b)................................ Petition--Correction of Inventorship............. 130 --
1.17(h)................................ Petition--Refusal to Publish SIR................. 130 --
1.17(i)................................ Petition--For Assignment......................... 130 --
1.17(i)................................ Petition--For Application........................ 130 --
1.17(i)................................ Petition--Late Priority Papers................... 130 --
1.17(i)................................ Petition--Suspend Action......................... 130 --
1.17(i)................................ Petition--Divisional Reissues to Issue Separately 130 --
1.17(i)................................ Petition--For Interference Agreement............. 130 --
1.17(i)................................ Petition--Amendment After Issue.................. 130 --
1.17(i)................................ Petition--Withdrawal After Issue................. 130 --
1.17(i)................................ Petition--Defer Issue............................ 130 --
1.17(i)................................ Petition--Issue to Assignee...................... 130 --
1.17(i)................................ Petition--Accord a Filing Date Under Sec. 1.53.. 130 --
1.17(i)................................ Petition--Accord a Filing Date Under Sec. 1.62.. 130 --
1.17(i)................................ Petition--Make Application Special............... 130 --
1.17(j)................................ Petition--Public Use Proceeding.................. 1,430 1,470
1.17(k)................................ Non-English Specification........................ 130 --
1.17(l)................................ Petition--Revive Abandoned Appl.................. 110 --
1.17(l)................................ Petition--Revive Abandoned Appl. (Small Entity).. 55 --
1.17(m)................................ Petition--Revive Unintentionally Abandoned Appl.. 1,250 1,290
1.17(m)................................ Petition--Revive Unintent Abandoned Appl. (Small 625 645
Entity).
1.17(n)................................ SIR--Prior to Examiner's Action.................. 870 900
1.17(o)................................ SIR--After Examiner's Action..................... 1,740 1,790
1.17(p)................................ Submission of an Information Disclosure Statement 220 230
(Sec. 1.97).
1.17(q)................................ Petition--Correction of Inventorship (Prov. App.) 50 --
1.17(q)................................ Petition--Accord a filing date (Prov. App.)...... 50 --
1.17(q)................................ Petition--Entry of submission after final 50 --
rejection (Prov. App.).
1.17(r)................................ Filing a submission after final rejection 750 770
(1.129(a)).
1.17(r)................................ Filing a submission after final rejection 375 385
(1.129(a)) (Small Entity.
1.17(s)................................ Per add'l invention to be examined (1.129(b)).... 730 770
1.17(s)................................ Per add'l invention to be examined (1.129(b)) 375 385
(Small Entity).
1.18(a)................................ Issue Fee........................................ 1,250 1,290
1.18(a)................................ Issue Fee (Small Entity)......................... 625 645
1.18(b)................................ Design Issue Fee................................. 430 440
1.18(b)................................ Design Issue Fee (Small Entity).................. 215 220
1.18(c)................................ Plant Issue Fee.................................. 630 650
1.18(c)................................ Plant Issue Fee (Small Entity)................... 315 325
1.19(a)(1)(i).......................... Copy of Patent................................... 3 --
1.19(a)(1)(ii)......................... Patent Copy--Overnight delivery to PTO Box or 6 --
overnight fax.
1.19(a)(1)(iii)........................ Patent Copy Ordered by Expedited Mail or Fax-- 25 --
Exp. service.
1.19(a)(2)............................. Plant Patent Copy................................ 12 --
1.19(a)(3)(i).......................... Copy of Utility Patent or SIR in Color........... 24 --
1.19(b)(1)(i).......................... Certified Copy of Patent Application as Filed.... 15 --
1.19(b)(1)(ii)......................... Certified Copy of Patent Application as Filed, 30 --
Expedited.
1.19(b)(2)............................. Cert or Uncert Copy of Patent-Related File 150 --
Wrapper/Contents.
1.19(b)(3)............................. Cert. or Uncert. Copies of Office Records, per 25 --
Document.
1.19(b)(4)............................. For Assignment Records, Abstract of Title and 25 --
Certification.
1.19(c)................................ Library Service.................................. 50 --
1.19(d)................................ List of Patents in Subclass...................... 3 --
1.19(e)................................ Uncertified Statement-Status of Maintenance Fee 10 --
Payment.
1.19(f)................................ Copy of Non-U.S. Patent Document................. 25 --
1.19(g)................................ Comparing and Certifying Copies, Per Document, 25 --
Per Copy.
1.19(h)................................ Duplicate or Corrected Filing Receipt............ 25 --
1.20(a)................................ Certificate of Correction........................ 100 --
1.20(c)................................ Reexamination.................................... 2,390 2,460
1.20(d)................................ Statutory Disclaimer............................. 110 --
1.20(d)................................ Statutory Disclaimer (Small Entity).............. 55 --
1.20(e)................................ Maintenance Fee--3.5 Years....................... 990 1,020
1.20(e)................................ Maintenance Fee--3.5 Years (Small Entity)........ 495 510
1.20(f)................................ Maintenance Fee--7.5 Years....................... 1,990 2,050
1.20(f)................................ Maintenance Fee--7.5 Years (Small Entity)........ 995 1,025
1.20(g)................................ Maintenance Fee--11.5 Years...................... 2,990 3,080
1.20(g)................................ Maintenance Fee--11.5 Years (Small (Entity)...... 1,495 1,540
1.20(h)................................ Surcharge--Maintenance Fee--6 Months............. 130 --
1.20(h)................................ Surcharge--Maintenance Fee--6 Months (Small 65 --
Entity).
1.20(i)(1)............................. Surcharge--Maintenance After Expiration-- 660 680
Unavoidable.
1.20(i)(2)............................. Surcharge--Maintenance After Expiration-- 1,550 1,600
Unintentional.
[[Page 39591]]
1.20(j)(1)............................. Extension of Term of Patent Under 1.740.......... 1,060 1,090
1.20(j)(2)............................. Initial Application for Interim Extension Under 400 410
1.790.
1.20(j)(3)............................. Subsequent Application for Interim Extension 200 210
Under 1.790.
1.21(a)(1)(i).......................... Application Fee (non-refundable)................. -- 40
1.21(a)(1)(ii)......................... Registration examination fee..................... 310 300
1.21(a)(2)............................. Registration to Practice......................... 100 --
1.21(a)(3)............................. Reinstatement to Practice........................ 15 40
1.21(a)(4)............................. Certificate of Good Standing..................... 10 --
1.21(a)(4)............................. Certificate of Good Standing, Suitable Framing... 20 --
1.21(a)(5)............................. Review of Decision of Director, OED.............. 130 --
1.21(a)(6)(i).......................... Regrading of P.M. section (Claim Drafting)....... 130 225
1.21(a)(6)(ii)......................... Regarding of A.M. section (PTO Practice and 130 530
Procedure).
1.21(b)(1)............................. Establish Deposit Account........................ 10 --
1.21(b)(2)............................. Service Charge Below Minimum Balance............. 25 --
1.21(b)(3)............................. Service Charge Below Minimum Balance............. 25 --
1.21(c)................................ Filing a Disclosure Document..................... 10 --
1.21(d)................................ Box Rental....................................... 50 --
1.21(e)................................ International Type Search Report................. 40 --
1.21(g)................................ Self-Service Copy Charge......................... .25 --
1.21(h)................................ Recording Patent Property........................ 40 --
1.21(i)................................ Publication in the OG............................ 25 --
1.21(j)................................ Labor Charges for Services....................... 30 --
1.21(k)................................ Unspecified Other Services....................... Actual --
Cost
1.21(k)................................ Terminal Use APS-CSIR (per hour)................. 50 --
1.21(l)................................ Retaining abandoned application.................. 130 --
1.21(m)................................ Processing Returned Checks....................... 50 --
1.21(n)................................ Handling Fee--Incomplete Application............. 130 --
1.21(o)................................ Terminal Use APS--TEXT........................... 40 --
1.24................................... Coupons for Patent and Trademark Copies.......... 3 --
1.296.................................. Handling Fee--Withdrawal SIR..................... 130 --
1.445(a)(1)............................ Transmittal Fee.................................. 220 230
1.445(a)(2)(i)......................... PCT Search Fee--Prior U.S. Application........... 430 440
1.445(a)(2)(ii)........................ PCT Search Fee--No U.S. Application.............. 660 680
1.445(a)(3)............................ Supplemental Search.............................. 190 200
1.482(a)(1)(i)......................... Preliminary Exam Fee............................. 470 480
1.482(a)(1)(ii)........................ Preliminary Exam Fee............................. 710 730
1.482(a)(2)(i)......................... Additional Invention............................. 140 --
1.482(a)(2)(ii)........................ Additional Invention............................. 250 260
1.492(a)(1)............................ Preliminary Examining Authority.................. 680 700
1.492(a)(1)............................ Preliminary Examining Authority (Small Entity)... 340 350
1.492(a)(2)............................ Searching Authority.............................. 750 770
1.492(a)(2)............................ Searching Authority (Small Entity)............... 375 385
1.492(a)(3)............................ PTO Not ISA nor IPEA............................. 1,010 1,040
1.492(a)(3)............................ PTO Not ISA nor IPEA (Small Entity).............. 505 520
1.492(a)(4)............................ Claims--IPEA..................................... 94 96
1.492(a)(4)............................ Claims--IPEA (Small Entity)...................... 47 48
1.492(a)(5)............................ Filing with EPO/JPO Search Report................ 880 910
1.492(a)(5)............................ Filing with EPO/JPO Search Report (Small Entity). 440 455
1.492(b)............................... Claims--Extra Individual (Over 3)................ 78 80
1.492(b)............................... Claims--Extra Individual (Over 3) (Small Entity). 39 40
1.492(c)............................... Claims--Extra Total (Over 20).................... 22 --
1.492(c)............................... Claims--Extra Total (Over 20) (Small Entity)..... 11 --
1.492(d)............................... Claims--Multiple Dependents...................... 250 260
1.492(d)............................... Claims--Multiple Dependents (Small Entity)....... 125 130
1.492(e)............................... Surchage......................................... 130 --
1.492(e)............................... Surchage (Small Entity).......................... 65 --
1.492(f)............................... English Translation--After 20 Months............. 130 --
2.6(a)(1).............................. Application for Registration, Per Class.......... 245 --
2.6(a)(2).............................. Amendment to Allege Use, Per Class............... 100 --
2.6(a)(3).............................. Statement of use, Per Class...................... 100 --
2.6(a)(4).............................. Extension for Filing Statement of Use, Per Class. 100 --
2.6(a)(5).............................. Application for Renewal, Per Class............... 300 --
2.6(a)(6).............................. Surcharge for Late Renewal, Per Class............ 100 --
2.6(a)(7).............................. Publication of Mark Under Sec. 12(c), Per Class. 100 --
2.6(a)(8).............................. Issuing New Certificate of Registration.......... 100 --
2.6(a)(9).............................. Certificate of Correction of Registrant's Error.. 100 --
2.6(a)(10)............................. Filing Disclaimer to Registration................ 100 --
2.6(a)(11)............................. Filing Amendment to Registration................. 100 --
2.6(a)(12)............................. Filing Affidavit Under Section 8, Per Class...... 100 --
2.6(a)(13)............................. Filing Affidavit Under Section 15, Per Class..... 100 --
2.6(a)(14)............................. Filing Affidavit Under Sections 8 & 15, Per Class 200 --
2.6(a)(15)............................. Petitions to the Commissioner.................... 100 --
[[Page 39592]]
2.6(a)(16)............................. Petition to Cancel, Per Class.................... 200 --
2.6(a)(17)............................. Notice of Opposition, Per Class.................. 200 --
2.6(a)(18)............................. Ex Parte Appeal to the TTAB, Per Class........... 100 --
2.6(a)(19)............................. Dividing an Application, Per New Application 100 --
Created.
2.6(b)(1)(i)........................... Copy of Registered Mark.......................... 3 --
2.6(b)(1)(ii).......................... Copy of Registered Mark, overnight delivery to 6 --
PTO box or fax.
2.6(b)(1)(iii)......................... Copy of Reg. Mark Ordered Via Exp. Mail or Fax, 25 --
Exp. Svc..
2.6(b)(2)(i)........................... Certified Copy of TM Application as Filed........ 15 --
2.6(b)(2)(ii).......................... Certified Copy of TM Application as Filed, 30 --
Expedited.
2.6(b)(3).............................. Cert. or Uncert. Copy of TM-Related File Wrapper/ 50 --
Contents.
2.6(b)(4)(i)........................... Cert. Copy of Registered Mark, Title or Status... 10 --
2.6(b)(4)(ii).......................... Cert. Copy of Registered Mark, Title or Status-- 20 --
Expedited.
2.6(b)(5).............................. Certified or Uncertified Copy of TM Records...... 25 --
2.6(b)(6).............................. Recording Trademark Property, Per Mark, Per 40 --
Document.
2.6(b)(6).............................. For Second and Subsequent Marks in Same Document. 25 --
2.6(b)(7).............................. For Assignment Records, Abstracts of Title and 25 --
Cert..
2.6(b)(8).............................. Terminal Use X-SEARCH............................ 40 --
2.6(b)(9).............................. Self-Service Copy Charge......................... 0.25 --
2.6(b)(10)............................. Labor Charges for Services....................... 30 --
2.6(b)(11)............................. Unspecified Other Services....................... Actual --
Cost
----------------------------------------------------------------------------------------------------------------
-- These fees are not affected by this rulemaking.
[FR Doc. 96-19309 Filed 7-29-96; 8:45 am]
BILLING CODE 3510-16-M
Complete official Federal Register PDF
FR Doc. 96-19277 Airworthiness Directives; The New Piper Aircraft, Inc. (Formerly Piper Aircraft Corporation) Models PA31, PA31-300, PA31-325, and PA31- 350 Airplanes; Correction
[Federal Register Volume 61, Number 147 (Tuesday, July 30, 1996)]
[Rules and Regulations]
[Page 39584]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-19277]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 39
[Docket No. 90-CE-60-AD; Amendment 39-9654; AD 96-12-12]
RIN 2120-AA64
Airworthiness Directives; The New Piper Aircraft, Inc. (Formerly
Piper Aircraft Corporation) Models PA31, PA31-300, PA31-325, and PA31-
350 Airplanes; Correction
AGENCY: Federal Aviation Administration, DOT.
ACTION: Final rule; correction.
-----------------------------------------------------------------------
SUMMARY: This action makes a correction to Airworthiness Directive (AD)
96-12-12, which was published in the Federal Register on June 6, 1996
(61 FR 28733), and concerns The New Piper Aircraft, Inc. Models PA31,
PA31-300, PA31-325, and PA31-350 airplanes. That publication
incorrectly references the date for the instructions to Piper Kit 763-
917 as ``revised June 18, 1980'' instead of ``revised June 18, 1990.''
The AD currently requires repetitively inspecting the upper section of
the Fuselage Station (FS) 317.75 bulkhead for cracks, and incorporating
one of two reinforcement kits depending on whether cracks are found in
the FS 317.75 bulkhead area. This action corrects the AD to reflect the
correct date of the instructions to Piper Kit 763-917.
EFFECTIVE DATE: July 16, 1996.
FOR FURTHER INFORMATION CONTACT: Christina Marsh, Aerospace Engineer,
FAA, Atlanta Aircraft Certification Office, Campus Building, 1701
Columbia Avenue, suite 2-160, College Park, Georgia 30337-2748;
telephone (404) 305-7362; facsimile (404) 305-7348.
SUPPLEMENTARY INFORMATION: On May 30, 1996, the Federal Aviation
Administration (FAA) issued AD 96-12-12, Amendment 39-9654 (61 FR
28733, June 6, 1996), which applies to Piper Models PA31, PA31-300,
PA31-325, and PA31-350 airplanes. This AD requires repetitively
inspecting the upper section of the Fuselage Station (FS) 317.75
bulkhead for cracks, and incorporating one of two reinforcement kits
depending on whether cracks are found in the FS 317.75 bulkhead area.
Need for the Correction
Paragraph (a)(2) of the AD incorrectly references the date for the
instructions to Piper Kit 763-917 as ``revised June 18, 1980'' instead
of ``revised June 18, 1990.'' Affected individuals who try to obtain
these instructions as currently referenced would not be able to because
(as referenced as June 18, 1980) the instructions do not exist.
Correction of Publication
Accordingly, the publication of June 6, 1996 (61 FR 28732), of
Amendment 39-9654; AD 96-12-12, which was the subject of FR Doc. 96-
14174, is corrected as follows:
Section 39.13 [Corrected]
On page 28733, in the third column, section 39.13, paragraph (a)
(2) of the AD, the 13th line from the top of the column, correct
``revised June 18, 1980'' to ``revised June 18, 1990.''
Action is taken herein to correct this reference in AD 96-12-12 and
to add this AD correction to section 39.13 of the Federal Aviation
Regulations (14 CFR 39.13). The effective date remains July 16, 1996.
Issued in Kansas City, Missouri on July 22, 1996.
Michael Gallagher,
Manager, Small Airplane Directorate, Aircraft Certification Service.
[FR Doc. 96-19277 Filed 7-29-96; 8:45 am]
BILLING CODE 4910-13-U
Complete official Federal Register PDF
FR Doc. 96-19271 Exchange Visitor Program
[Federal Register Volume 61, Number 147 (Tuesday, July 30, 1996)]
[Rules and Regulations]
[Page 39585]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-19271]
=======================================================================
-----------------------------------------------------------------------
UNITED STATES INFORMATION AGENCY
22 CFR Part 514
Exchange Visitor Program
AGENCY: United States Information Agency.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: To facilitate use of the short-term scholar category for the
purpose of participation in the Exchange Visitor Program, the Agency is
extending the permitted period of program participation as a short-term
scholar from four months to six months.
EFFECTIVE DATE: This rule is effective July 30, 1996.
FOR FURTHER INFORMATION CONTACT:
Stanley S. Colvin, Assistant General Counsel, United States Information
Agency, 301 4th Street, SW., Washington, DC 20547; Telephone, (202)
619-4979.
SUPPLEMENTARY INFORMATION: On June 10, 1996 the Agency adopted a final
rule governing eligibility for Exchange Visitor Program participation
as a professor or research scholar. This final rule, which amended
Sec. 514.20 of the Exchange Visitor Program regulations, limits program
participation as a professor or research scholar to nonimmigrant aliens
who have not been physically present in the United States, in J visa
status, for all or part of the twelve month period preceding their
entry into the United States as a professor or research scholar
participant.
An exception to this rule was provided to nonimmigrant aliens
present in the United States for less than six months or whose presence
in the United States was pursuant to program participation as a short-
term scholar. Accordingly, both to facilitate use of the short-term
scholar category and to conform the period of program duration of the
short-term scholar category to the exception permitted by
Sec. 514.20(d), the Agency hereby extends the period of program
duration for this category from four months to six months.
List of Subjects in 22 CFR Part 514
Cultural exchange programs.
Dated: July 24, 1996.
Les Jin,
General Counsel.
Accordingly, 22 CFR part 514 is amended as follows:
PART 514--EXCHANGE VISITOR PROGRAM
1. The authority citation for part 514 continues to read as
follows:
Authority: 8 U.S.C. 1101(a)(15)(J), 1182, 1258; 22 U.S.C. 1431-
1442, 2451-2460; Reorganization Plan No. 2 of 1977, 42 FR 62461, 3
CFR, 1977 Comp. p. 200; E.O. 12048, 43 FR 13361, 3 CFR 1978 Comp. p.
168; USIA Delegation Order No. 85-5 (50 FR 27393.)
2. Section 514.21 is amended by revising paragraph (g) to read as
follows:
Sec. 514.21 Short-term scholars.
* * * * *
(g) Duration of participation. The short-term scholar shall be
authorized to participate in the Exchange Visitor Program for the
length of time necessary to complete the program, which time shall not
exceed six months. Programs under this section are exempted from
Sec. 514.8(b) governing the minimum duration of a program. Extensions
beyond the duration of participation are not permitted under this
category.
[FR Doc. 96-19271 Filed 7-29-96; 8:45 am]
BILLING CODE 8230-01-M
Complete official Federal Register PDF
FR Doc. 96-19260 Use of Force and Application of Restraints
[Federal Register Volume 61, Number 147 (Tuesday, July 30, 1996)]
[Rules and Regulations]
[Pages 39800-39801]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-19260]
[[Page 39799]]
_______________________________________________________________________
Part VI
Department of Justice
_______________________________________________________________________
Bureau of Prisons
_______________________________________________________________________
28 CFR Part 552
Use of Force and Application of Restraints; Annual Determination of
Average Cost of Incarceration; Final Rule and Notice
Federal Register / Vol. 61, No. 147 / Tuesday, July 30, 1996 / Rules
and Regulations
[[Page 39800]]
DEPARTMENT OF JUSTICE
Bureau of Prisons
28 CFR Part 552
[BOP-1053-F]
RIN 1120-AA41
Use of Force and Application of Restraints
AGENCY: Bureau of Prisons, Justice.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: In this document, the Bureau of Prisons is amending its rule
on Use of Force and Application of Restraints to require staff checks
on inmates in four-point restraints at least every 15 minutes.
Additional changes have been made for clarification or for editorial
purposes. This amendment is intended to provide for the continued
security and good order of the institution and the safety and well-
being of inmates.
EFFECTIVE DATE: July 30, 1996.
ADDRESSES: Office of General Counsel, Bureau of Prisons, HOLC Room 754,
320 First Street, NW., Washington, DC 20534.
FOR FURTHER INFORMATION CONTACT: Roy Nanovic, Office of General
Counsel, Bureau of Prisons, phone (202) 514-6655.
SUPPLEMENTARY INFORMATION: The Bureau of Prisons is amending its rule
on Use of Force and Application of Restraints (28 CFR 552, subpart C,
which was published in the Federal Register May 17, 1989 (54 FR 21394)
and amended June 13, 1994 (59 FR 30468).
In accordance with revised American Correctional Association
standards, the Bureau is increasing the frequency to at least every 15
minutes for staff monitoring of an inmate in four-point restraints.
Previously, staff were required to check the inmate at least every 30
minutes (see former Sec. 552.24(d)). Additional changes to the Bureau's
regulations being made for clarification or editorial purposes are
described below.
Section 552.20 is amended to reduce repetitious use of ``inmate``
in paragraphs (a) through (e). Section 552.21 is amended to include the
phrase ``using sound correctional judgment'' as a qualifier rather than
the previous phrase ``with correctional experience''. The revised
phrase more accurately describes the qualitative nature of the standard
and is used more consistently in the Bureau's regulations. In
Sec. 552.22, paragraph (c) is amended to include further paragraph
designations (1) through (3) for the sake of clarity; the opening
sentence of paragraph (g) of the section is amended for stylistic
reasons. In Sec. 552.24, the introductory paragraph is amended to
clarify that the determination on the use of four-point restraints is
made by the Warden. Paragraph (a) of the section is revised to include
further paragraph designations (1) and (2) for the sake of clarity.
Section 552.26 and paragraphs (f) and (g) of Sec. 552.24 are revised to
remove unnecessary passive constructions and to revise staff
nomenclature (``qualified health personnel'' rather than ``medical
staff'').
Because these changes either are administrative or editorial in
nature, or provide for the continued safety and well-being of inmates
and do not impose further restrictions on inmates, the Bureau finds
good cause for exempting 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. Members of
the public may submit comments concerning this rule by writing to the
previously cited address. These comments will be considered but will
receive no response in the Federal Register. The Bureau of Prisons has
determined that this rule is not a significant regulatory action for
the purpose of E.O. 12866, and accordingly this rule was not reviewed
by the Office of Management and Budget pursuant to E.O. 12866. After
review of the law and regulations, the Director, Bureau of Prisons has
certified that this rule, for the purpose of the Regulatory Flexibility
Act (5 U.S.C. 601 et seq.), does not have a significant economic impact
on a substantial number of small entities, within the meaning of the
Act. Because this rule pertains to the correctional management of
offenders committed to the custody of the Attorney General or the
Director of the Bureau of Prisons, its economic impact is limited to
the Bureau's appropriated funds.
List of Subjects in 28 CFR Part 552
Prisoners.
Kathleen M. Hawk,
Director, Bureau of Prisons.
Accordingly, pursuant to the rulemaking authority vested in the
Attorney General in 5 U.S.C. 552(a) and delegated to the Director,
Bureau of Prisons in 28 CFR 0.96(p), 28 CFR part 552 is amended as
follows:
SUBCHAPTER C--INSTITUTIONAL MANAGEMENT
PART 552--CUSTODY
1. The authority citation for 28 CFR part 552 continues to read as
follows:
Authority: 5 U.S.C. 301; 18 U.S.C. 3621, 3622, 3624, 4001, 4042,
4081, 4082 (Repealed in part as to offenses committed on or after
November 1, 1987), 5006-5024 (Repealed October 12, 1984 as to
offenses committed after that date), 5039; 28 U.S.C. 509, 510; 28
CFR 0.95-0.99.
2. In Sec. 552.20, the last sentence of the introductory text and
paragraphs (a) through (e) are revised to read as follows (the
concluding text to the section remains unchanged):
Sec. 552.20 Purpose and scope.
* * * Staff are authorized to apply physical restraints necessary
to gain control of an inmate who appears to be dangerous because the
inmate:
(a) Assaults another individual;
(b) Destroys government property;
(c) Attempts suicide;
(d) Inflicts injury upon self; or
(e) Becomes violent or displays signs of imminent violence.
* * * * *
Sec. 552.21 [Amended]
3. In Sec. 552.21, paragraph (d) is amended by revising the phrase
``with correctional experience'' to read ``using sound correctional
judgment''.
4. In Sec. 552.22, paragraph (g) is amended by revising the opening
phrase ``Except where'' to read ``Except when'' and paragraph (c) is
revised to read as follows:
Sec. 552.22 Principles governing the use of force and application of
restraints.
* * * * *
(c) Staff shall use only that amount of force necessary to gain
control of the inmate. Situations when an appropriate amount of force
may be warranted include, but are not limited to:
(1) Defense or protection of self or others;
(2) Enforcement of institutional regulations; and
(3) The prevention of a crime or apprehension of one who has
committed a crime.
* * * * *
5. In Sec. 552.24, the introductory text and paragraphs (a), (f)
and (g) are revised, and paragraph (d) is amended by revising the first
sentence to read as follows:
Sec. 552.24 Use of four-point restraints.
When the Warden determines that four-point restraints are the only
means available to obtain and maintain control
[[Page 39801]]
over an inmate, the following procedures must be followed:
(a) Soft restraints (e.g., vinyl) must be used to restrain an
inmate, unless:
(1) Such restraints previously have proven ineffective with respect
to that inmate, or
(2) Such restraints are proven ineffective during the initial
application procedure.
* * * * *
(d) Staff shall check the inmate at least every 15 minutes, both to
ensure that the restraints are not hampering circulation and for the
general welfare of the inmate. * * *
* * * * *
(f) When the inmate is placed in four-point restraints, qualified
health personnel shall initially assess the inmate to ensure
appropriate breathing and response (physical or verbal). Staff shall
also ensure that the restraints have not restricted or impaired the
inmate's circulation. When inmates are so restrained, qualified health
personnel ordinarily are to visit the inmate at least twice during each
eight hour shift. Use of four-point restraints beyond eight hours
requires the supervision of qualified health personnel. Mental health
and qualified health personnel may be asked for advice regarding the
appropriate time for removal of the restraints.
(g) When it is necessary to restrain an inmate for longer than
eight hours, the Warden (or designee) or institution administrative
duty officer shall notify the Regional Director or Regional Duty
Officer by telephone.
6. Section 552.26 is revised to read as follows:
Sec. 552.26 Medical attention in use of force and application of
restraints incidents.
(a) In immediate use of force situations, staff shall seek the
assistance of mental health or qualified health personnel upon gaining
physical control of the inmate. When possible, staff shall seek such
assistance at the onset of the violent behavior. In calculated use of
force situations, the use of force team leader shall seek the guidance
of qualified health personnel (based upon a review of the inmate's
medical record) to identify physical or mental problems. When mental
health staff or qualified health personnel determine that an inmate
requires continuing care, and particularly when the inmate to be
restrained is pregnant, the deciding staff shall assume responsibility
for the inmate's care, to include possible admission to the institution
hospital, or, in the case of a pregnant inmate, restraining her in
other than face down four-point restraints.
(b) After any use of force or forcible application of restraints,
the inmate shall be examined by qualified health personnel, and any
injuries noted, immediately treated.
[FR Doc. 96-19260 Filed 7-29-96; 8:45 am]
BILLING CODE 4410-05-P
Complete official Federal Register PDF
FR Doc. 96-19242 Amendment to International Package Consignment Service to Japan, Canada, and the U.K.
[Federal Register Volume 61, Number 147 (Tuesday, July 30, 1996)]
[Rules and Regulations]
[Pages 39592-39593]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-19242]
=======================================================================
-----------------------------------------------------------------------
POSTAL SERVICE
39 CFR Part 20
Amendment to International Package Consignment Service to Japan,
Canada, and the U.K.
Agency: Postal Service.
Action: Amendment to interim rule with request for comments.
-----------------------------------------------------------------------
SUMMARY: The Postal Service is amending the interim rule on
International Package Consignment Service (IPCS) to add additional IPCS
processing facilities and to limit availability of customer processing.
DATES: The interim regulations take effect at 12:01 a.m. on July 1,
1996. Comments must be received on or before August 30, 1996.
ADDRESSES: Written comments should be mailed or delivered to
International Business Unit, U.S. Postal Service, 475 L'Enfant Plaza
SW, Room EB-4400, Washington, DC 20260-6500. Copies of all written
comments will be available for public inspection and photocopying
between 9 a.m. and 4 p.m., Monday through Friday, at the above address.
FOR FURTHER INFORMATION CONTACT: Frank Richards, (202) 268-5743.
SUPPLEMENTARY INFORMATION: International Package Consignment Service is
a service that assists mail order companies and other customers that
send merchandise to Japan, Canada, and the United Kingdom (U.K.).
Presently, the Postal Service has one IPCS processing facility at John
F. Kennedy Airport in New York. Customers within 500 miles of that
facility have their packages picked up by the Postal Service for
transport to the JFK facility for processing. Customers more than 500
miles from the JFK facility have been required to transport their
packages to the JFK facility or perform some of the processing of the
packages themselves. In order to further meet the needs of customers
more than 500 miles from the JFK facility, the Postal Service is
opening additional processing sites near the Dallas-Fort Worth
International Airport, and in Chicago, Miami, San Francisco, and
Seattle. The Dallas International Service Center will open on July 1,
1996. Within the next three months, the Postal Service will open the
additional facilities in Chicago, Miami, San Francisco, and Seattle.
The actual opening dates will be published in the Postal Bulletin.
Accordingly, the Postal Service hereby adopts this amendment to the
interim rule for IPCS to Japan, Canada, and the U.K. 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 the 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 July 1, 1996, subchapter 620 of the International Mail
Manual, Issue 16, is amended as follows:
6 SPECIAL PROGRAMS
* * * * *
620 International Package Consignment Service
* * * * *
626 IPCS to Japan
* * * * *
626.12 IPCS Processing
All IPCS packages processed by the Postal Service are processed at
a designated IPCS processing facility.
626.13 Delivery Options
* * * * *
626.132 Standard Air Service
Packages sent as Standard Air Service are transported by air to
Japan, where they enter Japan Post's domestic airmail system for
delivery. The mailer can
[[Page 39593]]
track Standard Air Service packages through dispatch from the
designated IPCS processing facility or the appropriate International
Exchange Office facility.
626.133 Economy Air Service
Packages sent as Economy Air Service are transported by air to
Japan, where they enter Japan Post's domestic surface system for
delivery. The mailer can track Economy Air Service packages through
dispatch from the designated IPCS Processing Facility.
626.2 Acceptance
626.21 Within 500 Miles of an IPCS Processing Facility
If the plant at which the mailer's packages originate is located
within 500 miles of an IPCS processing facility, the Postal Service
will verify and accept the packages at the plant and transport them to
the processing facility according to a schedule agreed upon by the
Postal Service and the mailer.
626.22 More than 500 Miles from an IPCS Processing Facility
626.221 Drop Shipment to an IPCS Processing Facility
If the mailer's plant from which the IPCS packages will originate
is located more than 500 miles from an IPCS processing facility, the
mailer may present the packages to the Postal Service for verification
at the 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 mailer.
626.222 Customer Processing
If the plant at which the mailer's IPCS packages originate is more
than 500 miles from an IPCS processing facility the mailer may process
the packages using Postal Service-provided workstations and sort and
prepare the packages as required by the Postal Service. The Postal
Service verifies and accepts the packages at the mailer's plant
according to a schedule agreed upon by the Postal Service and the
mailer, and transports the packages to a designated IPCS Processing
Facility for dispatch.
* * * * *
626.7 [Formerly 627] Customs Forms Required
The mailer is not normally required to affix customs forms to IPCS
packages sent to Japan if the packages are processed at an IPCS
Processing Facility. In such cases, the Postal Service prints the
necessary customs forms, based on the package-specific information
transmitted by the mailer, and affixes the forms to the packages. If
the packages are processed at the mailer's plant on Postal Service-
provided workstations, those workstations print the necessary forms
that the mailer normally affixes to the packages. During the interim
period (maximum 60 days) in which the Postal Service and the mailer are
establishing the information system linkages to enable the Postal
Service to accomplish this, the mailer must affix the appropriate
customs forms to the packages, as follows:
a. Express Service
Form 2976-A, Customs Declaration and Dispatch Note.
b. Standard Air Service
Form 2976-A, Customs Declaration and Dispatch Note with Form 2976-E
(envelope).
c. Economy Air Service
Under $400--Form 2976, Customs Labels; $400 and over--2976-A,
Customs Declaration and Dispatch Note.
626.8 [Formerly 628] Preparation Requirements
626.81 Express Service
626.811 Processing at an IPCS Processing Facility
Every package sent through Express Service must bear a label
identifying it as an Express Service package. The mailer is not
normally required to affix this label when such packages are processed
at an IPCS Processing Facility. In this case, the Postal Service prints
the necessary label and affixes it to the Express Service package.
During the interim period in which the Postal Service and the mailer
are establishing the information systems linkages to enable the Postal
Service to accomplish this, the mailer is required to affix to every
Express Service package Label 11-B, Express Mail Post Office to
Addressee, or an alternative label as directed by the Postal Service.
* * * * *
3. Effective July 1, 1996, the Individual Country Listing for
Canada in the International Mail Manual is amended by adding the
regulations concerning International Package Consignment Service
processing facilities:
International Package Consignment Service
Processing Facilities
IPCS packages sent to Canada are processed at a designated IPCS
processing facility. The Postal Service currently operates IPCS
processing facilities at JFK International Airport and near the Dallas-
Fort Worth International Airport. Additional IPCS processing centers
will include Chicago, Miami, Seattle, and San Francisco.
Processing and Acceptance
More Than 500 Miles From an IPCS Processing Facility
Option 2: Customers more than 500 miles from an IPCS Processing
Facility may process the packages using Postal Service provided
workstations and sort and prepare the packages as required by the
Postal Service. The Postal Service verifies and accepts the packages at
the customer's plant according to a schedule agreed upon by the Postal
Service and the customer, and the Postal Service transports the
packages to a designated IPCS Processing Facility for dispatch.
4. Effective July 1, 1996, the Individual Country Listing for Great
Britain and Northern Ireland in the International Mail Manual is
amended by adding the regulations concerning International Package
Consignment Service processing facilities.
Processing Facilities
IPCS packages sent to the United Kingdom are processed at a
designated IPCS processing facility. The Postal Service currently
operates IPCS processing facilities at JFK International Airport and
near the Dallas-Fort Worth International Airport. Additional IPCS
processing centers will include Chicago, Miami, Seattle, and San
Francisco.
Processing and Acceptance
More Than 500 Miles for an IPCS Processing Facility, Option Two
For customers more than 500 miles from an IPCS Processing Facility
may process the packages using Postal Service provided workstations and
sort and prepare the packages as required by the Postal Service. The
Postal Service verifies and accepts the packages at the customer's
plant according to a schedule agreed upon by the Postal Service and the
customer, and the Postal Service transports the packages to a
designated IPCS Processing Facility for dispatch.
Stanley F. Mires,
Chief Counsel, Legislative.
[FR Doc. 96-19242 Filed 7-29-96; 8:45 am]
BILLING CODE 7710-12-P
Complete official Federal Register PDF
FR Doc. 96-19236 Operational Measures To Reduce Oil Spills From Existing Tank Vessels Without Double Hulls
[Federal Register Volume 61, Number 147 (Tuesday, July 30, 1996)]
[Rules and Regulations]
[Pages 39770-39794]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-19236]
[[Page 39769]]
_______________________________________________________________________
Part IV
Department of Transportation
_______________________________________________________________________
Coast Guard
_______________________________________________________________________
33 CFR Part 157
46 CFR Parts 31 and 35
Operational Measures To Reduce Oil Spills From Existing Tank Vessels
Without Double Hulls; Final Rule
Federal Register / Vol. 61, No. 147 / Tuesday, July 30, 1996 / Rules
and Regulations
[[Page 39770]]
DEPARTMENT OF TRANSPORTATION
Coast Guard
33 CFR Part 157
46 CFR Parts 31 and 35
[CGD 91-045]
RIN 2115-AE01
Operational Measures To Reduce Oil Spills From Existing Tank
Vessels Without Double Hulls
AGENCY: Coast Guard, DOT.
ACTION: Final rule.
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SUMMARY: The Coast Guard issues regulations that will require the
owners, masters, or operators of tank vessels of 5,000 gross tons (GT)
or more that do not have double hulls and that carry oil in bulk as
cargo to comply with certain operational measures. This final rule
contains requirements for bridge resource management and vessel
specific policy and procedures, enhanced survey programs, maneuvering
performance capability tests, and other measures aimed at reducing the
likelihood of an oil discharge from these vessels. Additionally, the
Coast Guard is amending requirements for the carriage of onboard
emergency lightering equipment and has addressed animal fat, vegetable
oil, and other non-petroleum oil in separate sections as required by
the Edible Oil Regulatory Reform Act. These requirements will be
effective until all existing vessels without double hulls are phased
out in 2015.
DATES: This rule is effective on November 27, 1996, except for
Secs. 157.415 and 157.420 of 33 CFR part 157 which are effective on
February 1, 1997; and Secs. 157.445 and 157.460(a) of 33 CFR part 157
which are effective on July 29, 1997. The incorporation by reference of
certain publications listed in Secs. 157.430, 157.435, 157.450 of 33
CFR part 157 is approved by the Federal Register as of November 27,
1996. The incorporation by reference of certain publications listed in
Sec. 157.445 of 33 CFR part 157 is approved by the Federal Register as
of July 29, 1997.
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 (C-LRA/3406) (CGD 91-045),
U.S. Coast Guard Headquarters, 2100 Second Street SW., room 3406,
Washington, DC 20593-0001 between 930 a.m. and 2 p.m., Monday through
Friday, except Federal holidays. The telephone number is (202) 267-
1477.
FOR FURTHER INFORMATION CONTACT: LCDR Suzanne Englebert, Project
Manager, Office of Standards Evaluation and Development, at (202) 267-
6490.
SUPPLEMENTARY INFORMATION:
Regulatory History
Section 4115(b) of the Oil Pollution Act of 1990 (OPA 90) (Pub. L.
101-380, 104 Stat. 520), which appears as a statutory note following 46
U.S.C., 3703a, directs the Coast Guard to develop structural and
operational requirements for tank vessels of 5,000 gross tons (GT) or
more without double hulls to serve as regulations until 2015, when all
tank vessels operating in U.S. waters are required to have double hulls
under section 4115(a) of OPA 90 (46 U.S.C. 3703a). Any requirements
issued under the authority of section 4115(b) must provide as
substantial protection to the environment as is economically and
technologically feasible.
On November 1, 1991, the Coast Guard published an advance notice of
proposed rulemaking (ANPRM) (56 FR 56284), which discussed structural
and operational measures intended to meet section 4115(b) of OPA 90.
The ANPRM included a request for data on the technical and economic
feasibility of those measures for use on vessels covered by section
4115(b). Eighty-eight comments were received by the close of the
extended comment period, which ended on January 30, 1992 (57 FR 1243).
After reviewing the comments, the Coast Guard published a notice of
proposed rulemaking (NPRM) entitled ``Structural and Operational
Measures to Reduce Oil Spills from Existing Tank Vessels Without Double
Hulls'' (Existing Vessels) on October 22, 1993 (58 FR 54870). The Coast
Guard issued two subsequent correction notices on November 19, 1993 (58
FR 61143), and December 14, 1993 (58 FR 65298), which made technical
corrections to the NPRM. In response to several comments received on
the NPRM, the Coast Guard published, on December 16, 1993, a notice of
public meeting and extension of comment period (58 FR 65683).
The Coast Guard held a public meeting on January 20, 1994, to
obtain information from the public on the proposed regulations. Topics
addressed by speakers included applicability, differences between tank
barges and tankships, exemptions, and economic and technical
feasibility of the proposed regulations. Some of the basic assumptions
of the proposed regulations addressed certain structural measures,
particularly their reliance on Regulation 13G of Annex I of the
International Convention for the Prevention of Pollution from Ships,
1973, as modified by the Protocol of 1978 (MARPOL 73/78). Information
on the public meeting is available for public review at the address
under Addresses.
In light of the comments received at the public meeting and in
response to the written comments received on the NPRM, the Coast Guard
reviewed the proposed requirements for structural and operational
measures. To expedite the implementation of section 4115(b) of OPA 90,
the Coast Guard developed a three-pronged approach which encompassed
three separate rulemaking projects. First, the Coast Guard issued a
final rule on August 5, 1994, requiring the carriage of emergency
lightering equipment and the inclusion of the vessel's International
Maritime Organization (IMO) number in the advance notice of arrival
report (59 FR 40186); second, on November 3, 1995, it issued a
supplemental notice of proposed rulemaking (SNPRM) regarding additional
operational measures (60 FR 55904); and third, on December 28, 1995, it
reviewed comments on the NPRM for major structural measures, revised
the Regulatory Assessment (RA), and issued an SNPRM regarding
structural requirements for single-hull tank vessels (60 FR 67227).
Structural measures addressed in this third project included
hydrostatic loading requirements, structural refit of existing hull
areas, emergency cargo off-loading capabilities, and other structural
adaptations or major cargo carrying adjustments.
Background and Purpose
Section 4115 of OPA 90 mandates regulations to provide improved
protection from oil spills from tank vessels in waters subject to the
jurisdiction of the United States due to collisions and groundings.
This section applies to tank vessels that are constructed, adapted to
carry, or that carry oil in bulk as cargo or cargo residue.
The Coast Guard has determined that the applicability of these
regulations should reflect section 4115(a) of OPA 90, which requires
certain existing tank vessels without double hulls to be phased out of
operation by 2015. The Navigation and Vessel Inspection Circular (NVIC)
10-94, ``Guidance for Determination and Documentation of the Oil
Pollution Act of 1990 (OPA 90) Phaseout Schedule for Existing Single-
Hull Vessels Carrying Oil in Bulk,'' provides a detailed explanation of
the applicability of section 4115(a).
[[Page 39771]]
To clarify how each of these regulations apply to foreign flag
vessels, the Coast Guard has amended the applicability section of 33
CFR part 157. This amendment ensures, consistent with international
law, that the regulations do not impede freedom of navigation by
foreign flag vessels in the Exclusive Economic Zone (EEZ) of the United
States or in innocent passage in the territorial sea of the United
States. However, they do apply to foreign flag vessels engaging in
lightering operations or off-loading oil at a deepwater port in the
U.S. territorial sea or the EEZ.
This final rule also requires a barge owner to assume additional
responsibility for ensuring the towing vessel has the information and
equipment needed to safely operate. Barge operations for loading cargo
are generally handled by company representatives or facility personnel.
However, navigational control of the tank barge has historically been
the responsibility of the towing vessel. Although section 4115(b) of
OPA 90 did not specifically recognize the towing vessel's shared role
in tank barge operations, the towing vessel's role in the navigation
and control of the tank barge must be addressed to reduce accident risk
from tank barges. This final rule requires the tank barge owner or
operator to ensure that operation of the towing vessel meets certain
standards comparable to those required for tankships.
Discussion of Comments and Changes
The Coast Guard received a total of 187 comment letters on the
operational measures SNPRM (60 FR 55904; November 3, 1995). These
comment writers addressed various issues, and more than 350 comments
were presented. This discussion is divided into the following sections:
general comments; solicited comments; personnel training and
information; surveys; navigation and maneuverability; additional
requirements for tank barges; and emergency lightering requirements.
All comments received on this rulemaking are available for inspection
in docket (CGD 91-045) at the address under ADDRESSES. For the purposes
of this preamble discussion, the term ``single-hull'' means an existing
tank vessel without a double hull.
General Comments
1. Authorized Classification Societies
One comment writer requested clarification of the term ``recognized
classification society'' used in Secs. 157.430 and 157.445 of the
SNPRM. This comment writer presumed that the term meant a
classification society that is recognized by the flag administration of
the ship concerned. The Coast Guard notes that the comment writer's
interpretation of an authorized classification society is correct and
is described in 46 CFR 31.10 and 33 CFR 157.04.
2. Communications
One comment addressed issues pertaining to vessel communications.
This comment writer stated that the Coast Guard and the Federal
Communications Commission (FCC) should work together to clear
frequencies of interference from overpowered transmitters, cellular
telephones, and paging systems because improved communications would
assist in avoiding environmental damage caused by collisions. While the
Coast Guard will continue to work with the FCC on marine frequency
issues, this is not the thrust of the present rulemaking. In this
rulemaking, vessel watchstanding communication effectiveness has been
and remains the focus. While communication hardware is vital and
already regulated, an individual's ability to effectively communicate
with bridge watchstanders and other vessel traffic requires further
regulation because timely feedback can significantly reduce the risk of
an accident.
3. Navigational Charts
One comment addressed the issue of updating coastal navigational
charts and suggested that the Coast Guard work with the National
Oceanic and Atmospheric Administration (NOAA) in this process. The
comment cited the grounding of the M/V Alvenus which was caused by a
shoal that was not indicated on U.S. navigational charts even though
the charts were properly updated. The majority of the vessels affected
by this rulemaking are required to have pilots on board when entering
port or getting underway. These pilots, along with updated charts and
broadcast notice to mariners, all work in conjunction to provide
mariners with timely information. The Coast Guard is working with NOAA
and is continuing to upgrade vessel traffic systems and other
navigation information systems.
4. Fairways and Anchorages
One comment writer urged the Coast Guard to develop regulations
that would protect fairways and anchorages from obstruction. Drilling
operations and poorly buried pipelines were cited as causes for
obstructions. The Coast Guard regulates these areas in 33 CFR
subchapter P. Specific problems of this nature should be brought to the
attention of local Captains of the Port (COTPs) and are not within the
scope of this rulemaking.
5. International Regulations and Standards
Twenty-one comments addressed issues of international regulations
and standards. Two comment writers stated that established
International Maritime Organization (IMO) guidelines should be
mandatory, not optional. Other criticisms in these comments included:
perceived redundancy of the proposed regulations because provisions of
the SNPRM already have been covered in international standards, and
compliance with these international standards would promote uniformity
as well as decreased redundancy, costs, and confusion for the shipping
industry; the Coast Guard is undermining the international process;
that competency and manning requirements fall under flag state
jurisdiction; and the SNPRM goes beyond international requirements in
some cases.
The Coast Guard understands the value of international standards
and has incorporated them into this rulemaking where appropriate. The
manning and competency requirements proposed in the SNPRM have been
revised or removed because they have been included in the International
Convention on Standards of Training, Certification and Watchkeeping for
Seafarers, 1978 (STCW), and the 1995 amendments to the STCW; these will
be implemented by the signatory flag states. Implementation of the
International Safety Management Code (ISM Code) in 1998 will ensure
that these requirements are effectively implemented and reviewed by
company management, as well as by the Coast Guard, to further improve
safety.
Where international standards do not address certain operations,
the Coast Guard has met the intent of Congress by issuing these rules
to ensure that specific vessels reduce their accident risk. The Coast
Guard has imposed requirements in conformity with STCW, MARPOL 73/78,
and other international guidelines where international standards only
recommend certain conduct rather than prescribe it.
6. Human Factors
Eleven comments addressed the issue of human factors. These
comments suggested that the regulations complement STCW as well as the
Coast Guard's plan to address human factor issues in its Prevention
Through People (PTP) program. The comments also
[[Page 39772]]
supported the PTP program asserting that the program promotes more
effective environmental protection at reasonable costs to shipowners.
Other comments asserted that a prevention program requires fully
implemented international regulations, clear rules, and industry
standards; the Coast Guard adopt a stronger position regarding drug and
alcohol testing; and the Coast Guard focus on researching human factors
so that regulations do not become, without basis, too focused on social
engineering.
The Coast Guard notes the support of some of the comment writers
for incorporating human factors into these regulations and is committed
to ensuring that tank vessels fully implement this rule, as well as
international standards. The Coast Guard has implemented requirements
fro companies to have drug and alcohol testing programs for their
employees in 46 CFR, subchapter B. These programs are appropriate and
it is not within the scope of this rulemaking to revise them.
7. Congressional Intent
One comment writer asserted that the Coast Guard improperly divided
this rulemaking into three separate phases when Congress enacted a
single provision requiring operational and structural measures. Because
of this rulemaking separation, the comment writer accuses the Coast
Guard of denying the public the opportunity to comment in violation of
the Administrative Procedure Act (5 U.S.C. Sec. 552, et seq.). This
comment writer also asserted that the Coast Guard has not complied with
OPA 90 because it has intentionally delayed the rulemakings, has
addressed mishap risk reduction and ignored oil outflow mitigation
reduction (especially hydrostatic balanced loading (HBL) requirements),
and that the proposed operational measures only reflect minor
adjustments to current industry practice.
The Coast Guard disagrees with the assertion that it has not
provided appropriate opportunities to comment. This rulemaking project
has resulted in the publication of an ANPRM, NPRM, and two SNPRMs. At
each stage, notice and an opportunity to comment have been provided to
the public. By breaking the implementation of 4115(b) into three parts,
the public has actually been given more opportunity to comment and
specifically focus those comments on the economic feasibility of each
segment of this diverse rulemaking. The Coast Guard notes the comment
pertaining to the OPA 90 deadline. Oil outflow mitigation requirements
are thoroughly discussed in the SNPRM for Structural Measures To Reduce
Oil Spills From Existing Tank Vessels Without Double Hulls (60 FR
67226; December 28, 1995), including a discussion on HBL. While the
operational requirements in this rule complement some current industry
``best'' practice, in other cases, they add requirements where current
international requirements are silent or are only recognized as
guidance. The Coast Guard continues to require these operational
measures because they clearly support operational safety and
environmental conservation.
8. Deployable Oil Booms
One comment writer suggested that requirements be added to provide
deployable oil booms and oil-scrubbing equipment, to remove spilled oil
within the boom, on board vessels carrying oil. The comment writer
stated that the savings in insurance costs should offset the cost of
providing these booms and equipment. Onboard discharge removal
equipment has been required on vessels since June 20, 1994, and is
deemed sufficient as a minimum standard. While deployable booms and
scrubbing equipment are effective in many circumstances, the Coast
Guard does not intend to require additional equipment in this final
rule.
9. Collection of Information
The Coast Guard received three comments on the proposed collection
of information requirements which included the following: documentation
and logging may prove too burdensome for inland water voyages;
documentation requirements for proposed Sec. 157.420 are not necessary
since they are already covered in proposed Sec. 157.415; and the
posting of minimum rest hour requirements in crew lounge areas and work
spaces is needed as proposed in Sec. 157.425(d) and should be expanded
to include the wheelhouse and lounge areas.
The Coast Guard has revised the collection of information
requirements because some proposed requirements have changed or been
eliminated in this rule. No training or rest hours are required in this
rule; therefore, the logging and posting requirements have been
removed. As a logical outgrowth of the training requirement, tank
vessels owners and operators will be required to provide vessel
personnel with policy and procedures on bridge resource management and
vessel orientation. This is a less burdensome collection requirement
than logging or tracking individual vessel personnel training
completion. COTP reporting requirements have also been removed in this
rule. This reporting requirement was replaced with a less burdensome
collection requirement to consult with the pilot and, in some cases,
the tank vessel owner or operator prior to a port transit.
10. Exemptions of Certain Vessels
Four comments suggested that tankers calling exclusively at
deepwater ports be exempt because these requirements are an unnecessary
burden for these vessels. Another comment suggested that the Coast
Guard clarify that single-hull tank vessels engaged exclusively in oil
spill response are exempt. The operational measures in the regulations
are economically feasible for all vessels transporting oil and,
therefore, there is no exemption for vessels calling at deepwater
ports. Vessels that are solely engaged in oil spill response are
already exempt from these requirements in 33 CFR part 157.08.
11. Application to Additional Vessel Types
Thirteen comments suggested expanding the applicability of these
regulations to encompass vessel types and sizes other than single-hull
tank vessels 5,000 GT or more. Nine of these 13 comments suggested
applying these regulations to all vessels; six of these nine comments
suggested implementing this application through the international
process. These comments suggested that the operational requirements
should apply to all vessels, as well as double hull tankers and cargo
ships carrying only bunker fuel, because improved operational safety of
all vessels will result in less accident risk to single-hull tank
vessels.
The Coast Guard is acting under the authority of section 4115(b) of
OPA 90 and does not intend by these regulations to extend the rules to
vessels other than vessels of 5,000 GT or more that do not have double
hulls and that carry oil in bulk as cargo in this rulemaking.
Implementing these operational requirements on vessels, regardless of
type or size, is prudent and will be beneficial. Because of this, the
Coast Guard may consider applying these requirements to other vessels
in future rulemakings.
12. State Regulation
Three comment writers addressed two federal preemption issues. The
suggestions included the following: the Coast Guard should state that
the rule does not alter the relationship between State and Federal
governments regarding pilotage requirements; and the requirements
should be exclusively under Federal domain because, under Ray v.
Atlantic Richfield Co., 435 U.S.
[[Page 39773]]
151 (1978), any regulations on tankers issued by the Coast Guard should
preempt State regulations on the same subject. The Coast Guard believes
these Federal requirements are preeminent.
13. Other Comments
The Coast Guard also received several other comments which included
the following: Clarify the definition of a double bottom hull;
incorporate the strengthened operating procedures and personnel
policies used by the Washington State Office of Marine Safety (OMS)
because these procedures and policies offer a higher level of
protection than Coast Guard regulations; make IMO regulations mandatory
rather than optional.
The Coast Guard notes these comments and has reviewed the
Washington State Office of Marine Safety procedures and policies. Many
of the requirements in this rule complement or parallel these
Washington State requirements. Other Washington State requirements are
outside the scope of this rulemaking. Certain IMO requirements are made
mandatory in this rule; others are not because they are outside the
scope of this rulemaking. The term ``double bottom hull'' is not used
in this rule. A vessel that has a double bottom covering the length of
the cargo tanks is one that meets the requirement of 33 CFR 157.10.
Solicited Comments
In the preamble of the SNPRM, the Coast Guard solicited comments on
various issues relating to this rulemaking. The following discussion
addresses the comments made in response to this request.
1. Non-Petroleum Oil
The Coast Guard requested comments on the SNPRM's regulatory impact
on vessels that carry only non-petroleum oil. Of the two comments
received, one comment writer asserted that the Coast Guard's treatment
of animal fat and vegetable oil in the same manner as petroleum oil
directly conflicts with the provisions of the Edible Oil Regulatory
Reform Act (Pub. L. 104-55, 109 Stat. 546-547 [1995] and, therefore,
animal fat and vegetable oil carriers should be exempt. The other
comment writer, however, supported extending these regulations to all
existing tank vessels carrying non-petroleum oil and remarked that it
is economically feasible and environmentally beneficial for these
vessels to meet the requirements.
The Coast Guard has addressed animal fat, vegetable oil, and other
non-petroleum oil separately in this final rule as required by the
Edible Oil Regulatory Reform Act. The Edible Oil Regulatory Reform Act
requires federal agencies to differentiate between classes of oils and
consider different treatment of these classes, if appropriate. The law
does not mandate exemptions. Subparts H and I are now included in 33
CFR part 157 to address these cargoes. The Coast Guard has considered
the differences between these cargoes and petroleum cargoes with
respect to appropriate operational measures to reduce the risk of an
accident on single-hull tank vessels. The development of these
operational measures included the presumption that the accidents
prevented or mitigated through these measures may result in the loss of
the content of an entire cargo tank at one time. As discussed in the
SNPRM and in the final rules on Vessel Response Plans (61 FR 1052;
January 12, 1996) and Response Plans for Marine Transportation-Related
Facilities (61 FR 7890; February 29, 1996), the Coast Guard has
determined that bulk spills of animal fat, vegetable oil, and other
non-petroleum oil can be damaging to the environment; therefore, the
operational requirements for vessels carrying these products are
similar to those requirements for petroleum oil carrying vessels in
this final rule.
2. Towing Vessel Requirements
The Coast Guard requested comments on the extension of certain
towing vessel requirements to the tank barge industry. One comment
writer agreed with the Coast Guard and asserted that an owner of a tank
barge should be ultimately responsible in the event of a spill and
should establish a screening system for selecting safe towing vessels.
Several other comments suggested the following: The Coast Guard does
not have the legal authority under 4115(b) to place legal obligation
upon the tank vessel owner or operator to ensure the competency of
individuals assigned to certain duties on primary towing vessels; the
minimum rest hour, training, navigational and additional tank barge
requirements raise liability questions for tank barge owners who
charter a tug and crew from another company and should not shift the
burden of compliance to the tank barge owner exclusively; the minimum
rest hour requirements, as proposed, are too onerous on towing vessel
operators; operational requirements should be included directly into
other rulemaking or the final rule should state that the requirement is
applicable to the towing vessel with no tank barge owner or operator
implication; and barge owners or operators should not be held
responsible for the compliance of a primary towing vessel.
The Coast Guard has reviewed these comments and finds that the
responsibility of implementing operational measures on tank barges has
been appropriately applied to tank barge owners or operators. The ease
of implementing these requirements and showing their implementation for
tank barge owners and operators, especially as it pertains to leased
towing vessel operators, has been addressed in this rule by revising
certain sections. The tank barge owner or operator remains responsible
for ensuring that certain information is available to the towing vessel
master or operator and that certain equipment is onboard the towing
vessel. Because the Coast Guard requires the barge owner to be liable
for the operation of the barge, the barge owner will actively screen
towing vessel operator quality, thus reducing the risk of oil spills
from the barge.
3. Economic Impact on Remote Geographic Areas, Tourism, and Fishing
The Coast Guard requested comments on the impact of the SNPRM on
areas that are geographically remote, or economically dependent on
tourism or fishing. One comment writer, a representative for the
Commonwealth of the Northern Mariana Islands (CNMI), a cluster of
islands in the Pacific, stated that while the CNMI's economy is heavily
dependent upon tourism and fishing and would, therefore, benefit from
oil spill prevention, its economy also is dependent upon oil
importation for the energy resources needed to maintain its tourism and
local economy. This comment writer asserted that if these regulations
were applied to vessels serving ports within the CNMI, they would
either eliminate their service or raise their prices significantly,
causing substantial damage to CNMI's economy. The comment writer
requested that the Coast Guard exempt the CNMI or modify the
regulations to consider local conditions in remote areas.
The Coast Guard has revised the operational measures, such as
under-keel clearance requirements, to ensure that local port conditions
are considered. Because the revisions will reduce the risk of an
accident from single-hull tank vessels and also be cost effective for
tank vessel owners or operators servicing remote locations, an
exemption for vessels serving the CNMI is not contained in this
rulemaking.
[[Page 39774]]
4. Vessel Resource Management Training
The Coast Guard requested comments on whether vessel resource
management training should be required or recommended in these
regulations. One comment supported the Coast Guard's proposal to
require vessel resource management training. Another comment suggested
that senior officers and engineers have this training available as an
alternative to the proposed bridge resource management training. The
Coast Guard has reviewed the training requirements proposed in the
SNPRM in conjunction with STCW. STCW requires training for
watchstanders that, if implemented correctly, will improve the quality
of mariners throughout the industry. Because STCW is being implemented
in the U.S. and internationally, the training requirements have been
removed from this rule. Company guidance requirements have been
included in this rule to ensure that bridge resource management
philosophy and vessel specific training requirements are supported in,
and made effective by, company policy. Companies that train their
employees in vessel resource management are gaining valuable employees
and should be commended for their commitment to improving operational
safety and environmental conservation.
5. Rest Hours and Travel Time
The Coast Guard requested comments on travel time factors in the
rest hour requirements proposed in the SNPRM. One comment writer
asserted that air travel, jet lag, and time zone changes should be
factored into minimum rest hour standards. Another comment suggested
that the need to consider travel time before a crew member assumes
responsibility is legitimate. The Coast Guard notes these concerns and
has added them to the current rulemaking project entitled
``International Convention on Standards of Training, Certification and
Watchkeeping for Seafarers, 1978 (STCW): Implementation of 1995
Amendments'' (CGD 95-062) (61 FR 13284; March 26, 1996). Because the
rest hour requirement is being implemented as part of STCW, the Coast
Guard has removed the minimum rest hour requirements from this final
rule.
6. Expansion of Work and Rest Hour Restrictions
The Coast Guard requested comments on the feasibility of expanding
the application of work hour and rest hour restrictions of section 4114
or the adoption of similar IMO provisions, under the authority of
section 4115(b) of OPA 90. Several comment writers responded to this
request and their comments included the following: The requirements
should conform with the work and rest hour provisions of STCW and
should not go beyond them; the requirement should be more inclusive and
require rest hours before departure as well as rest hours before
arrival; and the rest hour requirements should include engineers
supervising in bunkering and internal oil transfers.
The Coast Guard notes these comments and has determined that
expanding the work hour or rest hour requirements beyond STCW
requirements is not appropriate. Because another rulemaking is
implementing STCW, this rulemaking no longer includes rest hour
requirements. The work hours originally required by section 4114 of OPA
90 remain in effect.
7. Vital Systems
The Coast Guard requested comments on reporting requirements for
the failure of specific components within the proposed vital systems.
No comments were received regarding whether the failure of a system
should or should not warrant COTP notification. The Coast Guard has
retained the vital systems requirement in this rule without mandating a
reporting requirement if a system fails; however, mariners are
encouraged to follow the common practice of good seamanship and the
existing reporting requirements in 33 CFR subchapter P remain in
effect.
8. Autopilot Use on Towing Vessels
The Coast Guard requested comments on the inclusion of a
requirement for primary towing vessels to have a restriction on the use
of the autopilot similar to 33 CFR 164.13(d). One comment writer
responded to this request, stating that vessels towing tank barges
should not be allowed to use autopilot systems in rivers and restricted
waters. The Coast Guard agrees that it is not a recommended practice
for a towing vessel to use the autopilot while operating in restricted
waters. However, there are times when the use of an autopilot is
necessary because some towing vessels are designed to be operated by a
single person.
9. Pilot Cards
The Coast Guard requested comments on whether the pilot card should
have additional information. One comment suggested that information on
the pilot card could be combined with the maneuvering information. The
Coast Guard has retained the pilot card requirement, as proposed in the
SNPRM, because the format is inclusive and reflects international
standards.
10. Voyage Data Recorder Equipment
The Coast Guard requested comments on requiring the use of voyage
data recorder equipment, inclusion of an early warning capability in a
recording device, and recommending provisions for near miss data
collection. One comment was received and suggested that all vessels
over 1,600 GT operating in U.S. waters be required to carry voyage data
recorders (VDRs) because they would help pinpoint the cause of an
accident and assist companies in monitoring bridge watchstanding
performance. Although this final rule does not include a requirement
for a VDR, the Coast Guard is researching the application of this type
of equipment and intends to work further with IMO on this issue.
11. Bow Thrusters
The Coast Guard requested comments on the feasibility of requiring
bow thrusters on single-hull tankships. One comment writer disagreed
with a bow thruster requirement, stating that bow thrusters were very
expensive to retrofit, ineffective at higher speeds, and could not
substitute for escort tugs. The Coast Guard notes this comment and is
not including requirements for bow thrusters in this final rule.
12. Routing Restriction Requirements
The Coast Guard requested comments on establishing routing
restriction requirements. Five comments were received, four of which
suggested that the Coast Guard establish requirements for pilot passage
plans and included the following comments: implementation of passage
plans should not wait for IMO development; and plans should require
pilots to advise the master of the intended passage because passage
plans would reduce accidents. Reference was made to a study done by the
Transportation Safety Board of Canada regarding the operational
relationship between ship masters, watchkeeping officers, and marine
pilots. This study found that 200 out of 273 accidents taking place
between 1981 and 1992 involved human factors. Of these 200 human factor
related accidents, 84 involved miscommunication between the pilot and
the master. An opposing view, by the remaining comment writer, stated
that the development of a passage plan would be ineffective and time-
consuming, whereas information
[[Page 39775]]
provided by the Army Corps of Engineers would be much more useful.
The Coast Guard supports and recommends the use of pilot passage
plans. With the implementation of STCW and this rule, the conference
between the master and the pilot prior to getting underway or entering
port should be, or will shortly evolve into, a valuable exchange of
transit specific information. This rulemaking reflects certain elements
of passage planning but does not specifically mandate that the pilot
plans the voyage because the tank vessel owner or operator is liable
for the vessel and its cargo.
13. Empty Wing Tanks
The Coast Guard requested comments on the economic and technical
feasibility of significant structural refit to reinforce bulkheads
between empty wing tanks and cargo tanks, possible piping refit, and
substantial stability reassessment. One comment writer suggested that
empty wing tanks be considered. Another comment writer asserted that
keeping wing tanks empty or partially full to reduce the likelihood of
oil outflow in collisions would make trading in the U.S. economically
disadvantageous for tankers because empty wing tanks would not only
reduce storage flexibility, but would also reduce storage capacity,
resulting in an increase of traffic and the risk of pollution.
The Coast Guard notes that requiring a vessel to fit structural
reinforcement and piping results in a long out-of-service period for
the vessel and cause significant cargo shutout costs. The benefits
achieved by implementing empty wing tanks are from post-accident oil
outflow reduction. A vessel will be higher in the water with its wing
tanks empty and its cargo, if released, will have a higher outflow rate
because of the increased hydrostatic pressure difference between the
oil and the sea. Therefore, in a grounding, a vessel with empty wing
tanks could actually have a higher rate of oil outflow than single-hull
tank vessels ballasted properly and carrying oil in all cargo tanks.
The Coast Guard notes these comments and has not included a requirement
for empty wing tanks in this rule because they are not cost-effective.
Personnel Training and Information
1. General
Several comments are received that addressed general applicability
aspects of the training and rest hour proposed requirements, which
included the following: Training should be required as part of the
licensing process for all mariners, not just personnel on single-hull
tank vessels; training and manning requirements should not be
unilaterally applied to licensed officers on U.S. foreign vessels;
towing vessel personnel should be clearly indicated and required to
complete the training requirements; and training should be mandatory
for all vessels, including small tank vessels used to lighter.
Several comments remarked on the relationship between the proposed
training and rest hour requirements and international standards.
Twenty-four comment writers urged the Coast Guard to work within the
international process, and to conform with international standards such
as STCW; Article 21 (2) of the United Nations Convention on the Law of
the Sea (UNCLOS); Articles 5, 6, and 10 of the Convention on High Seas
of 1958; and International Labor Organization (ILO) Convention No. 147.
Other comments suggested that the requirements of this section exceed
the Coast Guard's jurisdiction under international standards and
represent unacceptable interference to international shipping
operations.
Because of the implementation of STCW, the Coast Guard has revised
this rule and no longer requires training or rest hours for
watchstanders on single-hull tankships or primary towing vessels of
tank barges. Mariner licensing requirements are being revised
extensively in another rulemaking and will include training
requirements similar to those proposed in the SNPRM; therefore, both
foreign and U.S. mariners, operating all commercial vessel types, will
soon have additional required training and be required to have rest
hours. The requirements of STCW must be implemented by each vessel's
flag state. STCW also contains provisions for port state control to
allow the effective assessment of foreign mariner competence. These
provisions will allow the Coast Guard to ensure that competent mariners
are operating both foreign and U.S. single-hull tank vessels.
Other comments include specific recommendations for rising the
proposed requirements as follows: emphasize company standing orders,
policy and procedures, and the use of case studies; consider the
effects of circadian rhythm on vessel personnel when developing
training programs; clarify course validation or certification
requirements; require an interactive computer or video training program
because it would enhance safety, and would be more ship, cargo, and
route specific; and require at least two English-speaking people on the
bridge whenever a vessel is in U.S. waters.
The Coast Guard agrees that any company policy and procedures that
support bridge resource management principles, new crew member
orientation, or any other company standing orders are effective and
essential to safe vessel operation. The policy and procedure
requirements in this rule reflect STCW and have been included because
of their benefit in reducing accident risk. Any computer training or
other state of the art training techniques may also be beneficial;
however, due to STCW training implementation, the Coast Guard has not
included these types of requirements in this rulemaking. The Coast
Guard has not specifically required that personnel speak English;
however, it is not in keeping with the standards of prudent seamanship
if bridge personnel cannot effectively communicate with the pilot,
other vessels, or vessel traffic system (VTS) personnel, due to
language difficulties.
Other comments noted that because independent operators may not
have adequate resources to provide effective training programs, they
should be required to attend commercial training programs. Another
comment noted that course completion does not necessarily ensure
watchstander proficiency and the Coast Guard should be more proactive
in supporting proficiency assessment requirements at IMO. Several
comment writers asserted that this proposed section is biased against
single-hull vessels, and urged the Coast Guard to conform solely to OPA
90 restriction. Another comment writer also requested definitions of
the terms ``owner'' or ``operator''.
The Coast Guard notes that smaller companies may not be able to
train personnel as cost effectively as larger companies; however, by
setting minimum standards of proficiency within the licensing
requirements, as STCW does, even small companies should have competent
employees. The Coast Guard's support of training at IMO was key in the
development of STCW; the Coast Guard will continue to work toward
comprehensive competence standards for mariners. OPA 90 conveyed the
need to regulate existing vessels without double hulls prior to their
phaseout dates. This rule implements that Congressional mandate and
uses the definitions of ``owner'' or ``operator'' as stated in OPA 90.
2. Bridge Resource Management Training
One comment writer supported proposed Sec. 157.415 as written.
Other
[[Page 39776]]
comments suggested revising the requirement as follows: include
simulator training; change the name of this section to Bridge Team
Management Training since courses in Europe on Bridge Resource
Management Training do not reflect the provisions of Sec. 157.415 of
the SNPRM; and ensure that the requirement does not limit training to a
commercial course.
Thirteen comment writers asserted that the proposed 12-month
implementation of this training was too short and suggested that the
implementation period be increased to 36 months or 1 year after STCW
enters into force because the number of personnel who need training
would exceed present training facility capacity and cumulative expenses
would be difficult to meet. Similarly, another comment requested that
foreign mariners be allowed to complete Coast Guard-approved commercial
or company courses within 5 years rather than 36 months. Two refresher
training requirement revisions were suggested: one suggested every 3
years; one supported the 5-year training requirement as proposed.
The Coast Guard has revised this section in this final rule to
reflect the requirements in STCW, Section B-VIII/2, Part 3. Training is
not required in this particular final rule; however, it has been
proposed in a separate rulemaking entitled ``International Convention
on Standards of Training, Certification and Watchkeeping for Seafarers,
1978 (STCW): Implementation of 1995 Amendments'' (61 FR 13284; March
26, 1996). This rule does include a requirement for owners or operators
to provide policy and procedures addressing the bridge resource
management issues in STCW. The Coast Guard has detailed the need for
concise company guidance in its PTP program to reduce the risk of
accidents. The Company guidance required by this rule will give the
master and officers in charge of the navigational watch clear
instructions of company expectations and emphasize the serious
ramifications of poor bridge resource management. Although this
guidance was place in Section B of STCW, and is not part of the
mandatory requirements of STCW, the Coast Guard has determined that
masters and officers in charge of a navigational watch need to be
familiar with this guidance to ensure the environmental protection of
U.S. waters from single-hull tank vessels. Because the hazard of bulk
oil spills due to tank barges can also be reduced through
implementation of bridge resource management policy, the requirement,
which ensures that towing vessel operators are also provided with barge
owner and operator guidance, has been included. Implementation of this
requirement coincides with the STCW timeline of February 1, 1997.
3. Vessel Specific Watch Training
Seventeen comments addressed requirements as proposed in
Sec. 157.420, four of which supported this provision; although one
noted that confirmation of completion of training would be difficult
for barge owners or operators that lease towing vessels. Other comments
included the following: clarify how academic training is to be
received; apply academic training to the master and the officer in
charge of a navigational watch only, instead of applying it to all
watchstanders, which is excessive Sec. 157.415); make a distinction
between onboard training and academic instruction and include both in
training programs; emphasize specific vessel attributes instead of
general requirements; and remove the requirement for error trapping
because it is a term more appropriately applied to system safety
engineers rather than mariners.
Of seven comments received that urged only onboard training be
given, four suggested that supervising officers conduct the training.
Another comment suggested that training ashore be conducted by
supervisory personnel. Other comments received indicated that refresher
training be linked to a mariner's license renewal (every 5 years) while
another comment suggested eliminating the refresher training
requirement.
The Coast Guard is revising this section in this final rule to
reflect the requirement in STCW, Section A-I/14. In the final rule,
Owners or operators are required to provide policy and procedures
addressing the vessel specific watch training issues in STCW. This
complements the requirements in STCW and ensures that companies
implement them. The requirement also ensures that barge owners or
operators provide policy and procedures to towing vessel personnel to
ensure that the company policy is clear. The Coast Guard intends to
enforce this requirement by reviewing the policies and procedural
guidance provided to towing vessel personnel by the barge owner or
operator. An oversight program, or other management system, should be
developed by the barge owner or operator to ensure that the policy and
procedures are clear and implemented effectively. The implementation of
this requirement coincides with the STCW implementation date of
February 1, 1997 .
4. Minimum Rest Hour Requirements
Thirty-two comments addressed requirements as proposed in
Sec. 157.425, two of which supported this provision. The other comments
included the following: Clarify the phrase ``prior to cargo transfer
operations''; clarify the rest hour requirements for shifting between
piers; remove the rest hour requirement because it does not imply a
reduction in a mariner's fatigue; remove the rest hour requirement
because the additional crew needed to meet this requirement would have
less expertise and increase the risk of an accident; ensure that the
rest hour requirement does not include monitoring a pilot's rest time;
and ensure that the rest hour requirement does not allow owners or
operators to assess a crew member's fitness for duty in the event the
crew member's rest hours are interrupted by drills or emergencies.
Several comments questioned the Coast Guard's narrow application of
this section to masters and recommend that the rest hour requirements
be applied to masters at all times. Others recommend that the rest hour
requirement be applicable to watchstanders both before port arrival as
well as before port departure. Some comments recommended the rest hour
requirements' applicability to be expanded to all crew members
supervising bunkering or internal oil transfers. Another comment
recommended that the Coast Guard pursue a change to 46 U.S.C. 8104,
which would allow rest periods and coincide with the provisions in
STCW.
As noted by many of the comment writers, STCW addresses rest hour
requirements. Because it is effective and beneficial to include all
mariners in the rest hour requirement, not just mariners on single-hull
tank vessels, the proposed rest hour requirement has been removed from
this rule. Implementation of STCW is well underway and, therefore,
mariners on both U.S. and international vessels will be subject to rest
hour requirements by February 1, 1997. In addition to these
requirements, the work hour requirements of section 4114 of OPA 90
remain in effect.
Surveys
1. Enhanced Survey Requirements
Sixteen comment writers responded to proposed Sec. 157.430, two of
whom supported the requirements as written. Other comments included the
following: Clarify how the enhanced survey implementation coincides
with 46 CFR part 31; clarify how the enhanced
[[Page 39777]]
survey implementation coincides with classification special survey
requirements; apply the Critical Area Inspection Plan (CAIP) program to
all single-hull tank vessels 5,000 GT or larger; apply requirements of
this section to all tankers and bulk carriers; conform the proposed
section to Regulation 13G of MARPOL 73/78; and harmonize the section
with the requirements adopted by the International Association of
Classification Societies' (IACS) members.
One comment writer recommended eliminating the proposed alternative
enhanced survey option for smaller tankships and tank barges because it
complicates the requirements. Two comments recommended that the Coast
Guard clarify the approval procedures for independent auditing
authorities within the alternative provision. Four comment writers
recommended considering shipowners' self-assessment programs as an
alternative to the enhanced survey requirement.
Regulation of all tank vessels and bulk carriers is not within the
scope of this rulemaking. The Coast Guard has revised the enhanced
survey requirement in this final rule to clarify that the survey
program will begin at a vessel's next regularly scheduled drydock exam.
For U.S. tank vessels, this revision means that the next time the
vessel is required by 46 CFR 31.10-21 to complete a drydock
examination, as defined in 46 CFR 31.10-20, it must implement an
enhanced survey program. For foreign tank vessels, the enhanced survey
program must be implemented at the next drydock required by the flag
administration. This implementation should not conflict with special
surveys required under classification society rules. IACS has
implemented these enhanced survey requirements since 1995 on most
existing tankships because they are also required by MARPOL 73/78 to
meet Regulation 13G. A vessel complies with this rule if it meets the
enhanced survey requirements of Regulation 13G of MARPOL 73/78.
Requiring the CAIP program, in addition to the enhanced survey program,
would be costly and redundant; however, the CAIP program implemented
for some tankships is comparable to international enhanced survey
requirements. Therefore, this rule has been revised to include an
equivalency provision for vessels enrolled in CAIP program. A Coast
Guard review of the program has been included in this revision to
ensure that it is comparable to the enhanced survey requirements prior
to an equivalency determination.
The provision for smaller tankships and tank barge owners or
operators to have an alternative survey program remains in the rule to
reduce cost to small business owners and those not subject to MARPOL
73/78 requirements. Revisions to the alternative survey requirements
were made to reflect the acceptance of a professional engineer as a
third party oversight to the program. Not only will this revision
ensure that the program is implemented and kept active through the
vessel's life, but it will clarify and recognized the value of
independent auditing by knowledgeable individuals.
2. Vital Systems Surveys
Seventeen comment writers responded to proposed Sec. 157.435, one
of whom supported the requirement. Other comments included the
following: Conform the proposed section with the ISM Code; remove
proposed Sec. 157.435 because the ISM Code and industry already conform
with this requirement; remove proposed Sec. 157.435 because the
requirement are already covered by the Federal Declaration of
Inspection; revise proposed Sec. 157.435 to include only the checklist
requirements; develop a uniform list of elements for each system noted
in this section rather than incorporating industry standards; include
communication system and navigation system surveys in the requirement;
inspect all vessel moorings twice a year instead of the proposed
frequency; require that logbook entries, including surveys and checks,
be done in the deck logbook, and not the Oil Record Book.
Several comments recommended adding the requirement to inspect
mooring lines and emergency towing lines before arrival or departure,
as appropriate. One comment recommended using standby tugs while moored
in extreme areas and suggested that research be conducted on mooring a
vessel to a pier using a magnetic field. Another comment suggested that
the following activities be conducted more frequently: Hydro-pressure
testing of cargo handling equipment; calibration of safety pressure
relief devices in cargo pumping systems, and tank pressure and vacuum
devices; and exercising of critical components of the system such as
crude oil wash, inert gas, tank level indicators or alarms. This
comment writer asserted that these recommendations, if implemented,
would reduce the risk of spills.
The Coast Guard has reviewed the requirements proposed in the SNPRM
and has revised them slightly. This rule goes beyond the requirements
of the Federal Declaration of Inspection requirements and also reflects
current recommended safety practices developed by the International
Chamber of Shipping, Oil Companies International Marine Forum, and the
International Association of Ports and Harbors. No checklists were
proposed in the SNPRM and none have been developed for this final rule.
The International Safety Guide for Oil Tankers and Terminals (ISGOTT),
which is incorporated by reference, contains sufficient, valuable
safety guidance to personnel in charge of transfer operations. The
Coast Guard has incorporated the fourth edition of ISGOTT rather than
the proposed second edition. This newer edition contains format changes
and includes safety measures for loading at terminals having vapor-
emission control systems.
The ISM Code does not specifically address or require companies to
develop the safety measures detailed in this rule. It is anticipated
that this requirement will become part of the company's Safety
Management System when it implements the ISM Code.
This rule was also revised to allow personnel on tank vessels to
inspect mooring, emergency towing, and anchoring gear either prior to
entering port or prior to getting underway. The survey frequency in
this rule, rather than a less frequent survey, is appropriate due to
the propensity for severe weather to shift or damage this typically
exposed gear. Communication and navigation surveys were not proposed in
the SNPRM and are not included in this rule because they are required
by 33 CFR part 164 for vessels 1,600 GT or more and are proposed in a
separate rulemaking for towing vessels (60 FR 55890; November 3, 1995).
The logging requirement for this rule has been revised to reflect entry
of vital systems surveys in the deck logbook or other onboard
documentation. The Coast Guard notes that measures such as magnetizing
or requiring additional tugs at pier facilities may have some benefit,
but these measures are not included in this rule because the cost to
implement them would be prohibitive to many ports.
Navigation and Maneuverability
1. Autopilot Alarm or Indicator
Thirteen comment writers responded to proposed Sec. 157.440, five
of whom supported the requirement as written. Other comments suggested
that the requirement should not allow the usage of the autopilot in
rivers or restricted waterways. One comment writer, however, asserted
that the requirements of this section are unnecessary because
[[Page 39778]]
a properly trained watch officer always knows the status of his or her
course.
Autopilot use is specifically limited for tank vessels 1,600 GT or
more in 33 CFR 154.13 and currently includes most restricted waterways
and rivers. The Coast Guard has not specified additional autopilot
restrictions because this autopilot alarm or indicator requirement will
effectively reduce the misuse of autopilot when close to shore or in
vessel traffic systems. Some companies have installed these alarms and
have found that, even with highly skilled watchstanders, the alarm has
sounded in waters where a disengaged autopilot was required. The Coast
Guard is retaining the autopilot alarm or indicator requirements in
this final rule because ensuring the autopilot is engaged only in
certain waters is beneficial.
2. Maneuvering Performance Capability
Nineteen comment writers responded to proposed Sec. 157.445, five
of whom supported the requirement. Some of the comments suggested
applicability changes including the following: Apply proposed
Sec. 157.445 to all vessels, regardless of their flags; extend
application of the proposed Sec. 157.445 to double hull vessels; work
within IMO to apply IMO Resolution A.751(18) to all vessels and include
internationally agreed upon compliance stipulations; remove proposed
Sec. 157.445 because the maneuvering capability measurements of IMO
Resolution A.751(18) are intended only for new vessels, many existing
vessels would fail the capability criteria, and it is unreasonable to
require certain maneuvers at 90 percent of full speed; and remove the
requirement because it is costly, difficult to complete, and not
beneficial.
One comment writer asserted that proposed Sec. 157.445 is too
complex and considered current regulations adequate. Other comments for
revisions to proposed Sec. 157.445 included the following: Accept Annex
1.2.1 in addition to proposed Annex 1.2.2; specify that tests be
conducted on only one vessel of the class; clarify that if a vessel
fails to meet the maneuvering criteria, the vessel owner or operator
will not be liable for allowing the vessel to enter port; remove the
reporting requirement in proposed Sec. 157.445 because it is burdensome
and misinterpretation could occur; provide criteria to the COTP on
applying restrictions; revise the list of criteria that COTPs can
impose by removing proposed tug escort and speed limit options and
including operational restrictions, such as reduced speed operation.
Regulation of all vessels or double hull tank vessels is not within
the scope of this rulemaking. The Coast Guard has considered the
applicability of these maneuvering performance tests to existing
vessels and has retained the test requirements. The maneuvering
capability standard has been removed because the standards are for new
construction while the testing of the vessel's maneuvering capability
is the focus of this rulemaking. By eliminating the requirement to meet
the maneuvering capability standard, there is no longer an issue of
vessel failure. The requirement has also been revised to allow the test
methods of either Annex 1.2.1 or 1.2.2 of IMO Resolution A.751(18) to
complete the tests. Therefore, scale model tests or computer
predictions, validated by full-scale trials, or full-scale trial
results are acceptable. Those vessel owners or operators that contend
that the vessel's full-scale trials would be unsafe, can now use other
technological means to meet this requirement. Additionally, this rule
allows tankship owners or operators to substitute the test results of a
sister vessel if its hydrodynamic and propulsion design characteristics
are the same. By retaining this requirement, the Coast Guard ensures
that the vessel's maneuvering capability, including valuable overshoot
angle information and detailed stopping capabilities, are posted and
discussed prior to port entry or departure. The COTP reporting
requirement proposed in the SNPRM has been removed and replaced with a
requirement for the master to discuss the maneuvering test results with
the pilot. The Coast Guard anticipates that a transit specific
discussion of maneuvering capability between the pilot and the master
is sufficient to reduce the risk of accidents.
3. Maneuvering and Vessel Status Information
Thirteen comment writers responded to proposed Sec. 157.450, five
of whom supported the requirement and the incorporated standards. Other
comments included the following: Combine pilot card and maneuvering
information requirements into one document; reconcile the proposed
section with 33 CFR 164.35(g) and 46 CFR 35.20-40 to eliminate
conflicting requirements; remove the maneuverability booklet
requirement because it is of little value; retain the information on
the tanker's particulars recorded on the pilot card because it is
valuable; delete the entire proposed Sec. 157.450 because it is not
practical; and apply the requirements to all new and existing U.S. and
foreign vessels over 1,600 GT entering U.S. waters.
The Coast Guard has retained the maneuvering and vessel status
information requirement in this final rule and has made it applicable
to the vessels covered by section 4115(b) of OPA 90; however, the
maneuverability booklet requirement in IMO Resolution A.601 Annex 3.3
is not required. Combining the pilot card with other maneuvering
information is not required because the format of the pilot card,
maneuvering poster, and other maneuvering information has been accepted
by the international community. The maneuvering poster requirement of
this rule is more detailed than the requirements of 33 CFR part 164 and
46 CFR part 35 in that they require squat and other engine information
to be displayed along with the general turning circle information. The
format of the required maneuvering poster is also standardized to
enable quick review of this data and to prevent omission of important
information. Meeting the requirements of IMO Resolution A.601(15) does
not necessarily ensure that the requirements of 33 CFR part 164 and 46
CFR part 35 have also been met.
4. Minimum Under-Keel Clearance
The Coast Guard received 169 comments that responded to proposed
Sec. 157.455, four of which supported this section. Many of the
comments suggested removal of proposed Sec. 157.455 for the following
reasons: most unintentional groundings are caused by operator error or
mechanical failure rather than inadequate clearance; each port already
as draft limits based on its own geography; calculations are unreliable
because of variable environmental factors and vessel schedules; the
public may perceive proposed Sec. 157.455 as ``a quick fix'' and, in
some cases, if implemented, may actually be detrimental to marine
safety; a vessel operator's own safety program is sufficient; studies
have not indicated that this requirement would result in increased
safety; tank vessel owners and operators may be unable to calculate
clearances based on lack of local knowledge; it is more appropriate to
include under-keel clearance awareness and calculation requirements as
a training requirement; a vessel's liability cap may be broken if it is
grounded outside the navigational channel; the authority of the COTP is
undermined and proposed Sec. 157.455 is contrary to PTP's partnership
policy; proposed Sec. 157.455 replaces the valuable local knowledge of
the mariner with the COTP; and proposed Sec. 157.455, if
[[Page 39779]]
implemented, could wrongly extend to all vessels.
Other comments suggested that the calculation of the anticipated
under-keel clearance was acceptable; however, the COTP reporting
requirement was unacceptable for the following reasons: The role of the
COTP, as an independent authority able to enforce clearance
requirements without being a party to the decision, should be
preserved; proposed Sec. 157.455 should be revised to prohibit the
passage of vessels unable to navigate the channel without touching the
bottom because it would be clear, enforceable, and not require COTP
approval; and authority of the COTP is illusory and would not be used
because of the COTP's unwillingness to depart from the official Coast
Guard standard.
One key issue, addressed by 143 comment writers, was that under-
keel clearance levels should be determined locally because of the
variety of local conditions and expertise. Another comment suggested
that because shoals establish a maximum loading draft that could vary
daily, the local minimum under-keel requirements should be set on a
daily basis. Several comments suggested that the Coast Guard allow the
COTP to grant exceptions in situations where there might be a need to
deviate from the minimum under-keel clearance regulations because of
safety or other compelling port operation purposes. Other comment
writers recommended that the requirement either exclude or make
clearance-reduction allowances for the facility. Another comment
suggested that the Coast Guard should only intervene in the event of
intentional overloading, misstating, or understating of the draft.
Four comments specifically recommended reducing the frequency of
calculating under-keel clearance and designating a local authority,
other than the COTP, to set minimum under-keel clearance requirements
and provide water depth data. Other comments suggested that the
calculation include more detail such as squat, size of the vessel, ship
handling, swell, tidal conditions, type of seabed, and salinity.
In contrast, several comments suggested expanding the minimum
under-keel clearance requirement to include the following: Double hull
tank vessels; double bottom tank vessels; and all vessels. Other
comments suggested the following: provide precedence over other
commercial vessels for fully-laden, heavy beam, self-propelled tank
vessels; prescribe convoy-transit-times for potentially high-risk
vessels; require escort tugs be used wherever possible; and require
more than just the vessel personnel to calculate the under-keel
clearance.
Because OPA 90 section 4115(b) addresses existing vessels without
double hulls, expanding this requirement to include all vessels, double
hull vessels or bulk carriers is not within the scope of this
rulemaking. The Coast Guard has revised the anticipated under-keel
clearance requirement. The requirement no longer has a standard of .5
meter; however, the rule retains under-keel calculations and review of
port requirements because the need for single-hull tank vessels to
ensure good safety practices relating to under-keel clearance while
transiting port is particularly essential. The proposed .5 meter
reporting requirement has also been revised in this rule because the
Coast Guard recognizes that many ports have effectively set guidelines
followed by most vessels. Instead of the COTP reporting requirement,
the master and pilot must review the anticipated clearance. The pilot
acts as an advisor, not as a regulator. Partnerships and other civic
groups all assist the Coast Guard in its effort to make the industry
safe; however, owners and operators continue to ignore cooperatively
developed safety practices when profits are favorable. Oil spills have
occurred because tank vessels enter port with drafts too deep for the
facility and then ``find'' an anchor or rock as they intentionally
ground at the facility. Because this rulemaking emphasizes risk
reduction, grounding any vessel at the facility, especially an existing
tank vessel without a double hull or double bottom, is not deemed
prudent.
The factors used to calculate anticipated under-keel clearance
remain general because the Coast Guard has emphasized the planning and
review of the Calculation by the master, pilot, and owner or operator.
The Coast Guard anticipates that a mariner, especially one that has met
the competency requirements of STCW, will use the appropriate factors
such as salinity, tide, and sinkage to complete the anticipated under-
keel clearance calculation. This rule specifically requires the master
to review the calculations with the pilot in order to ensure that a
valuable exchange of relevant information occurs prior to the transit.
This rule also ties the owner or operator into the decision-making
process. If owners or operators influence the master to enter port with
under-keel clearances that are imprudent or not in line with pilot
safety guidance, the vessel owner or operator may risk the loss of the
limits on liability if the vessel grounds during transit.
Additional Requirements for Tank Barges
Of the few comments received addressing additional requirements for
tank barges, two supported the proposed requirements as written.
Another comment suggested that proposed Sec. 157.460(a) be removed
because two engines, a single screw, and duplicate controls have proven
to be safe. Other comments expressed concern that the tank barge owner
or operator would have a difficult time ensuring that the towing vessel
meets the proposed steering and fendering requirements. The Coast Guard
has retained these requirements to ensure the safe operation of tank
barges. If a towing vessel owner has duplicate controls, but not an
alternate power unit, positive steering control cannot be maintained.
Barge owners or operators should be able to screen towing vessels for
these requirements, either by physically checking that this equipment
is in place, or using a contractual agreement as a basis for hiring
appropriate towing vessels.
Emergency Lightering Requirements for Tank Vessels
Eleven comment writers responded to proposed Sec. 157.410, six of
whom supported the requirement as written. The remaining five comment
writers requested clarification on why this proposed lightering
equipment requirement also addressed the piping that would be directly
connected to it. It was not the intent of proposed Sec. 157.410 to
require complete on-deck piping refits on those existing vessels that
have installed malleable iron cargo piping. This rule was developed to
ensure that the equipment was on board and available for use in an
emergency. It was not developed to require a complete reconfiguration
or a new piping system. Surveys and regular maintenance should ensure
that piping systems on existing vessels constructed of malleable iron
remain intact and safe. The Coast Guard has revised this requirement
slightly to simply require that the reducers, bolts, and gaskets not be
constructed of cast iron or malleable iron.
Discussion of Definitions and Subparts
This final rule has added several definitions to meet the
requirements of the Edible Oil Regulatory Reform Act (Pub. L. 104-55,
109 Stat. 546 [1995]) which requires different oil types to be
categorized separately. The definitions of ``petroleum oil,''
``vegetable oil,'' ``animal fat,'' and ``other non-petroleum oil'' have
been added to this rule to
[[Page 39780]]
delineate the differences between these cargoes. The definition of
``departing port'' has been removed because it was used to reduce the
impact of the proposed rest hour requirement on small tankship and tank
barge companies. In measures that include port entry or departure
requirements such as vital systems survey and under-keel clearance, the
term ``getting underway'' is used in this rule because it is
appropriate and logical to require these calculations or surveys to be
done prior to vessel movement.
Two subparts have been added to this final rule. New subpart H was
created to separate animal fats or vegetable oils from other oils.
Subpart I was created to separate out other non-petroleum oils. The
Coast Guard has determined that a discharge of animal fat, vegetable
oil, or other non-petroleum oil from a vessel could reasonably be
expected to cause harm to the environment. Therefore, vessels that
carry animal fat, vegetable oil, or non-petro
FR Doc. 96-19236 Operational Measures To Reduce Oil Spills From Existing Tank Vessels Without Double Hulls
leum oil in bulk are
required to comply with the operational measures in subpart G.
Amendments to 46 CFR Part 31
To ensure cross reference to the enhanced survey requirements,
tables (a) and (b) in 46 CFR 31. 10-21 have been revised to direct
individuals using 46 CFR part 31 to Sec. 157.430; however, it does not
change existing drydock requirements.
Amendments to 46 CFR Part 35
To ensure cross reference to part 157, Sec. 35.01-40(c) of title 46
of the CFR is revised to refer individuals using 46 CFR part 35 to the
applicable pollution prevention requirements.
Incorporation by Reference
The Director of the Federal Register has approved the material in
Sec. 157.02 for incorporation by reference under 5 U.S.C. 552 and 1 CFR
part 51. The material is available as indicated in that section.
Assessment
This final rule is a significant regulatory action under section
3(f) of Executive Order 12866 and has been reviewed by the Office of
Management and Budget (OMB) under that order. It requires an assessment
of potential costs and benefits under section 6(a)(3) of that order. It
is significant under the regulatory policy and procedures of the
Department of Transportation (DOT) (44 FR 11040; February 26, 1979).
An Assessment has been prepared and is available in the docket for
inspection or copying where indicated under ADDRESSES. The Assessment
is summarized in the following discussion.
This rulemaking applies to all existing vessels of 5,000 GT or more
that do not have double hulls and that carry oil, animal fat, vegetable
oil, and other non-petroleum oil, in bulk as cargo. An estimated 1,359
existing tank vessels (190 U.S. tankships, 1,080 foreign tankships, 86
U.S. tank barges, and 3 foreign tank barges) currently operating on
U.S. navigable waters are affected by this rulemaking.
Comments on the SNPRM Assessment
1. Methodology of Assessment
The Coast Guard requested comments on the methodology used for the
preliminary benefit analysis in the SNPRM as well as each measure's
anticipated benefits and economic feasibility. One comment suggested
that the ``fault trees'' used to represent data in the preamble of the
SNPRM were excellent, but recommended that grounding be separated into
its own category for this analysis. The Coast Guard has reviewed all
accidents in its database that involved single-hull tank vessels and
occurred between 1989 through 1994. Groundings were researched as well
as other types of accidents. Although the ``fault trees'' were not
reconstructed for this final rule, the effectiveness factors were
estimated with respect to the risk of grounding and further field data
was collected to compare and adjust the projected oil spilled benefit
numbers estimated due to groundings.
2. General Comments on Costs and Benefits
One comment writer asserted that the cost-benefit analysis inflated
certain costs, discounted certain benefits, and inflated the estimated
costs. Another comment writer stated that travel and accommodations for
additional crew members would result in higher industry costs than the
costs estimated in the SNPRM assessment. Several comment writers
remarked on the costs of compliance with the minimum under-keel
clearance provision of this rulemaking by asserting the following: a
detailed cost-benefit analysis of the under-keel clearance requirement
should be completed; the potential impact on local trade should be
factored into the cost analysis; the increase in traffic due to the
under-keel clearance requirement would reduce the benefits; and the
under-keel clearance requirement would not improve safety, add economic
benefits, or raise environmental protection. Some comments also
suggested that the costs for the rest hour requirement were
underestimated because 46 U.S.C. 8104(a) only applies to the officer
taking the vessel out of port, not, as the SNPRM estimated, both the
officer and the master.
The Coast Guard has reassessed the benefits from each of the
measures in this rule and has considered remote locations within its
flexibility assessment. The costs were carefully assessed for each
measure and were not overinflated. The costs for rest hours have been
removed in this assessment because the rule no longer requires rest
hours. Benefits have been estimated based on an assessment of each
measure's effectiveness and the actual historical data that suggests
the likelihood of the type of accident the measure mitigates. Some
requirements have been revised and the cost-benefits have been reviewed
and changed to reflect these cost and benefit adjustments. In some
cases, measure's cost has been reduced, an its estimated effectiveness
at mitigating an accident has been reduced as well. This results in
little to no change in the measure's present value cost-effectiveness.
The Coast Guard has kept operational safety and environmental
conservation paramount during the development of these operational
measures and has effectively balanced the Congressional restriction to
only mandate economically and technically feasible requirements.
3. Comments on Under-Keel Clearance Cost and Benefits
The cost associated with the proposed under-keel clearance
requirement was discussed in many comments. The overriding statement of
concern, endorsed by 117 comments, was that proposed Sec. 157.455, if
implemented for all vessels, would have a negative economic effect on
ports and shipping due to the reduction in carrying capacity of
vessels, costs associated with dredging, and tug costs. The comments
suggested that costs, due to an all encompassing national under-keel
standard, would result in the following: for the West Gulf ports, the
economic impact would be $110 million annually; the economic impact of
this .5 meter requirement would negatively impact Texas, Florida,
Louisiana, and Virginia; port costs such as dredging or costs due to
lost customers would place significant economic pressure on the ports;
costs would be higher than estimated because delay times must be
allowed for oil redistribution after partial discharge operations; the
shutout costs to one barge unit, associated with a .5 meter clearance,
would be $600,000
[[Page 39781]]
per year; and the 15 percent reduction of capacity of Aframax
lightering vessels would result in an additional lightering vessel
operation for each very large crude carrier (VLCC) discharge. In
contrast, other comment writers remarked that 10 percent of the draught
in fairways is standard practice inside ports, and that the cost
assessment appears to be too high since under-keel clearance
restrictions are already established in most ports.
Ninety-eight comments suggested that the benefit estimates for
proposed Sec. 157.455 were overestimated by noting the following: the
oil spill from the vessel World Prodigy was not caused by inadequate
under-keel clearance, but by the vessel being on the wrong side of the
buoy and in shallow water; pollution would not be minimized on the
Mississippi River, Delaware River, or any other river because there has
never been an incident; the proposal would result in an increased risk
to the environment from vessel traffic increases due to lightering and
the added danger of spills from the transfer of oil at sea; and because
groundings occur outside the channel, benefits from proposed
Sec. 157.455 would be minimal or nonexistent.
The Coast Guard extensively reviewed the estimated cost and the
anticipated benefit for this measure. A review of the port of New
Orleans records revealed that 1 percent of vessels have entered port in
the last 3 years with drafts exceeding the water depth or entered port
ignoring local pilot guidance. There are records of in-channel
groundings from these vessels, and it is not uncommon to find vessels
aground at the facility prior to off-load operations. Oil spills, such
as the World Prodigy, indicate that lack of passage planning,
specifically lack of under-keel clearance planning, has contributed to
accidents. The majority of comment writers mistakenly assumed that the
proposed under-keel clearance requirement prohibited port entry and was
applicable to all vessels. This rule applies to each single-hull tank
vessel that is not fitted with a double bottom that covers the entire
cargo tank length. It does not extend to all vessels. The cost to ports
was not included in the estimate because the majority of comments and
the Coast Guard's review revealed that most ports already have under-
keel clearance guidance. This rule addresses the small percentage of
single-hull tank vessel owners or operators who knowingly allow their
vessels to enter port at drafts deeper than port guidance recommends or
knowingly ground at the facility. By requiring the master and pilot to
review the anticipated under-keel clearance calculation and compare or
review it with the owner's or operator's guidance, the risk of a
grounding will be reduced.
Industry Cost
Some of the operational measures require actions prior to each port
transit or cargo transfer. As a result, vessels on coastwise or
frequent transit schedules will incur higher expenses than vessels with
a lower frequency of port calls. In contrast, the decrease in fleet
size as vessels arrive at their phaseout date results in a downward
trend in estimated annual costs from 1996 through 2014.
First-year compliance cost of this final rule will total about
$60.5 million. Annual costs of the rule will trend downward, leveling
out annually at $539,054 during 2012 to 2014, the final years that the
rule will be in effect. The present value of this rule is discounted at
7 percent throughout this assessment in accordance with current OMB
guidance to reflect the costs or benefits as they would have been in
the year the Oil Pollution Act of 1990 (OPA 90) was enacted. The
estimated present value of this rule, discounted at 7 percent, will
total $106.3 million. U.S. tankships and tank barges account for an
estimated one-third of the total cost, and foreign tank vessels and
barges account for the remainder. A discussion of costs for each
requirement follows.
The costs associated with each operational measure were developed
based on vessel type, vessel use, and average vessel size. The cost
analysis was applied to tankships and tank barges. Cost analysis
calculations were based upon the following assumptions: (1) the
rulemaking comes into effect in 1996; (2) the recurring cost of this
rulemaking reflects the future vessel population decrease as required
by the phaseout schedule in section 4115(a) of OPA 90; (3) costs and
benefits developed for this rulemaking are discounted at 7 percent back
to 1990; and (4) all recurring costs are calculated for the year 2001.
Emergency Lightering Equipment
Lightering equipment costs were based on the costs used in the
final rule entitled ``Emergency Lightering Equipment and Advanced
Notice of Arrival Requirements for Existing Tank Vessels Without Double
Hulls'' (59 FR 40186; August 5, 1994). The vessel population affected
by the emergency lightering equipment rule is small. Section 157.410 of
title 33 of the Code of Federal Regulations requires oil tankers to
have this equipment. It is not common industry practice to allow cast
iron flanges and fittings on tank vessels; therefore, only tank vessels
with exclusive animal fat, vegetable oil, or other non-petroleum cargo
carriage authority were included in the cost of this rule.
Approximately 114 foreign tankships and 2 foreign tank barges carry
non-petroleum cargo and may be affected by this change. No U.S. vessels
are indicated under this measure.
The onetime cost for this requirement for foreign tankships is
estimated to be $456,000 to $1.1 million and the cost for foreign tank
barges will be $8,000 to $19,000. Based on the average onetime cost for
foreign tankships and tank barges, the present value of point-estimate
costs for emergency lightering, discounted at 7 percent to 1990, is
$530,000.
Bridge Resource Management Policy and Procedures
The cost for bridge resource management policy and procedures
reflects a 5-month implementation period in order to be in line with
the implementation of the International Convention on Standards of
Training, Certification and Watchkeeping for Seafarers, 1978, as
amended in 1995 (STCW).
Development of company specific bridge resource management policy
and procedures was estimated to cost $5,000 per vessel per company and
is representative of the initial first-year costs of this requirement.
The cost for a company to review the policy and procedures, including
vessel personnel oversight to ensure that the watchstanders understand
and follow guidance, is estimated to be $1,000 per vessel per year.
The first-year costs imposed are estimated to total $4.7 million.
Recurring costs are estimated to total $5.5 million over the 19-year
life of this rule. Total costs of development and continued review of
bridge resource management policy and procedures, discounted at 7
percent, will be approximately $10.17 million.
Vessel Specific Watch Policy and Procedures
The Coast Guard estimates the additional cost incurred by this
requirement to be negligible. The cost attributed to time lost due to
this policy and procedures requirement is negligible because
implementing this type of policy falls within the scope of a master's
present responsibility to ensure that the crew is ``fit for duty'' and
this requirement is already mandated by STCW.
[[Page 39782]]
Enhanced Survey Requirements
Those tankships regulated by flag administrations that have adopted
Regulation 13G of annex I of MARPOL 73/78 are presently required to
meet this enhanced survey requirement; therefore, no cost was
attributed to them for this rule. U.S. tankships currently are not
required to meet Regulation 13G of Annex I of MARPOL 73/78; however, if
they have a current classification by a classification society that is
a member of IACS, they have been in an enhanced survey program since
1995. Under this rule, those U.S. and foreign tank vessels not covered
by MARPOL 73/78 Regulation 13G and those not classed by an IACS member,
will incur costs associated with developing or augmenting current
survey programs to meet this requirement.
Cost attributed to the enhanced survey requirement includes the fee
for the surveyor's time to conduct the survey and document it.
Additional costs include making approximately two tank interiors
accessible to the surveyor through the use of scaffolding, ladders,
lines, or other arrangements and additional gauging requirements. Some
additional repair costs may also be incurred after a review of the
survey is completed. These repair costs were estimated in this
assessment but were not increased due to vessel age because thorough,
frequent hull surveys should detect repairs before they come
comprehensive--even as the vessel approaches its phaseout. Cost
estimates do not include the costs to drydock the vessel, gas free it
for inspection, or keep it in the drydock because these costs are
already incurred with present drydocking requirements.
Tank barges are not required to meet Regulation 13G of Annex I of
MARPOL 73/78. This rule allows tank barges and vessels smaller than the
MARPOL 73/78 cutoff to substitute comparable company programs for the
enhanced survey requirements. Because the company program clause
assumes the owner has an established survey program and will not need
to conduct extensive additional repairs, the cost of these company
programs will be less than a classification survey. The cost for this
equivalency is estimated to be half the expense of a classification
society to document an enhanced survey, and half the expense of a
MARPOL 73/78 tankship owner to gauge, scaffold, and make repairs to two
cargo tanks.
The total estimated cost for this rule reflects a 30-month initial
implementation period which coincides with most vessels' regularly
scheduled drydock examinations. Because the frequency of the drydock
examination is once every 2.5 years, an implementation adjustment of .4
was multiplied by the cost for one survey to calculate annual costs.
The Coast Guard assumes that the owners or operators will spread survey
costs evenly over the 2.5-year interval. The Coast Guard estimates the
total estimated first-year annual cost for this rule to be $2.4 million
for U.S. tankships; $10.3 million for foreign tankships; $2.3 million
for U.S. tank barges; and $80,000 for foreign tank barges. Because the
cost estimates have been averaged and it has been assumed that vessels
affected by this rulemaking will be in service for at least two drydock
enhanced surveys prior to their phaseout, recurring costs will be the
same as the first-year costs. The estimated present value enhanced
survey cost, discounted at 7 percent in 1990, will total $28.2 million.
Vital Systems Surveys
The cost of this measure will vary based on port departure
frequency, crew salary, and the estimated time required for each
survey. A survey is required before a tank vessel begins cargo transfer
operations or prior to a vessel either entering port or getting
underway. An estimate of port arrivals was calculated based on 1993
Coast Guard data and reflects an average arrival frequency of 28 for
U.S. tankships, 32 for U.S. tank barges, 6 for foreign tankships, and 7
for foreign tank barges. Three surveys were estimated for each port
arrival.
Crew members affected by this requirement will be senior personnel.
For tank barge surveys, an average towing vessel master's wage was used
for cost evaluation. For tankship surveys, an average chief mate's wage
and a chief engineer's wage were used for cost evaluation. Survey time
was estimated at 1 hour on a tankship (0.5 hour each for both the chief
mate and chief engineer) and approximately 48 minutes for the master of
a primary towing vessel or a senior tank barge representative. The
survey cost is estimated for U.S. tankships to be $660,000. The
estimated survey cost to foreign tankships will be $465,000. The
estimated survey cost to foreign tankships will be $465,000; to U.S.
tank barges, $289,000; to foreign tank barges, $2,500. By 2001, the
estimated cost of this rule to U.S. tankships will be $472,000; to
foreign tankships $322,000; to U.S. tank barges, $208,000; and to
foreign tank barges, $1,500. The present estimated value of the costs
of vital system surveys during each year the rule will be in effect,
discounted at 7 percent to 1990, will total $6.0 million.
Autopilot Alarm or Indicator
The cost for this measure was calculated based on the assumption
for this measure was calculated based on the assumption that 10 percent
of the U.S. tankships presently meet this requirement, none of the
foreign tankships presently have this capability, and three towing
vessels will require an indicator for every two tank barges affected by
this final rule. It was also assumed that the tank barge company owned
the towing vessel and, therefore, will incur the cost of this
requirement. The estimated installation cost of a visual and audible
autopilot alarm is $5,000 on electronic tankship steering systems and
the estimated autopilot indicator cost is $100. Negligible additional
costs are attributed to the testing of this alarm because the test is
short and there is a preexisting requirement to test this type of
equipment under 33 CFR part 164. This rule will have a onetime
estimated cost to U.S. tankships of $855,000; to foreign tankships,
$5.4 million; to U.S. tank barges, $12,900; and to foreign tank barges,
$500. The estimated present value of autopilot alarm cost, discounted
at 7 percent to 1990, will total $4.2 million.
Maneuvering Performance Capability
Under this final rule, foreign and domestic tankships of 5,000 GT
or greater without double hulls will be required to conduct additional
maneuvering tests and also recalculate or confirm other maneuvering
characteristic datum. Required performance tests can be done with the
vessel in operation or with computer simulation. Test costs are based
on an independent subcontractor coming on board a tankship to conduct
the tests and provide the documentation required. This estimate
reflects industry cost for test preparation, equipment, personnel,
transportation, vessel operational delay, data processing, and final
report collation. It was assumed that no tankships affected by this
rule have conducted these tests. Because sister vessel test
substitutions are allowed in this rule, no cost was attributed to 20
percent of the vessel population. Model testing was assumed to be
similar in cost to actual testing.
The total onetime estimated cost to the U.S. tankship industry will
be $2.8 million and the cost to the foreign tankship industry will be
$15.9 million. The estimated present value maneuvering performance
capability cost, discounted at 7 percent to 1990, will total $12.46
million.
[[Page 39783]]
Maneuvering and Vessel Status Information
No additional maneuvering tests will be required for Sec. 157.450;
however, some recalculation of data from the original tests used to
develop the wheelhouse poster of 33 CFR 164.35(g) may be required. A
cost estimated of $1,080 was developed to reflect the recalculation of
original maneuvering data and the fee of an average U.S. licensed naval
architect. Vessel population estimates indicated that 75 percent of
both foreign and U.S. tankships presently meet the wheelhouse poster
requirement. The cost attributed to the pilot card requirement will be
negligible because the time spent completing the pilot cards is within
the scope of the officer in charge of a navigational watch's normal
duties.
This requirement has a onetime cost attributed to the wheelhouse
poster. For the 190 U.S. tankships, the estimated cost of the
wheelhouse poster will be $10,000. For the 1,080 foreign tankships, the
estimated cost of the wheelhouse poster will be $58,000. The estimated
present value maneuvering and vessel status information cost,
discounted at 7 percent to 1990, will total $43,995.
Minimum Under-Keel Clearance
The cost of the measure was based on several assumptions. This
requirement anticipates that the under-keel clearance calculation will
be completed by the vessel master or tug operator, reviewed with the
pilot, and compared with company port specific guidance or reviewed
with the vessel owner or operator prior to port entry or getting
underway. For tank vessels, it was assumed that this calculation will
be done at least twice for each port transit. It was assumed that this
measure will affect approximately 1 percent of the tankship population
and 10 percent of the tank barge population. Of the affected
population, it was estimated that this rule will result in a 9 percent
reduction in cargo carrying capacity. The cost attributed to the
recording requirement will be negligible because the time spent
completing the vessel log entry or other similar documentation is
within the scope of the officer of a navigational watch's normal
duties.
As a result of the reduced cargo capacity for the affected vessels,
the first-year under-keel clearance cost is estimated for U.S.
tankships to be $2.5 million. Foreign tankship costs will be about $3.6
million, U.S. tank barge cost will be about $4.2 million, and foreign
tank barge costs will be about $142,000. By 2001, the estimated
recurring cost of this rule to U.S. tankships will be $1.3 million; to
foreign tankships, $2.5 million; to U.S. tank barges, $2.8 million; and
to foreign tank barges, $142,000. The estimated present value of the
costs of under-kneel clearance during each year the rule will be in
effect, discounted at 7 percent to 1990, will total $43.97 million.
Emergency Steering Capability
Section 157.460(a) applied to the primary towing vessels engaged in
towing tank barges of 5,000 GT or more without a double hull. An
estimated total of 134 towing vessels will be affected by this final
rule. Of these vessels, research indicates 80 percent presently meet
this requirement. It was assumed that the towing vessels that do not
meet this requirement are owned by the tank barge company. The cost to
reconfigure the towing vessel's steering gear will be $25,000 based on
an independent subcontractor installing additional piping and tankage
on an existing hydraulic steering system.
The onetime emergency steering requirement cost is estimated to be
$645,000 for U.S. tank barge companies, and $25,000 for foreign tank
barge owners or operators. The estimated present value emergency
steering capability cost, discounted at 7 percent to 1990, will total
$446,000.
Fendering Systems
Section 157.460(b) applies to primary towing vessels and the
fleeting or assist towing vessels engaged in maneuvering tank barges of
5,000 GT or more without double hulls. A total of 312 towing vessels
will be affected by this final rule. Of these vessels, 80 percent
presently have adequate fendering systems. It was assumed that those
towing vessels that do not meet this requirement are owned by the tank
barge company or the tank barge company will realize a cost increase in
the leasing of an adequately fendered towing vessel. The cost to add or
reconfigure the towing vessel's fendering system will be $1,320 based
on a towing vessel's personnel installing an additional 8 linear feet
of commercial fenders during a routine maintenance period.
This requirement is estimated to have an initial cost to U.S. tank
barge companies of $79,500, and a cost to foreign tank barge companies
of $3,000. Estimated recurring costs, reflecting the diminishment of
the single-hull tank barge fleet by 2001, will be $57,000 for U.S. tank
barge companies and $2,000 for foreign tank barge companies. The
estimated present value of the cost of fendering systems, discounted at
7 percent to 1990, will total $329,000.
Government Cost
Federal Government cost will include Coast Guard personnel time and
resources to review survey records and documentation required by this
rule during annual tank vessel examinations (foreign vessels) or annual
inspections (U.S. vessels). It does not include Federal Government cost
to vessels in the National Defense Reserve Fleet (NDRF), because under
Pub. L. 104-106, NDFR vessels are exempt from the provisions of section
3703a of title 46, United States Code.
The length of time added to a typical examination or inspection
varies based on the type of service in which the vessel engages. The
Coast Guard estimates that these requirements will increase the time of
examination or inspection by an average of 0.5 hours for any given
requirement. The various requirements range from 0.25 hours to inspect
log entries to 8 hours to review documentation of an enhanced survey on
a U.S. tankship or tank barge.
Government costs attributable to implementation of this rule are
based on 11 requirements. The Coast Guard examination or inspection
will evaluate relevant documentation on several measures. These
measures are as follows: bridge resource management policy and
procedures, vessel specific policy and procedures, enhanced surveys,
vital systems surveys, maneuvering performance capability test
information, maneuvering information, and minimum under-keel clearance.
During an annual examination or random port inspection, the Coast guard
will also ensure that the emergency lightering equipment, the autopilot
alarm or indicator, the emergency steering gear, and the fendering
systems meet the requirements.
The maneuvering performance capability requirement specifies that a
tankship master shall discuss the vessel's test results with the pilot
prior to port entry or getting underway. Coast Guard personnel will not
have any oversight obligation for this requirement.
Therefore, the government cost analysis assumes annual inspection
time will average 6.95 hours for U.S. tank vessels and 4.75 hours for
foreign tank vessels. Based on a $35.00 per hour wage estimate for a
Coast Guard inspector, the Coast guard expects that the 7,062
additional man-hours of inspection time will cost $247,179 annually.
[[Page 39784]]
Cost--Benefit Evaluation
Costs
Cost estimates were based on the forecasted 19-year life of this
regulation. For all requirements, the undiscounted cost of compliance
is projected to be $209 million. The estimated present value cost of
this rule, discounted at 7 percent to 1990, will total $106.3 million.
Benefits
Pollution mitigation benefits from these operational measures will
accrue mainly in areas around loading terminals, narrow channels, and
in open waters during lightering operations.
A benefit analysis for each measure was completed after reviewing
the 107 tank vessel casualties that have occurred to vessels without
double hulls within the last 6 years. Casualty information was reviewed
from the Coast Guard's marine safety information system as well as from
National Transportation Safety Board (NTSB) reports, if available.
Appendix C (available in the docket) contains details on the 107
casualties reviewed for this benefit analysis and ordering information
on casualty case reports completed by NTSB.
The estimated benefits for each measure were calculated by
reviewing the casualty report, analyzing each casualty's root causes,
and estimating a percentage of the recorded or probable spillage
associated with each root cause. The actual and potential amounts of
oil spilled were then broken down from these estimated root cause
percentages and accredited to each of the measures, if applicable.
An annual actual and potential oil spill estimate for each vessel
was calculated for each measure. The actual amount of oil spilled and
the actual dollar amount of damage done to the vessel, pier, or other
structures was tabulated. A potential amount of oil spilled and damage
was also estimated for each accident. These potential amounts are an
estimate of how much additional spilled oil or damage could have
occurred if there had been slight change in accident circumstances such
as the amount of cargo in the damaged tank(s); the potential amounts do
not reflect the worst-case scenario. By cumulating the actual oil spill
and damage amounts over the 19-year rulemaking period and correlating
these amounts with the phase-out schedule for single-hull tank vessels,
mean values for spills and damages for each measure were established.
An estimate of the variance in oil spills and damages over the next 19
years was developed by tracking the difference between the potential
and actual oil spill and damage amounts. The anticipated volume of oil
spilled and damage to vessels and equipment was determined to be
slightly higher than the mean values because this assessment only
reviewed 6 years of data.
Comparison with other long-term oil spill studies reveals that the
107 accidents studied in this assessment are not necessarily
representative. Therefore, further analysis was done to estimate, using
the variance values calculated for the 107 accidents, the appropriate
increase in benefits attributable to each measure. To compare the data
from the 107 accidents in this assessment, each accident was correlated
with a general incident type (structural failure, collision, grounding,
fire, or explosion). The benefits for those measures correlated with
structural or fire and explosion incidents were not increased because
these incidents occur randomly and their adverse effects within the 19-
year period of this rulemaking are unpredictable. The benefits
correlated with collisions, groundings, and operational spills were
increased because the mean values determined from the 107 accidents
were lower than estimates extrapolated from oil spill studies done
between 1976 through 1989. To calculate the appropriate increase in
benefits, the sum of all measures apportioned to each incident type was
compared to an estimated of incident spill volumes from long-term oil
spill studies. An iterative process was used to adjust the portion of
the variance added to each benefit and compare the summed incident
values to ensure that they remained below the estimated long-term spill
volume amounts.
A risk effectiveness factor range was developed using figures 3
through 6 in the preamble of the SNPRM for each measure. This factor
range estimates the percentage of causal factors leading to an accident
that will be eliminated if the measures are followed. An estimated
range of future barrels of avoided oil spilled and avoided damages,
based on the qualitative risk assessment, was developed for each
measure by multiplying the adjusted mean oil spill and damage amounts
with the risk effectiveness factor range.
Each measure's actual benefit range, with the dollar figures
adjusted to reflect the present value in 1990 dollars, are as follows:
Emergency lightering equipment. The estimated risk effectiveness
factor range for this measure was established to be between 1 percent
and 3 percent. The number of vessels used for the benefit calculations
was assumed to be the same as the affected vessel population using the
phase-out estimate described in the cost section. Because this
requirement mitigates oil outflow and does not reduce accident risk,
the benefits were estimated based on the amount of oil actually spilled
(without any damage numbers included) from the 107 researched
casualties. By cumulating the amount of actual oil spilled in the 107
casualties and dividing by the average number of single-hull vessels
operating between 1989 and 1994, a per vessel oil spill amount was
calculated. This oil spill amount was then divided by the 6-year period
to give an estimated annual oil spilled per tank vessel amount of 43.33
barrels. A benefit total was calculated by cumulating this oil spill
per vessel amount multiplied by the anticipated vessel population over
the 19-year period. The cumulative benefit total was then multiplied by
the estimated risk effectiveness factor range to provide the final
benefit range. For the emergency lightering equipment requirement, the
estimated present value benefit range is 485 to 1,456 barrels of
unspilled oil for the 19-year life of this rule.
Bridge resource management policy and procedures. The estimated
risk effectiveness factor range for bridge resource management policy
and procedures was established to be between 5 percent and 8 percent.
This estimate reflects the anticipated effectiveness in reducing the
risk of an accident by making the master and watch officers aware of
the need to effectively manage bridge personnel. Research on the 107
accidents attributed approximately $21 million in vessel damage and
94,161 barrels of oil spilled from 1989 to 1994 to poor bridge resource
management practices. The estimated risk effectiveness factor range was
multiplied by the cumulated benefits to estimate the requirement's
benefit. The bridge resource management policy and procedures
requirement benefits will range from 16,349 to 26,159 barrels of
unspilled oil and $1,607,091 to $2,571,346 dollars of undamaged
property for the 19-year life of this rule.
Vessel specific policy and procedures. The estimated risk
effectiveness factor range for vessel specific policy and procedures
was established to be between 2 percent and 10 percent. This estimate
reflects the anticipated effectiveness in reducing the risk of an
accident by ensuring new crew members are given the time and training
they need to be effective. Research on the 107 accidents attributed
approximately $22,050 in vessel damage
[[Page 39785]]
and 1,256 barrels of oil spilled from 1989 to 1994 to lack of crew
knowledge in emergency procedures or equipment. These damage and oil
spill estimates were cumulated per vessel per year, and the risk
effectiveness factor range was then used to predict the final benefits.
The vessel specific policy and procedures requirement benefits will
range from 115 to 575 barrels of unspilled oil and $685 to $3,426
dollars of undamaged property for the 19-year life of this rule.
Enhanced survey requirement. The estimated risk effectiveness
factor range for the enhanced survey requirement was established to be
between 6 percent and 12 percent. This estimate reflects the
anticipated effectiveness in reducing the risk of an accident by
ensuring that the vessel's structure has a detailed inspection on a
regular schedule. Research on the 107 accidents attributed
approximately $1 million in vessel damage and 79,694 barrels of oil
spilled from 1989 to 1994 to undetected structural flaws which led to
major catastrophes. These damage and oil spill estimates were cumulated
per vessel per year, and the risk effectiveness factor range was then
used to predict the final benefits.
The benefit anticipated from this enhanced survey requirement is
not from the actual survey, but from the timely repairs made to the
vessel based on the survey. Although this assessment attributed some
cost to repairs for each survey, this requirement, in and of itself,
does not mandate repair. The requirement implies that a tank vessel
owner or operator will review the survey reports and ensure that
appropriate repairs are made to the vessel to prevent a major
structural catastrophe. In some, but not all, cases the Coast Guard or
the classification society will review the enhanced survey reports and
oversee appropriate repairs, but the responsibility to ensure that
appropriate repairs are done rests on the vessel owner or operator.
This assessment does not quantify the added benefits anticipated
from savings realized from making only needed repairs. With this
requirement a tank vessel will be subject to close scrutiny; therefore,
extensive general repairs done because the surveyor is uncertain of
specific damaged areas, will be scaled down to fix the appropriate area
or eliminated since the added gauging and close-up examination will
reveal more defined information on the structure's soundness.
Taking into account the anticipated effectiveness of this
requirement, the enhanced survey program requirement benefits will
range from 7,280 to 14,559 barrels of unspilled oil and $95,313 to
$190,626 dollars of undamaged property for the 19-year life of this
rule.
Vital system surveys. The estimated risk effectiveness factor for
vital system surveys was established to be between 8 percent and 13
percent. This estimate reflects the anticipated effectiveness in
reducing the risk of an accident by ensuring that systems are working
properly prior to cargo transfers and port transits. Research on the
107 accidents attributed approximately $3.3 million in vessel damage
and 3,920 barrels of oil spilled from 1989 to 1994 because critical
pumping, piping, and deck gear were not maintained. These damage and
oil spill estimates were cumulated per vessel per year and the risk
effectiveness factor range was then used to predict final benefits. The
vital systems survey requirement benefits will range from 1,153 to
1,874 barrels of unspilled oil and $402,125 to $653,454 dollars of
undamaged property for the 19-year life of this rule.
Autopilot alarm or indicator. The estimated risk effectiveness
factor range for autopilot alarms or indicators was established to be
between 4 percent and 9 percent. This estimate reflects the anticipated
effectiveness in reducing the risk of an accident by making sure that
the tankship's master or the tug's master knows that the autopilot is
engaged and that it must be turned off before maneuvering the vessel.
Research on the 107 accidents attributed approximately $1.25 million in
vessel damage and 12,900 barrels of oil spilled from 1989 to 1994
because the autopilot was engaged while the master or watch officer was
trying to maneuver the vessel. The estimated risk effectiveness factor
range was multiplied by the cumulated benefits to estimate the
requirement's benefit. The autopilot alarm or indicator requirement
benefits will range from 818 to 1,841 barrels of unspilled oil and
$75,937 to $170,857 dollars of undamaged property for the 19-year life
of this rule.
Maneuvering and vessel status information. The risk effectiveness
factor range for this measure was estimated to be between 9 percent and
14 percent. This estimate reflects the anticipated effectiveness in
reducing the risk of an accident by making sure the tankship's master
understands the status of the vessel's equipment and maneuvering
characteristics, including squat. Research on the 107 accidents
attributed approximately $11.3 million in vessel damage and 3,333
barrels of oil spilled from 1989 to 1994 because the pilot or master
was not aware of the equipment status. The estimated risk effectiveness
factor range was multiplied by the cumulated benefits to estimate the
requirement's benefit. The maneuvering and vessel status information
requirement benefits will range from 2,025 to 3,150 barrels of
unspilled oil and $1,569,018 to $2,440,695 dollars of undamaged
property for the 19-year lift of this rule.
Maneuvering performance capability tests. The risk effectiveness
factor range for this measure was estimated to be between 8 percent and
13 percent. This estimate reflects the anticipated effectiveness in
reducing the risk of an accident by making sure the tankship's master
and the pilot discuss the vessel's maneuvering capabilities and know
how the vessel's limitations may impact the transit. Research on the
107 accidents attributed approximately $.5 million in vessel damage and
3,337 barrels of oil spilled from 1989 to 1994 because masters and
pilots failed to properly predict the vessel's capability to maneuver
to tight turns or difficult approaches. The estimated risk
effectiveness factor range was multiplied by the cumulated benefits to
estimate the requirement's benefit. The maneuvering performance
capability test requirement benefits will range from 3,960 to 6,435
barrels of unspilled oil and $65,592 to $106,587 dollars of undamaged
property for the 19-year life of this rule.
Minimum under-keel clearance. The risk effectiveness factor range
for the minimum under-keel clearance requirement was estimated to be
between 10 percent and 23 percent. This reflects the anticipated
effectiveness in reducing the risk of an accident by making sure the
tankship or tug master understood the under-keel clearance of the
vessel and do not bring the vessel into areas that are shallow or
shoaling. Research on the 107 accidents attributed approximately $13.8
million in vessel damage and 7,176 barrels of oil spilled from 1989 to
1994 because the pilot or master did not correctly gauge the vessel's
draft in relationship to the transit depths or ignored port specific
draft guidance. The estimated risk effectiveness factor range was
multiplied by the cumulated benefits to estimate the requirement's
benefit. The under-keel clearance requirement benefits will range from
5,279 to 12,142 barrels of unspilled oil and $2,102,584 to $4,835,943
for the 19-year life of this rule.
Emergency steering capability. The estimated risk effectiveness
factor range for the emergency steering capability requirement was
established to be between 4 percent and 9 percent. This estimate
reflects the anticipated effectiveness in reducing the risk of an
[[Page 39786]]
accident by making sure the tug has steering while working with tank
barges of 5,000 GT or more. Research on the 107 accidents attributed
approximately $1.6 million in vessel damage and 428 barrels of oil
spilled from 1989 to 1994 because the tug lost steering control while
maneuvering tank barges of 5,000 GT or more. The estimated risk
effectiveness factor range was multiplied by the cumulated benefits to
estimate the requirement's benefit. The emergency steering capability
requirement benefits will range from 67 to 150 barrels of unspilled oil
and $79,766 to $179,474 dollars of undamaged property for the 19-year
life of this rule.
Fendering systems. The estimated risk effectiveness factor range
for fendering systems was established to be between 5 percent and 9
percent. This estimate reflects the anticipated effectiveness in
reducing the risk of an accident due to damage by ensuring that the
tank barge is protected from maneuvering tugs. Research on the 107
accidents attributed approximately $85,888 in vessel damage and 768
barrels of oil spilled from 1989 to 1994 because tugs ram the barge and
either promote or create cracking. The estimated risk effectiveness
factor range was multiplied by the cumulated benefits to estimate the
requirement's benefit. The fendering system requirement benefits will
range from 128 to 230 barrels of unspilled oil and $5,351 to $9,632
dollars of undamaged property for the 19-year life of this rule.
Cost-Benefit. The estimated cost-benefit for each measure was
calculated by dividing the measure's present value net cost by the
measure's present value barrels of unspilled oil. Net cost was
calculated by subtracting the present value range of undamaged
property, in dollars, from the present value cost of each measure.
Estimates of damages to natural resources are not included in the net
cost for this final rule. The net present value of the costs of various
measures will range from $0 to $7,931 per barrel of unspilled oil. The
overall mean present value of these operational measures is $2,025 per
barrel of unspilled oil.
Small Entities
Under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.), the
Coast Guard must consider whether this rule 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. The Coast Guard has determined that
this rule will not have a significant economic impact on a substantial
number of small entities.
The operational measures will affect several small businesses
within the maritime industry until 2015, a period of about 19 years.
The Coast Guard has made this finding of no significant economic
impact, however, after having determined that the flexibility in this
rulemaking balances the requirements placed on tank barges and
tankships and provides equitable treatment of U.S. and foreign flag
vessels.
This rulemaking considered small business impact for vessels
privately held by independent companies that have an estimated capital
investment value of less than $500 million or have less than 500
employees. State and local governments, which altogether own less than
a dozen tank vessels, will not be significantly affected. Not-for-
profit organizations do not engage in the transportation of oil in bulk
by water.
There are a number of companies meeting the definition of a small
business operating in each segment of industry (tankship, tank barge,
and towing vessel.) Of the 190 U.S. tankships affected by this final
rule, 16 are owned by 6 small businesses. Many of these company's
tankships are over 30 years old, have less cargo carrying capacity than
their competition, and are laid up due to market or company financial
conditions. Six small businesses own or operate 32 of the affected U.S.
tank barge population. No foreign small businesses own or operate
foreign tank vessels that will be affected by this final rule. Tank
barge companies are required under this rule to enlist towing vessels
with certain capabilities and trained personnel. Indirectly, some
towing vessel companies may also be affected by these requirements;
however, the Coast Guard has determined that most tank barge owners
also own their towing vessels or regularly contract with a limited
number of towing companies.
An economic impact is unavoidable because the statute clearly
targets existing vessels of 5,000 GT or more that carry oil in bulk as
cargo and do not have double hulls. The present value of the total cost
to the industry of this rule, discounted at 7 percent to 1990, will
total $106.3 million. However, the Coast Guard has several measures
within this final rule to accommodate small business needs and provide
flexibility to small entities affected by this final rule.
Flexibility and small business needs are accommodated in the
enhanced survey requirement by allowing companies owning tank barges or
tank vessels less than 30,000 deadweight tons (dwt) to conduct their
own surveys and to choose among various organizations for program
oversight. It also phases in this requirement over a 2.5-year period to
enable small businesses to research their needs and plan for the
implementation of an inspection program.
To accommodate small businesses in the tank barge industry, the
cost of reconfiguring a towing vessel owned by the tank barge company
was minimized by requiring the autopilot alarm to be an indicator; a
simple sign placed on the wheel will suffice. This requirement gives a
comparable warning in the small confines of the one-man towing vessel
wheelhouse as will an alarm for the larger, multiple-person, complex
bridge of a tankship. The emergency steering capability requirement
accommodates a range of designs by allowing for either a secondary
steering system or twin propulsion capability. This requirement allows
the majority of tank barge companies to continue using their vessels or
the vessels they typically lease; however, it also ensures that the
master or operator will have some maneuvering capability in an
electrical, hydraulic, or engine failure, which will be a benefit to
all operators.
Smaller tankship companies should have the capability to conduct
the maneuvering performance standard tests of IMO Resolution A.751(18).
While the assessment cost of this item is for a commercial company to
conduct the maneuvering tests, this rulemaking in no way prohibits a
company form conducting the tests in-house. The guidelines and
technical details of the tests are well documented and are within the
capabilities of a licensed master or pilot. The equipment needed for
these types of maneuvering tests, such as a Differential Global
Positioning System (DGPS), is available on the commercial market at low
cost.
Unfunded Mandate
Under the Unfunded Mandates Reform Act (Pub. L. 104-4), the Coast
Guard must consider whether this rule will result in an annual
expenditure by State, local, and tribal governments, in the aggregate,
or by the private sector, of $100 million (adjusted annually for
inflation). The Act also requires (in Section 205) that the Coast Guard
identify and consider a reasonable number of regulatory alternatives
and, from those alternatives, select the least costly, most cost-
effective, or least burdensome alternative that achieves the objective
of the rule.
[[Page 39787]]
The cost analysis completed for this rule estimates first-year
compliance costs to be $60.5 million. Annual costs of this rule will
trend downward, leveling out annually at $539,054 during 2012 through
2014, the final years that the rule will be in effect. This rule will
not result in estimated costs of $100 million or more to either State,
local, or tribal governments in the aggregate, or to the private
sector. The cost-benefit analysis done for this rule addresses expected
cost-effectiveness for each measure. For those measures that were
estimated to be the most costly, alternative requirements, extended
implementation periods, or provisions for the company to determine
appropriate implementation on a case-by-case basis were included in
this rule.
Collection of Information
Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the
Office of Management and Budget (OMB) reviews each rule that contains a
collection-of-information requirement to determine whether the
practical value of the information is worth the burden imposed by its
collection. Collection-of-information requirements include reporting,
recordkeeping, notification, and other, similar requirements.
This rule contains collection-of-information requirements in the
following sections: Secs. 157.415, 157.420, 157.430, 157,435, 157.445,
157.450, and 157.455. The following particulars apply:
DOT No.: 2115.
Administration: U.S. Coast Guard.
Title: Operational Measures to Reduce Oil Spills From Existing Tank
Vessels Without Double Hulls
Need For Information: Without adequate operational measures on tank
vessels, the potential for spills as a result of human error is greatly
increased. This rule requires the mariner to log or otherwise record
information that is necessary for the safe operation of the vessel
including: (1) documentation for company management and the Coast Guard
to ensure personnel are informed and systems are being surveyed both
frequently and thoroughly; (2) accessibility to certain vessel specific
maneuvering characteristics so that personnel navigating the vessel
have a quick reference to critical information; (3) documentation of a
vessel's command and control status to ensure a pilot receives accurate
information prior to maneuvering evolutions; and (4) notification to
company management (unless the company provides written guidance) of
the vessel's anticipated under-keel clearance so that the company can
ensure prudent clearance is maintained. These recordkeeping
requirements are consistent with good commercial practice and the
dictates of good seamanship for safe navigation and maintenance of
vital equipment.
Proposed Use of Information: The primary use of this information
will be for Coast Guard inspectors to determine if a vessel is in
compliance or, in the case of a casualty, whether failure to meet these
regulations contributed to the casualty. The Coast Guard has no
specific plan to collect this data for statistical analysis.
Frequency of Response: Owners, master, or operators of tank vessels
subject to this rule will be required to record or maintain the
following documentation: (1) under Sec. 157.415, develop bridge
resource management policy and procedures; (2) under Sec. 157.420,
develop vessel specific watch policy and procedures; (3) under
Sec. 157.430, complete an enhanced survey during each drydock
examination (this information must also be provided to the Coast Guard
upon its request); (4) under Sec. 157.435, by vessel log entry or
similar means on board the vessel, record the results of each required
vital systems survey; (5) under Sec. 157.445(d), post test results for
maneuvering performance capability; (6) under Sec. 157.450, post the
standardized IMO maneuvering information in the wheelhouse and complete
a pilot card before entering the port or place of destination and prior
to getting underway; (7) under Sec. 157.455, calculate anticipated
under-keel clearance before entering the port or place of destination
and prior to getting underway.
Burden Estimate: 73,411 hours.
Respondents: 1,404.
Average Burden Hours Per Respondent: 52.29.
Persons are not required to respond to a collection of information
unless it displays a currently valid OMB control number. The Coast
Guard has submitted the requirements to OMB for review under section
3504(h) of the Paperwork Reduction Act, however, OMB approval has not
been finalized. Individuals and organizations may submit comments by
August 29, 1996 on the information collection requirements in this
final rule and should direct them to the Executive Secretary, Marine
Safety Council as indicated under ADDRESSES and to the Office of
Information and Regulatory Affairs, OMB, New Executive Office Bldg.,
room 10235, 725 17th St. NW., Washington, DC 20503, Attention: Desk
Officer for DOT. The Coast Guard will publish a notice in the Federal
Register of OMB's decision to approve, modify, or disapprove the
information collection requirements.
Federalism
The Coast Guard has analyzed this final rule under the principles
and criteria contained in Executive Order 12612 (October 26, 1987) and
has determined that this final rule does not have sufficient federalism
implications to warrant the preparation of a Federalism Assessment.
Environment
The Coast Guard considered the environmental impact of this rule
and concluded that preparation of an Environmental Impact Statement is
not necessary. An Environmental Assessment and a Finding of No
Significant Impact are available in the docket for inspection or
copying where indicated under ADDRESSES.
The additional operational considerations required by this rule
will enhance navigation safety and thereby reduce the likelihood of an
oil spill or other environmental damage.
Two comments specifically addressed the issue of treating edible
oils in the same manner as petroleum oil in the Environmental
Assessment. One comment stated that the Coast Guard should exempt
addressing animal fat, vegetable oil, and other non-petroleum oil
carriers in the same manner as petroleum oil in the regulation based on
the provisions of the Edible Oil Regulatory Reform Act (Pub. L. 104-55,
109 Stat. 546-547 [1995]). Another comment supported extending these
regulations to existing tank vessels carrying non-petroleum oils and
remarked that it is economically feasible and environmentally
beneficial for these vessels to meet the operational requirements. The
Coast Guard contends that bulk spills of animal fat, vegetable oil, and
other non-petroleum oil can be damaging to the environment.
The Coast Guard has attempted to balance environmental protection
with a recognition of the diverse requirements called for by different
substances, such as non-petroleum oils. These substances are clearly
harmful; and therefore, are regulated in a manner that recognizes their
differences from other more toxic materials such as petroleum oils.
Interpretations of statutes are governed by legal decisions which have
granted agencies discretionary authority in areas committed to agency
jurisdiction. The Coast Guard, as well as other agencies, have
exercised this discretion. For these reasons, the Coast Guard has
determined that a discharge of animal fat, vegetable oil, or other non-
petroleum oil from a tank vessel could
[[Page 39788]]
reasonably be expected to cause harm to the environment.
As discussed in the Environmental Assessment, this rulemaking is
expected to have no significant effect on the environment.
List of Subjects
33 CFR Part 157
Cargo vessels, Incorporation by reference, Oil pollution, Reporting
and recordkeeping requirements.
46 CFR Part 31
Cargo vessels, Marine safety, Reporting and recordkeeping
requirements.
46 CFR Part 35
Cargo vessels, Marine safety, Navigation (water), Occupational
safety and Health, Reporting and recordkeeping requirements, Seaman.
For the reasons set out in the preamble, the Coast Guard amends 33
CFR part 157 and 46 CFR parts 31 and 35 as follows:
PART 157--RULES FOR THE PROTECTION OF THE MARINE ENVIRONMENT
RELATING TO TANK VESSELS CARRYING OIL IN BULK
1. The authority citation for 33 CFR part 157 is revised to read as
follows:
Authority: 33 U.S.C. 1903; 46 U.S.C. 3703, 3703a (note); 49 CFR
1.46. Subparts G, H, and I are also issued under section 4115(b),
Pub. L. 101-380, 104 Stat. 520; Pub. L. 104-55, 109 Stat. 546.
2. Section 157.01(a)(2) is revised to read as follows:
Sec. 157.01 Applicability.
(a) * * *
(2) Any other vessel that enters or operates in the navigable
waters of the United States, or that operates, conducts ligtering under
46 U.S.C. 3715, or receives cargo from or transfers cargo to a
deepwater port under 33 U.S.C. 1501 et seq., in the United States
Exclusive Economic Zone, as defined in 33 U.S.C. 2701(8).
* * * * *
3. Section 157.02 is added to read as follows:
Sec. 157.02 Incorportion by reference.
(a) Certain material 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,
Office of Operating and Environmental Standards (G-MSO), 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 and the sections affected are as follows:
International Maritime Organization (IMO)--4 Albert
Embankment, London SE1 7SR, England.
IMO Assembly Resolution A.601(15), Provision and Display
of Manoeuvring Information on Board Ships, Annex
sections 1.1, 2.3, 3.1, and 3.2 with appendices, adopted
on 19 November 1987..................................... 157.450
IMO Assembly Resolution A.744(18), Guidelines on the
Enhanced Programme of Inspections During Surveys of Bulk
Carriers and Oil Tankers, Annex B sections 1.1.3-1.1.4,
1.2-1.3, 2.1, 2.3-2.6, 3-8, Annexes 1-10 with
appendices, adopted 4 November 1993..................... 157.430
IMO Assembly Resolution A.751(18), Interim Standards for
Ship Manoeuvrability, Annex sections 1.2, 2.3-2.4, 3-
4.2, and 5, adopted 4 November 1993 with Explanatory
Notes in MSC/Circ. 644 dated 6 June 1994................ 157.445
Oil Companies International Marine Forum (OCIMF)--15th Floor,
96 Victoria Street, London, SW1E 5JW, England.
International Safety Guide for Oil Tankers and Terminals,
Fourth Edition, Chapters 6, 7, and 10, 1996............. 157.435
4. In Sec. 157.03, the following definitions are added in
alphabetical order to read as follows:
Sec. 157.03 Definitions.
* * * * *
Animal fat means a non-petroleum oil, fat, or grease derived from
animals and not specifically identified elsewhere in this part.
* * * * *
Fleeting or assist towing vessel means any commercial vessel
engaged in towing astern, alongside, or pushing ahead, used solely
within a limited geographic area, such as a particular barge fleeting
area or commercial facility, and used solely for restricted service,
such as making up or breaking up larger tows.
* * * * *
Non-petroleum oil means oil of any kind that is not petroleum-
based. It includes, but is not limited to, animal fat and vegetable
oil.
* * * * *
Officer in charge of a navigational watch means any officer
employed or engaged to be responsible for navigating or maneuvering the
vessel and for maintaining a continuous vigilant watch during his or
her periods of duty and following guidance set out by the master,
international or national regulations, and company policies.
* * * * *
Other non-petroleum oil means an oil of any kind that is not
petroleum oil, an animal fat, or a vegetable oil.
* * * * *
Petroleum oil means petroleum in any form including crude oil, fuel
oil, mineral oil, sludge, oil refuse, and refined products.
Primary towing vessel means any vessel engaged in towing astern,
alongside, or pushing ahead and includes the tug in an integrated tug
barge. It does not include fleeting or assist towing vessels.
* * * * *
Vegetable oil means a non-petroleum oil or fat not specifically
identified elsewhere in this part that is derived from plant seeds,
nuts, kernels, or fruits.
* * * * *
5. The subpart heading of subpart G is revised to read as follows:
Subpart G--Structural And Operational Measures For Certain Tank
Vessels Without Double Hulls Carrying Petroleum Oils
6. Section 157.400 is revised to read as follows:
Sec. 157.400 Purpose and applicability.
(a) The purpose of this subpart is to establish mandatory safety
and operational requirements to reduce environmental damage resulting
from petroleum oil spills.
(b) This subpart applies to each tank vessel specified in
Sec. 157.01 of this part that--
(1) Is 5,000 gross tons or more;
(2) Carries petroleum oil in bulk as cargo or cargo residue; and
(3) Is not equipped with a double hull meeting Sec. 157.10d of this
part, or an equivalent to the requirements of Sec. 157.10d, but
required to be equipped with a double hull at a date set forth in 46
U.S.C. 3703a (b)(3) and (c)(3).
7. Section 157.410(c) is revised to read as follows:
[[Page 39789]]
Sec. 157.410 Emergency lightering requirements for tank vessels.
* * * * *
(c) Reducers, bolts, and gaskets must meet the requirements of 46
CFR subpart 56.25. Cast iron and malleable iron must not be used.
8. Section 157.415 is added to read as follows:
Sec. 157.415 Bridge resource management policy and procedures.
(a) Not later than February 1, 1997, a tankship owner or operator
shall provide written policy and procedures to masters and officers in
charge of the navigational watch concerning the need for continuously
reassessing how bridge-watch resources are being allocated and used,
based on bridge resource management principles. This written policy and
procedures must include vessel and crew specific examples that address
the following:
(1) The number of qualified individuals that should be on watch to
ensure that all duties can be performed effectively.
(2) The appropriate qualifications of all members of the
navigational watch, the importance of confirming that all members of
the watch are fit for duty, and the need to ensure that all members of
the navigational watch are not impaired by fatigue.
(3) The need to take into account any known limitation in
qualifications or fitness of individuals when making navigational and
operational decisions.
(4) The need to be clear and unambiguous in assigning duties and
the need to establish that the individual understands his or her
responsibilities.
(5) The need to perform tasks in a clear order of priority and to
adjust the priority of tasks as circumstances may require.
(6) The importance of assigning and reassigning members of the
watch to locations where they can perform their duties most
effectively.
(7) Conditions that warrant task reassignment among members of the
watch.
(8) The instruments and equipment necessary for the effective
performance of each task and appropriate actions if the instruments and
equipment are not available or not functioning properly.
(9) The need for, and examples of, clear, immediate, reliable, and
relevant communication among members of the navigational watch.
(10) The action to be taken to suppress, remove, and avoid
nonessential activity and distractions on the bridge.
(11) The importance of collecting, processing, and interpreting all
essential information and making it conveniently available to other
members of the navigational watch and the pilot, as necessary to
perform their duties.
(12) The need to ensure that nonessential materials are not placed
on the bridge.
(13) The need to ensure that members of the navigational watch are
prepared to respond at all times efficiently and effectively to changes
in circumstances.
(b) Beginning not later than February 1, 1997, a tank barge owner
or operator shall not permit the barge to be towed unless those
individuals assigned to duties that are similar to the duties of the
officer in charge of a navigational watch on the primary towing vessel
have been provided written bridge resource management policy and
procedures as specified in paragraph (a) of this section.
9. Section 157.420 is added to read as follows:
Sec. 157.420 Vessel specific watch policy and procedures.
(a) Not later than February 1, 1997, the owner or operator of a
tankship shall provide written policy and procedures to masters
concerning the need for each individual who is newly employed on board
the vessel to have a reasonable opportunity to become familiar with the
shipboard equipment, operating procedures, and other arrangements
needed for the proper performance of their duties, before being
assigned to such duties. This written policy and procedures shall be
followed by the master and shall include the following:
(1) Allocation of a reasonable and appropriate time period for each
newly employed individual to allow him or her the opportunity to become
acquainted with the following:
(i) The specific equipment the individual will be using or
operating; and
(ii) The vessel specific watchkeeping, safety, environmental
protection, and emergency procedures and arrangements the individual
needs to know to perform the assigned duties properly.
(2) Designation of a knowledgeable crew member who will be
responsible for ensuring that an opportunity is provided to each newly
employed individual to receive essential information in a language the
individual understands.
(b) Beginning not later than February 1, 1997, a tank barge owner
or operator shall not permit the barge to be towed unless those
individuals assigned to duties as master or operator on the primary
towing vessel have been provided written policy and procedures as
specified in paragraph (a) of this section.
10. Section 157.430 is added to read as follows:
Sec. 157.430 Enhanced survey requirements.
Beginning at each tank vessel's next regularly scheduled drydock
examination and continuing as required under 46 CFR part 31, or, for
each foreign flagged tank vessel, beginning at the next drydock and
continuing as required under the foreign vessel's flag administration,
a tank vessel owner or operator shall--
(a) Implement an enhanced survey program that complies with the
standards of IMO Resolution A.744(18), Annex B sections 1.1.3-1.1.4,
1.2-1.3, 2.1, 2.3-2.6, 3-8, and Annexes 1-10 with appendices;
(b) Implement a vessel specific survey program that provides a
level of protection equivalent to the requirements in paragraph (a)(1)
of this section and is approved by the Commandant (G-MOC). A written
request for program equivalency under this paragraph must be submitted
to the Commandant (G-MOC); or
(c) For a tankship of less than 20,000 deadweight tons (dwt)
carrying crude oil, a tankship of less than 30,000 dwt carrying
product, or a tank barge, implement an enhanced survey program that--
(1) Includes oversight of the program by the Coast Guard, the
vessel's flag administration, an authorized classification society as
described in Sec. 157.04 of this part, or a licensed professional
engineer;
(2) Has the frequency of survey which is no less than the
inspections required by 46 CFR subpart 31.10;
(3) Has survey scope and recordkeeping requirements that are
comparable to the requirements of paragraph (a)(1) of this section; and
(4) Includes keeping a copy of the most recent survey on board the
vessel or, upon request by the Coast Guard, making the surveys
available within 24 hours for examination.
11. Section 157.435 is added to read as follows:
Sec. 157.435 Vital systems surveys.
(a) A tank vessel owner or operator shall ensure that surveys of
the following system are conducted:
(1) Cargo systems. The survey must include the examination and
testing of the items listed in chapters 6, 7, and 10 of the
International Safety Guide for Oil Tankers and Terminals, if
applicable, prior to cargo transfer operations.
(2) Mooring systems. The survey must include a visual examination
of the
[[Page 39790]]
emergency towline, the anchor releasing mechanism, and mooring lines
prior to entering the port or place of destination, if weather permits,
or prior to getting underway.
(b) Surveys must be conducted by company management personnel,
company designated individuals, or vessel officers knowledgeable about
the equipment operating parameters and having the authority,
capability, and responsibility to initiate corrective action when the
equipment is not functioning properly.
(c) The results of the survey required in paragraph (a) of this
section, including the material condition of each system, must be
recorded in the tank vessel's deck log or other onboard documentation.
12. Section 157.440 is added to read as follows:
Sec. 157.440 Autopilot alarm or indicator.
(a) A tankship owner or operator shall ensure that each installed
autopilot unit without automatic manual override has an audible and
visual alarm, which is distinct from other required bridge alarms, that
will activate if the helm is manually moved while the autopilot is
engaged.
(b) A tank barge owner or operator shall ensure that each autopilot
unit without automatic manual override installed on the primary towing
vessel has a means to clearly indicate the autopilot status and warns
personnel of the requirement to disengage the autopilot if positive
rudder control is needed.
13. Section 157.445 is added to read as follows:
Sec. 157.445 Maneuvering performance capability.
(a) A tankship owner or operator shall ensure that maneuvering
tests in accordance with IMO Resolution A.751(18), section 1.2, 2.3-
2.4, 3-4.2, and 5 (with Explanatory Notes in MSC/Circ.644) have been
conducted by July 29, 1997. Completion of maneuvering performance tests
must be shown by--
(1) For a foreign flag tankship, a letter from the flag
administration or an authorized classification society, as described in
Sec. 157.04 of this part, stating the requirements in paragraph (a) of
this section have been met; or
(2) For a U.S. flag tankship, results from the vessel owner
confirming the completion of the tests or a letter from an authorized
classification society, as described in Sec. 157.04 of this part,
stating the requirements in paragraph (a) of this section have been
met.
(b) If a tankship undergoes a major conversion or alteration
affecting the control systems, control surfaces, propulsion system, or
other areas which may be expected to alter maneuvering performance, the
tankship owner or operator shall ensure that new maneuvering tests are
conducted as required by paragraph (a) of this section.
(c) If a tankship is one of a class of vessels with identical
propulsion, steering, hydrodynamic, and other relevant design
characteristics, maneuvering performance test results for any tankship
in the class may be used to satisfy the requirements of paragraph (a)
of this section.
(d) The tankship owner or operator shall ensure that the
performance test results, recorded in the format of Appendix 6 of the
Explanatory Notes in MSC/Circ.644, are prominently displayed in the
wheelhouse.
(e) Prior to entering the port or place of destination and prior to
getting underway, the tankship master shall discuss the results of the
performance tests with the pilot while reviewing the anticipated
transit and the possible impact of the tankship's maneuvering
capability on the transit.
14. Section 157.450 is added to read as follows:
Sec. 157.450 Maneuvering and vessel status information.
A tankship owner, master, or operator shall comply with IMO
Resolution A.601(15), Annex sections 1.1, 2.3, 3.1, and 3.2, with
appendices.
15. Section 157.455 is added to read as follows:
Sec. 157.455 Minimum under-keel clearance.
(a) Prior to entering the port or place of destination and prior to
getting underway, the master of a tankship that is not fitted with a
double bottom that covers the entire cargo tank length shall meet the
following requirements:
(1) The tankship's deepest navigational draft must be calculated
and include--
(i) The mean draft;
(ii) The trim and list characteristics; and
(iii) The intended transit speed and the corresponding squat
characteristics, if known.
(2) The anticipated controlling depth must be calculated and
include--
(i) Tide and current conditions;
(ii) Present sea state conditions;
(iii) Past weather impact on water depth;
(iv) The depth at the facility or anchorage; and
(v) The depth of the transit area found in the publication and
chart materials required to be on board the tankship by 33 CFR part
164.
(3) The anticipated under-keel clearance must be calculated by
subtracting the tankship's deepest navigational draft from the
anticipated controlling depth. The tankship's calculated deepest
navigational draft, anticipated controlling depth, and the calculated
anticipated under-keel clearance must be recorded in the tankship's log
or in other onboard documentation.
(4) The tankship shall discuss with the pilot the anticipated
under-keel clearance calculation and its possible impact on the
tankship's planned transit.
(5) The tankship master shall--
(i) Inform the tankship owner or operator of the calculated
anticipated under-keel clearance, unless the owner or operator has
provided the master with written port specific under-keel clearance
guidance.
(ii) Record the communication with the owner or operator in the
tankship's log or other documentation, if there is no written port
specific under-keel clearance guidance provided by the owner or
operator.
(6) Having been informed by the master of the anticipated under-
keel clearance, the owner or operator shall not allow the tankship to
proceed if the tankship's transit would not be prudent considering, but
not limited to, the anticipated under-keel clearance, any COTP under-
keel clearance guidance, and the pilot's recommended clearance.
(b) The owner or operator of a tank barge, that is not fitted with
a double bottom that covers the entire cargo tank length, shall not
permit the barge to be towed unless the primary towing vessel master or
operator has been provided with written port specific under-keel
clearance guidance that includes--
(1) Port specific minimum under-keel clearance requirements;
(2) Factors to consider when calculating the tank barge's deepest
navigational draft;
(3) Factors to consider when calculating the anticipated
controlling depth;
(4) Consideration of port specific weather or environmental
conditions; and
(5) Conditions which mandate when the tank barge owner or operator
shall be contacted prior to port entry or getting underway; if no such
conditions exist, the guidance must contain a statement to that effect.
16. Section 157.460 is added to read as follows:
Sec. 157.460 Additional operational requirements for tank barges.
(a) Emergency steering capability. The owner or operator of each
tank barge
[[Page 39791]]
shall not permit the barge to be towed unless, by November 27, 1997,
the primary towing vessel has--
(1) A steering gear system with a main power unit, an alternative
power unit, and two remote steering gear control systems, except that
separate steering wheels or steering levers are not required. The
steering gear control systems must be arranged so that if the system in
operation fails, the other system can be brought into immediate
operation from a position on the navigating bridge; or
(2) Twin screw propulsion with separate control systems for each
propeller.
(b) Fendering system An owner or operator of a tank barge shall not
permit the barge to be towed unless the primary towing vessel and any
fleeting or assist towing vessels have a fendering system that is of
substantial size and composition to prevent metal to metal contact
between the towing vessel and the barge during maneuvering operations.
17. Subpart H, consisting of Secs. 157.500 and 157.510, is added to
read as follows:
Subpart H--Structural and Operational Measures for Certain Tank Vessels
Without Double Hulls Carrying Animal Fat or Vegetable Oil
Sec.
157.500 Purpose and applicability.
157.510 Operational measures.
Subpart H--Structural and Operational Measures for Certain Tank
Vessels Without Double Hulls Carrying Animal Fat or Vegetable Oil
Sec. 157.500 Purpose and applicability.
(a) The purpose of this subpart is to establish mandatory safety
and operational requirements to reduce environmental damage resulting
from the discharge of animal fat or vegetable oil.
(b) This subpart applies to each tank vessel specified in
Sec. 157.01 of this part that--
(1) Is 5,000 gross tons or more;
(2) Carries animal fat or vegetable oil in bulk as cargo or cargo
residue; and
(3) Is not equipped with a double hull meeting Sec. 157.10d of this
part, or an equivalent to the requirements of Sec. 157.10d, but
required to be equipped with a double hull at a date set forth in 46
U.S.C. 3703a (b)(3) and (c)(3).
Sec. 157.510 Operational measures.
An owner or operator of a tank vessel that carries animal fat or
vegetable oil in bulk as cargo or cargo residue shall comply with the
requirements in all sections of subpart G of this part.
18. Subpart I, consisting of Secs. 157.600 and 157.610, is added to
read as follows:
Subpart I--Structural and Operational Measures for Certain Tank Vessels
Without Double Hulls Carrying Other Non-Petroleum Oil
Sec.
157.600 Purpose and applicability.
157.610 Operational measures.
Subpart I--Structural and Operational Measures for Certain Tank
Vessels Without Double Hulls Carrying Other Non-Petroleum Oil
Sec. 157.600 Purpose and applicability.
(a) The purpose of this subpart is to establish mandatory safety
and operational requirements to reduce environmental damage resulting
from the discharge of other non-petroleum oil.
(b) This subpart applies to each tank vessel specified in
Sec. 157.01 of this part that--
(1) Is 5,000 gross tons or more;
(2) Carries other non-petroleum oil in bulk as cargo or cargo
residue; and
(3) Is not equipped with a double hull meeting Sec. 157.10d of this
part, or an equivalent to the requirements of Sec. 157.10d, but
required to be equipped with a double hull at a date set forth in 46
U.S.C. 3703a (b)(3) and (c)(3).
Sec. 157.610 Operational measures.
An owner or operator of a tank vessel that carries other non-
petroleum oil in bulk as cargo or cargo residue shall comply with the
requirements in all sections of subpart G of this part.
PART 31--INSPECTION AND CERTIFICATION
19. The authority citation for 46 CFR part 31 continues to read as
follows:
Authority: 33 U.S.C. 1321(j); 46 U.S.C. 2103, 3306, 3703; 49
U.S.C. 5103, 5106; E.O. 12234, 45 FR 58801, 3 CFR, 1980 Comp., p.
277; E.O. 12777, 56 FR 54757, 3 CFR, 1991 Comp., p. 351; 49 CFR
1.46. Section 31.10-21a also issued under the authority of Sect.
4109, Pub. L. 101-380, 104 Stat. 515.
20. In Sec. 31.10-21, table (a) is revised to read as follows:
BILLING CODE 4910-14-M
[[Page 39792]]
[GRAPHIC] [TIFF OMITTED] TR30JY96.000
[[Page 39793]]
21. In Sec. 31.10-21, table (b) is revised to read as follows:
[GRAPHIC] [TIFF OMITTED] TR30JY96.001
BILLING CODE 4910-14-C
[[Page 39794]]
PART 35-OPERATIONS
22. The authority citation for 46 CFR part 35 continues to read as
follows:
Authority 33 U.S.C. 1321(j); 46 U.S.C. 3306, 3703, 6101; 49
U.S.C. 5103, 5106; E.O. 12234, 45 FR 58801, 3 DRR, 1980 Comp., p.
277; E.O. 12777, 56 FR 54757, 3 CFR, 1991 Comp., p. 351; 49 CFR
1.46.
23. Section 35.01-40(c) is revised to read as follows:
Sec. 35.01-140 Prevention of oil pollution--TB/ALL.
* * * * *
(c) 33 CFR parts 151, 155, 156, 157, and 164.
Dated: July 24, 1996.
R.D. Herr,
Vice Admiral, U.S. Coast Guard, Acting Commandant.
[FR Doc. 96-19236 Filed 7-25-96; 11:16 am]
BILLING CODE 4910-14-M
Complete official Federal Register PDF
FR Doc. 96-19205 Clean Air Act Final Full Approval Of Operating Permits Program; Final Approval of Operating Permit and Plan Approval Programs Under Section 112(l); Final Approval of State Implementation Plan Revision for the Issuance of Federally Enforceable State Plan Approvals and Operating Permits Under Section 110; Commonwealth of Pennsylvania
[Federal Register Volume 61, Number 147 (Tuesday, July 30, 1996)]
[Rules and Regulations]
[Pages 39597-39601]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-19205]
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ENVIRONMENTAL PROTECTION AGENCY
40 CFR Parts 52 and 70
[PA065-4025; AD-FRL-5535-3]
Clean Air Act Final Full Approval Of Operating Permits Program;
Final Approval of Operating Permit and Plan Approval Programs Under
Section 112(l); Final Approval of State Implementation Plan Revision
for the Issuance of Federally Enforceable State Plan Approvals and
Operating Permits Under Section 110; Commonwealth of Pennsylvania
AGENCY: Environmental Protection Agency (EPA).
ACTION: Final full approval of Title V Operating Permit Program and
final approval of State Operating Permit and Plan Approval Programs.
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SUMMARY: The EPA is promulgating full approval of the Operating Permits
Program submitted by the Commonwealth of Pennsylvania for the purpose
of complying with Federal
[[Page 39598]]
requirements for an approvable State program to issue operating permits
to all major stationary sources, and to certain other sources. EPA is
also granting final approval to Pennsylvania's Operating Permit and
Plan Approval Programs pursuant to Section 110 of the Clean Air Act
(the ``Act'') for the purpose of creating Federally enforceable
operating permit and plan approval conditions for sources of criteria
air pollutants. In order to extend the federal enforceability of State
operating permits and plan approvals to include hazardous air
pollutants (HAPs), EPA is also approving Pennsylvania's plan approval
and operating permits program regulations pursuant to Section 112 of
the Act. Today's action also approves Pennsylvania's mechanism for
receiving straight delegation of Section 112 standards.
EFFECTIVE DATE: August 29, 1996.
ADDRESSES: Copies of the State's submittal and other supporting
information used in developing this final full approval are available
for public inspection during normal business hours at the Air,
Radiation, and Toxics Division, U.S. Environmental Protection Agency,
Region III, 841 Chestnut Building, Philadelphia, Pennsylvania 19107;
the Air and Radiation Docket and Information Center, U.S. Environmental
Protection Agency, 401 M Street, SW, Washington, DC 20460; Pennsylvania
Department of Environmental Protection, Bureau of Air Quality, Rachel
Carson State Office Building, 400 Market Street, P.O. Box 8468,
Harrisburg, Pennsylvania 17105-8468.
FOR FURTHER INFORMATION CONTACT: Michael H. Markowski, 3AT23, U.S.
Environmental Protection Agency, Region 3, 841 Chestnut Building,
Philadelphia, Pennsylvania, 19107, (215) 566-2063.
SUPPLEMENTARY INFORMATION:
I. Background and Purpose
A. Introduction
Title V of the 1990 Clean Air Act Amendments (sections 501-507 of
the Clean Air Act), and implementing regulations at 40 Code of Federal
Regulations (CFR) Part 70 require that States develop and submit
operating permits programs to EPA by November 15, 1993, and that EPA
act to approve or disapprove each program within 1 year after receiving
the submittal. The EPA's program review occurs pursuant to section 502
of the Act and the part 70 regulations, which together outline criteria
for approval or disapproval. Where a program substantially, but not
fully, meets the requirements of Part 70, EPA may grant the program
interim approval for a period of up to 2 years. If EPA has not fully
approved a program by 2 years after the November 15, 1993 date, or by
the end of an interim program, it must establish and implement a
Federal program.
On March 7, 1996, EPA proposed full approval of the operating
permits program for the Commonwealth of Pennsylvania. See 61 FR 9125-
9132. EPA did not receive any public comments on the proposal, and in
this document is taking final action to promulgate full approval of the
Commonwealth's program.
As part of this action, EPA is also taking final action to approve
Pennsylvania's plan approval (i.e., construction permit) and operating
permit programs pursuant to Section 110 of the Act. On June 28, 1989
(54 FR 27274) EPA published criteria for approving and incorporating
into the State Implementation Plan (SIP) regulatory programs for the
issuance of federally enforceable state operating permits. Permits
issued pursuant to an operating permit program meeting these criteria
and approved into the SIP are considered federally enforceable. EPA has
encouraged States to consider developing such programs in conjunction
with Title V operating permit programs for the purpose of creating
federally enforceable limits on a source's potential to emit. This
mechanism enables sources to reduce their potential to emit of criteria
pollutants to below the Title V applicability thresholds and avoid
being subject to Title V. (See the guidance document entitled,
``Limitation of Potential to Emit with Respect to Title V Applicability
Thresholds,'' dated September 18, 1992, from John Calcagni, Director of
EPA's Air Quality Management Division).
Also as part of this action, EPA is taking final action to approve
Pennsylvania's plan approval (i.e., construction permit) and operating
permit programs pursuant to Section 112(l) of the Clean Air Act for the
purpose of allowing the Commonwealth to issue plan approvals and
operating permits which limit source's potential to emit hazardous air
pollutants (HAPs). Section 112(l) of the Clean Air Act provides the
underlying authority for controlling emissions of HAPs. Therefore, in
order to extend federal enforceability of the Commonwealth's operating
permit and plan approval programs to include HAPs, EPA is today
approving Pennsylvania's plan approval and operating permit program
submittals pursuant to Section 112(l) of the Act.
II. Final Action and Implications
A. Analysis of State Submission
The Secretary of the Department of Environmental Resources, as the
designee of the Governor of the Commonwealth of Pennsylvania, submitted
an administratively complete title V Operating Permit Program for the
Commonwealth of Pennsylvania on May 18, 1995. The Pennsylvania program,
including the operating permit regulations (25 Pa. Code Chapter 127,
Subchapter G, ``Title V Operating Permits'') fully meets the
requirements of 40 CFR parts 70.2 and 70.3 with respect to
applicability; parts 70.4, 70.5, and 70.6 with respect to permit
content including operational flexibility; part 70.5 with respect to
complete application forms and criteria which define insignificant
activities; part 70.7 with respect to public participation and minor
permit modifications; and part 70.11 with respect to requirements for
enforcement authority.
Section 127.531 of Subchapter G contains the acid rain provisions
of the Commonwealth's Title V operating permits program. EPA is aware
that Pennsylvania has not directly incorporated by reference EPA's
Title IV regulations found at 40 CFR Part 72, and has not adopted EPA's
model rule. However, as referenced in EPA's March 7, 1996 Federal
Register notice proposing full approval of Pennsylvania's program (61
FR 9125), several regulatory provisions require that Pennsylvania's
Title V program be operated in accordance with the requirements of
Title IV and its implementing regulations. Section 127.531(a) provides
that the acid rain provisions of that section ``shall be interpreted in
a manner consistent with the Clean Air Act and the regulations
thereunder.'' Section 127.531(b) requires that affected sources submit
a permit application and compliance plan ``that meets the requirements
of * * * the Clean Air Act and the regulations thereunder.'' Further,
the Sec. 121.1 definition of ``applicable requirements'' for Title V
sources includes standards or other requirements ``of the acid rain
program under Title IV of the Clean Air Act * * * or the regulations
thereunder.''
For additional assurance that Pennsylvania's operating permit
program will operate in compliance with applicable acid rain
requirements, EPA notes that the Commonwealth has agreed to accept
delegation of the applicable provisions of 40 C.F.R. Parts
[[Page 39599]]
70, 72, and 78 for the purpose of implementing the Title IV
requirements of its operating permit program. The Pennsylvania
Department of Environmental Protection (PADEP) shall apply these
provisions for purposes of incorporating Acid Rain program requirements
into each affected source's operating permit; identifying designated
representatives; establishing permit application deadlines; issuing,
denying, modifying, reopening, and renewing permits; establishing
compliance plans; processing permit appeals; and issuing written
exemptions under 40 C.F.R. 72.7 and 72.8. This commitment is contained
in an Implementation Agreement which has been negotiated between EPA
and PADEP.
As part of the May 18, 1995 submittal, PADEP submitted to EPA for
review and approval a revision to its State Implementation Plan (SIP)
designed to create federally enforceable limits on a source's potential
to emit. The revision consists of regulations establishing a State
operating permit program and a plan approval (i.e., construction
permit) program, codified in Subchapters F and B, respectively, of the
Commonwealth's air quality regulations. Pennsylvania refers to
construction permits as ``plan approvals.'' As explained more fully in
EPA's March 7, 1996 Notice of Proposed Rulemaking, 61 FR 9125, and in
the Technical Support Document which accompanied that proposed
rulemaking, the SIP revision submitted by Pennsylvania generally
strengthens the SIP by establishing a comprehensive operating permit
and plan approval program designed to limit source's potential to emit
of both criteria and hazardous air pollutants. As explained in the
March 7, 1996 Notice, EPA's review of this revision to the federally
enforceable Pennsylvania SIP indicates that the operating permit and
plan approval programs both meet applicable federal criteria for
approval. Specifically, EPA's review of the State operating permit
program submitted by Pennsylvania indicates that the program meets the
five criteria for approval set forth in the June 28, 1989 Federal
Register document (54 FR 27282) and the statutory criteria for approval
under Section 112(l)(5) of the Act. Please refer to EPA's March 7, 1996
Federal Register Notice for further information.
EPA's review of the Pennsylvania plan approval program indicates
that this program also meets applicable federal criteria for approval.
Specifically, EPA has determined that the Pennsylvania plan approval
program meets the statutory criteria for approval under Section
112(l)(5) of the Act. As explained in EPA's March 7, 1996 Notice, a
State operating permit or plan approval (i.e., construction permit)
issued pursuant to a program which has been approved by EPA and
incorporated into the SIP, and which meets the June 28, 1989 Federal
Register document and Clean Air Act Section 112(l) criteria, are deemed
federally enforceable and may be used to limit the potential to emit of
both criteria and hazardous air pollutants (HAPs). This will, in many
cases, allow a source to voluntarily limit its potential to emit of air
pollutants and avoid being subject to otherwise applicable major source
requirements of the Act, including Title V operating permit
requirements. Accordingly, EPA is today approving and incorporating
into the SIP Pennsylvania's operating permit and plan approval program
regulations pursuant to Sections 110 and 112 of the Act.
On January 31, 1996, PADEP proposed for public review and comment a
draft ``Voluntary Environmental Compliance Audit Policy.'' EPA is
concerned that this policy may impermissibly limit PADEP's authority to
seek civil penalties for certain violations disclosed by a source after
a voluntary audit. See Clean Air Act Sections 113(e)(1) and 502(b)(5);
40 CFR 70.11(a)(3) and (c). This policy has not been finalized and
implemented by PADEP, and thus its final scope and applicability are
uncertain. However, EPA advised Pennsylvania by letter on June 5, 1996
that if PADEP's final audit policy impermissibly limits PADEP's
authority to seek civil penalty from sources subject to this
rulemaking, then EPA will consider this to be grounds for reopening
this rulemaking and reconsidering its decision to fully approve the
programs that are the subject of this rulemaking.
B. Response to Comments
EPA did not receive any comments on its March 7, 1996 Federal
Register notice proposing full approval of the Pennsylvania Title V
operating permit, State operating permit, and plan approval programs.
C. Final Action
The EPA is promulgating full approval of the operating permits
program submitted to EPA by the Commonwealth of Pennsylvania on May 18,
1995. Among other things, Pennsylvania has demonstrated that the
program will be adequate to meet the minimum elements of a State
operating permits program as specified in 40 CFR Part 70.
In addition, the EPA is approving the Pennsylvania Operating Permit
and Plan Approval programs, codified in 25 Pa. Code Chapter 127
Subchapters F and B, respectively, pursuant to Section 110 of the Act
for the purpose of creating Federally enforceable permit conditions for
sources of criteria air pollutants. In order to extend Pennsylvania's
authority under Section 110 of the Act to include authority to create
federally enforceable limits on the potential to emit of hazardous air
pollutants (HAPs) listed pursuant to Section 112(b) of the Act, EPA is
approving Pennsylvania's Operating Permit and Plan Approval programs
pursuant to Section 112(l) of the Act.
The scope of the Commonwealth's part 70 program approved in this
document applies to all Title V facilities (as defined in the approved
program) within the Commonwealth, except any sources of air pollution
over which an Indian Tribe has jurisdiction. See, e.g., 59 FR 55813,
55815-18 (Nov. 9, 1994). The term ``Indian Tribe'' is defined under the
Act as ``any Indian tribe, band, nation, or other organized group or
community, including any Alaska Native village, which is Federally
recognized as eligible for the special programs and services provided
by the United States to Indians because of their status as Indians.''
See section 302(r) of the Clean Air Act; see also 59 FR 43956, 43962
(Aug. 25, 1994); 58 FR 54364 (Oct. 21, 1993).
Requirements for approval, specified in 40 CFR 70.4(b), encompass
section 112(l)(5) requirements for approval of a program for delegation
of section 112 standards as promulgated by EPA as they apply to Part 70
sources. Section 112(l)(5) requires that the State's program contain
adequate authorities, adequate resources for implementation, and an
expeditious compliance schedule, which are also requirements under Part
70. Therefore, the EPA is also promulgating full approval under section
112(l)(5) and 40 CFR 63.91 of the State's program for receiving
delegation of section 112 standards that are unchanged from Federal
standards as promulgated. This program for delegations only applies to
sources covered by the Part 70 program.
III. Administrative Requirements
A. Docket
Copies of the Commonwealth's submittal and other information relied
upon for the final full approval are contained in docket number PA065-
4025 maintained at the EPA Regional Office. The docket is an organized
and complete file of all the information submitted to, or otherwise
considered by, EPA in the development of this final
[[Page 39600]]
full approval. The docket is available for public inspection at the
location listed under the ADDRESSES section of this document.
B. Executive Order 12866
This action granting final full approval of Pennsylvania's Title V
program and final approval of Pennsylvania's plan approval and State
operating permit programs has been classified as a Table 3 action for
signature by the Regional Administrator under the procedures published
in the Federal Register on January 19, 1989 (54 FR 2214-2225), as
revised by a July 10, 1995 memorandum from Mary Nichols, Assistant
Administrator for Air and Radiation. The Office of Management and
Budget (OMB) has exempted this regulatory action from E.O. 12866
review.
C. Regulatory Flexibility Act
The EPA's actions under section 502 of the Act do not create any
new requirements, but simply address operating permits programs
submitted to satisfy the requirements of 40 CFR Part 70. Because this
action does not impose any new requirements, it does not have a
significant impact on a substantial number of small entities.
D. Unfunded Mandates
Under Section 202 of the Unfunded Mandates Reform Act of 1995
(``Unfunded Mandates Act''), signed into law on March 22, 1995, EPA
must prepare a budgetary impact statement to accompany any proposed or
final rule that includes a Federal mandate that may result in estimated
costs to State, local, or tribal governments in the aggregate; or to
private sector, of $100 million or more. Under Section 205, EPA must
select the most cost-effective and least burdensome alternative that
achieves the objectives of the rule and is consistent with statutory
requirements. Section 203 requires EPA to establish a plan for
informing and advising any small governments that may be significantly
or uniquely impacted by the rule.
EPA has determined that the approval action proposed/promulgated
does not include a Federal mandate that may result in estimated costs
of $100 million or more to either State, local, or tribal governments
in the aggregate, or to the private sector. This Federal action
approves pre-existing requirements under State or local law, and
imposes no new Federal requirements. Accordingly, no additional costs
to State, local, or tribal governments, or to the private sector,
result from this action.
E. Submission to Congress and the General Accounting Office
Under section 801(a)(1)(A) of the Administrative Procedure Act
(APA) as amended by the Small Business Regulatory Enforcement Fairness
Act of 1996, EPA submitted a report containing this rule and other
required information to the U.S. Senate, the U.S. House of
Representatives and the Comptroller General of the General Accounting
Office prior to publication of the rule in today's Federal Register.
This rule is not a ``major rule'' as defined by section 804(2) of the
APA as amended.
Nothing in this action should be construed as permitting or
allowing or establishing a precedent for any future request for
revision to any state implementation plan. Each request for revision to
the state implementation plan shall be considered separately in light
of specific technical, economic, and environmental factors and in
relation to relevant statutory and regulatory requirements.
Under section 307(b)(1) of the Clean Air Act, petitions for
judicial review of this action must be filed in the United States Court
of Appeals for the appropriate circuit by September 30, 1996. Filing a
petition for reconsideration by the Administrator of this final rule
does not affect the finality of this rule for the purposes of judicial
review nor does it extend the time within which a petition for judicial
review may be filed, and shall not postpone the effectiveness of such
rule or action. This action may not be challenged later in proceedings
to enforce its requirements. (See section 307(b)(2).)
List of Subjects
40 CFR Part 52
Environmental protection, Air pollution control, Carbon monoxide,
Hydrocarbons, Incorporation by reference, Intergovernmental relations,
Nitrogen dioxide, Ozone, Particulate matter, Reporting and
recordkeeping requirements, Sulfur oxides.
40 CFR Part 70
Administrative practice and procedure, Air pollution control,
Environmental protection, Intergovernmental relations, Operating
permits, Reporting and recordkeeping requirements.
Dated: June 26, 1996.
Stanley L. Laskowski,
Acting Regional Administrator, EPA Region III.
Chapter I, title 40 of the Code of Federal Regulations is amended
as follows:
PART 52--[AMENDED]
1. The authority citation for part 52 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart NN--Pennsylvania
2. Section 52.2020 is amended by adding paragraph (c)(110) to read
as follows:
Sec. 52.2020 Identification of plan.
* * * * *
(c) * * *
(110) Revisions to the Operating Permit, Plan Approval and Sampling
and Testing Program Regulations submitted on May 18, 1995 by the
Pennsylvania Department of Environmental Resources:
(i) Incorporation by reference.
(A) Letter of May 15, 1995 from the Pennsylvania Department of
Environmental Resources transmitting Pennsylvania's Title V operating
permit, plan approval, and State operating permit programs.
(B) Revisions to the definition of ``Potential to emit'' and
addition of the following definitions in Title 25, Chapter 121, Section
121.1, effective on November 26, 1994: ``Air pollution'', ``Applicable
requirements'', ``Compliance docket'', ``Compliance review form'',
``Deviation'', ``Documented conduct'', ``Federally enforceable
emissions cap'', ``General plan approval'', ``General operating
permit'', ``Minor operating permit modification'', ``Performance
standard'', ``Related party'', ``Renewal'', ``Research and development
facility'', ``Responsible official'', ``Title V facility'', ``Title V
permit'', and ``Title V regulated air pollutant.''
(C) The following amendments to Title 25, Chapter 127, effective on
November 26, 1994: Sec. 127.1, 127.3, 127.11 through 127.14, 127.25,
127.32, 127.35, 127.36, 127.44, 127.45, 127.47, 127.49 through 127.51,
127.401 through 127.404, 127.411 through 127.414, 127.421 through
127.431, 127.441 through 127.450, 127.461 through 127.464, 127.701
through 127.703, and 127.707.
(D) The following amendments to Title 25, Chapter 139, effective on
November 26, 1994: Sec. 139.4, 139.5, 139.12, 139.13, 139.14, 139.32,
139.101 through 139.104, and 139.108.
[[Page 39601]]
(ii) Additional material.
(A) Remainder of May 18, 1995 State submittal.
3. Section 52.2061 is added to read as follows:
Sec. 52.2061 Operating permits.
(a) Emission limitations and related provisions which are
established in Pennsylvania operating permits as federally enforceable
conditions shall be enforceable by EPA. EPA reserves the right to deem
permit conditions not federally enforceable. Such a determination will
be made according to appropriate procedures, and be based upon the
permit, permit approval procedures, or permit requirements which do not
conform with the operating permit program requirements or the
requirements of EPA's underlying regulations.
(b) (reserved)
4. Section 52.2062 is added to read as follows:
Sec. 52.2062 Plan approvals.
(a) Emission limitations and related provisions which are
established in Pennsylvania plan approvals as federally enforceable
conditions shall be enforceable by EPA. EPA reserves the right to deem
plan approval conditions not federally enforceable. Such a
determination will be made according to appropriate procedures, and be
based upon the plan approval, the relevant approval procedures, or plan
requirements which do not conform with the plan approval program
requirements or the requirements of EPA's underlying regulations.
(b) (reserved)
PART 70--[AMENDED]
1. The authority citation for part 70 continues to read as follows:
Authority: 42 U.S.C. 7401, et seq.
2. Appendix A to part 70 is amended by adding the entry for
Pennsylvania in alphabetical order to read as follows:
Appendix A to Part 70--Approval Status of State and Local Operating
Permits Programs
* * * * *
Pennsylvania
(a) Pennsylvania Department of Environmental Resources [now known
as the Pennsylvania Department of Environmental Protection]: submitted
on May 18, 1995; full approval effective on August 29, 1996.
(b) (Reserved)
[FR Doc. 96-19205 Filed 7-29-96; 8:45 am]
BILLING CODE 6560-50-P
Complete official Federal Register PDF
FR Doc. 96-19204 Approval and Promulgation of Air Quality Implementation Plans; Pennsylvania; General Operating Permit and Plan Approval Program
[Federal Register Volume 61, Number 147 (Tuesday, July 30, 1996)]
[Rules and Regulations]
[Pages 39593-39597]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-19204]
=======================================================================
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[[Page 39594]]
ENVIRONMENTAL PROTECTION AGENCY
40 CFR Part 52
[PA065-4026a; FRL-5535-2]
Approval and Promulgation of Air Quality Implementation Plans;
Pennsylvania; General Operating Permit and Plan Approval Program
AGENCY: Environmental Protection Agency (EPA).
ACTION: Direct final rule.
-----------------------------------------------------------------------
SUMMARY: EPA is approving a State Implementation Plan (SIP) revision
submitted by the Commonwealth of Pennsylvania which amends 25 Pa. Code
Chapter 127 to include a new Subchapter H entitled ``General Plan
Approvals and Operating Permits.'' The intended effect of this action
is to enable Pennsylvania to create Federally enforceable general State
operating permit and general plan approval conditions for sources of
criteria pollutants pursuant to Section 110 of the Clean Air Act (the
``Act''). In order to extend the Federal enforceability of general
State operating permits and general plan approvals to include hazardous
air pollutants (HAPs), EPA is also approving Pennsylvania's general
plan approval and general operating permits program regulations
pursuant to section 112(l) of the Act.
EFFECTIVE DATE: This final rule is effective September 30, 1996 unless
notice is received on or before August 29, 1996 that adverse or
critical comments will be submitted. If the effective date is delayed,
timely notice will be published in the Federal Register.
ADDRESSES: Comments may be mailed to David Arnold, Chief, Permit
Programs Section, Mailcode 3AT23, U.S. Environmental Protection Agency,
Region III, 841 Chestnut Building, Philadelphia, Pennsylvania 19107.
Copies of the documents relevant to this action are available for
public inspection during normal business hours at the Air, Radiation,
and Toxics Division, U.S. Environmental Protection Agency, Region III,
841 Chestnut Building, Philadelphia, Pennsylvania 19107; the Air and
Radiation Docket and Information Center, U.S. Environmental Protection
Agency, 401 M Street, SW, Washington, DC 20460; and Pennsylvania
Department of Environmental Protection, Rachel Carson State Office
Building, P.O. Box 8468, Harrisburg, Pennsylvania 17105-8468.
FOR FURTHER INFORMATION CONTACT: Michael H. Markowski, 3AT23, U.S.
Environmental Protection Agency, Region 3, 841 Chestnut Building,
Philadelphia, Pennsylvania, 19107, (215) 566-2063.
SUPPLEMENTARY INFORMATION: On May 18, 1995, the Pennsylvania Department
of Environmental Protection (PADEP) submitted to EPA for review and
approval a revision to its State Implementation Plan (SIP) designed to
create federally enforceable limits on a source's potential to emit.
The submittal supplements the Commonwealth's existing plan approval and
State operating permit programs, codified in Subchapters B and F,
respectively, and consists of regulations establishing a general State
operating permit program and a general plan approval program, codified
in Chapter 127, Subchapter H of the Pennsylvania Code. In a March 7,
1996 Federal Register notice, EPA proposed approval of Pennsylvania's
operating permit and plan approval programs codified in Subchapters F
and B, respectively, of Pennsylvania's air quality regulations. See 61
FR 9125. However, in that notice, EPA did not specifically propose
approval of the Pennsylvania general operating permit and general plan
approval program provisions codified in Subchapter H of Pennsylvania's
air quality regulations. Therefore, EPA is approving Pennsylvania's
general permit programs, under Subchapter H, with this separate
rulemaking action.
Summary of SIP Revision
Pennsylvania's general FESOP and general plan approval program
regulations were adopted and became effective in the Commonwealth on
November 26, 1994. The general operating permit and general plan
approval program regulations are codified under Chapter 127, Subchapter
H of the Commonwealth's air quality regulations. EPA found the SIP
submittal complete on May 31, 1995.
Pennsylvania's proposed SIP revision submitted to EPA on May 18,
1995 will strengthen the Pennsylvania SIP by establishing a
comprehensive general operating permit and general plan approval (i.e.,
construction permit) program. Pennsylvania refers to new source review
construction permits as ``plan approvals.'' Section 121.1 of the
Pennsylvania air quality regulations defines general plan approvals and
general operating permits as plan approvals and operating permits that
are issued for a category of stationary air contamination sources that
are similar in nature and that can be adequately regulated using
standardized specifications and conditions. For clarity, EPA notes that
the PADEP's general permit program codified under Subchapter H of the
Pennsylvania regulations is intended only to supplement, but not
replace, the PADEP's existing plan approval and operating permit
programs codified under Subchapters B and F, respectively, of the
Pennsylvania regulations.
EPA Evaluation
On June 28, 1989 (54 FR 27274) EPA published criteria for approving
and incorporating into the SIP regulatory programs for the issuance of
federally enforceable state operating permits. Permits issued pursuant
to an operating permit program meeting these criteria and approved into
the SIP are considered federally enforceable. EPA has encouraged States
to consider developing such programs in conjunction with Title V
operating permit programs for the purpose of creating federally
enforceable limits on a source's potential to emit. This mechanism
would enable sources to reduce their potential to emit of criteria
pollutants to below the Title V applicability thresholds and avoid
being subject to Title V. (See the guidance document entitled,
``Limitation of Potential to Emit with Respect to Title V Applicability
Thresholds,'' dated September 18, 1992, from John Calcagni, Director of
EPA's Air Quality Management Division).
As part of this action, EPA is approving Pennsylvania's general
plan approval (i.e., construction permit) and general operating permit
programs pursuant to Section 112(l) of the Clean Air Act for the
purpose of allowing the Commonwealth to issue general plan approvals
and general operating permits which limit source's potential to emit
hazardous air pollutants (HAPs). Section 112(l) of the Clean Air Act
provides the underlying authority for controlling emissions of HAPs.
Therefore, in order to extend federal enforceability of the
Commonwealth's general operating permit and general plan approval
programs to include HAPs, EPA is today approving Pennsylvania's general
plan approval and general operating permit programs pursuant to Section
112(l) of the Act.
Limiting a source's potential to emit to below major source
thresholds through the use of federally enforceable terms and
conditions in a general State operating permit or general plan approval
exempts such a source from Title V permitting requirements. General
State operating permit programs which have been incorporated into the
SIP renders general operating permits
[[Page 39595]]
issued pursuant to such a program as federally enforceable, and the
program itself is referred to as a federally enforceable State
operating permit program, or ``FESOP'' program. This FESOP mechanism
will allow sources to reduce their potential to emit to below the Title
V applicability thresholds and avoid being subject to Title V.
Similarly, general construction permit (i.e., plan approval) programs
which have been incorporated into the SIP renders general construction
permits, or, in Pennsylvania's case, general plan approvals, issued
pursuant to such a program as federally enforceable.
A. Federal Criteria for Approval of Pennsylvania's General FESOP and
General Plan Approval Programs Pursuant to Section 110 of the Act
The five criteria for approving a State operating permit program
into a SIP were set forth in the June 28, 1989 Federal Register
document (54 FR 27282). Permits issued under an approved program are
federally enforceable and may be used to limit the potential to emit of
sources of criteria air pollutants. Pennsylvania's general FESOP
provisions of Subchapter H, Chapter 127 meet the June 28, 1989 criteria
by ensuring that the limits will be permanent, quantifiable, and
practically enforceable and by providing adequate notice and comment to
both EPA and the public. Please refer to the Technical Support Document
for a thorough analysis of the June 28, 1989 criteria as applied to
Pennsylvania's general FESOP program.
EPA is approving pursuant to Section 110 of the Act and the
approval criteria specified in the June 28, 1989 Federal Register
document the following regulations that were submitted to make general
operating permits and general plan approvals federally enforceable:
Subchapter H, Chapter 127, Sections 127.601 through 127.622, inclusive.
As described above, Pennsylvania also submitted on May 18, 1995 for
EPA approval revisions to its minor new source review construction
permit (i.e., plan approval) program. Pennsylvania's new source review
construction permit is called a ``plan approval.'' These proposed
revisions to the Pennsylvania SIP establish a comprehensive general
plan approval program under Chapter 127, Subchapter H of the
Commonwealth's air quality regulations designed to supplement the
Commonwealth's existing plan approval program codified under Chapter
127, Subchapter B. The Commonwealth's plan approval program has been
part of its SIP for many years and meets the requirements in Section
110(a)(2)(C) of the Act which requires all SIPs to provide for the
regulation of the modification and construction of any stationary
source within the areas covered by the plan implementation as necessary
to assure that national ambient air quality standards (NAAQS) are
achieved. Pennsylvania's plan approval regulations under Subchapter B
were originally approved by EPA into the SIP on May 31, 1972 (37 FR
10842) for the purpose of meeting the Section 110(a)(2)(C) requirement.
EPA notes that Pennsylvania had previously submitted, on February
10, 1994, its new source review (NSR) construction permit program for
review and approval, for the purpose of making the program consistent
with the Clean Air Act Amendments of 1990. EPA is reviewing this
program submittal and will take the appropriate approval/disapproval
action at a later date. EPA has reviewed the proposed changes and
additions to Pennsylvania's plan approval program which are the subject
of this rulemaking action and has determined that they meet all
applicable federal requirements for approval.
B. Approval of Pennsylvania's General Plan Approval and General FESOP
Programs Under Section 112(l)
On May 18, 1995, PADEP requested approval of Pennsylvania's general
FESOP and general plan approval programs under Section 112 of the Act
for the purpose of creating federally enforceable limitations on the
potential to emit of HAPs. As described above, the Commonwealth's plan
approval program regulations were initially approved by EPA and
incorporated into the Pennsylvania SIP on May 31, 1972. EPA is today
approving and incorporating into the SIP Pennsylvania's general
operating permit and general plan approval program regulations
submitted on May 18, 1995.
EPA approval of the Commonwealth's general plan approval and
general FESOP programs under Section 112(l) of the Act is necessary to
extend Pennsylvania's authority under Section 110 of the Act to include
authority to create federally enforceable limits on the potential to
emit of HAPs. EPA's approval of Pennsylvania's general FESOP and plan
approval programs pursuant to Section 110 of the Act provides a
mechanism only for controlling criteria air pollutants which does not
extend to HAPs. Only Section 112 of the Act provides the underlying
authority for States to limit potential to emit of HAPs in federally
enforceable general State operating permits and general construction
permits. This necessitates EPA approval of the Pennsylvania general
operating permit and general plan approval programs pursuant to Section
112(l) of the Act.
The criteria used by EPA for the original SIP approval of
Pennsylvania's plan approval program are located in 40 CFR 51.160-164.
EPA believes that the PADEP's existing plan approval program under
Subchapter B meets the requirements of 40 CFR 51.160 through 51.164.
EPA has determined that the five approval criteria for approving
FESOP programs into the SIP, as specified in the June 28, 1989 Federal
Register notice referenced above, are also appropriate for evaluating
and approving the programs under Section 112(l). The June 28, 1989
notice does not address HAPs because it was written prior to the 1990
amendments to Section 112 of the Act. Hence, the following five
criteria are applicable to FESOP approvals under Section 112(l): (1)
The program must be submitted to and approved by EPA; (2) the program
must impose a legal obligation on the operating permit holders to
comply with the terms and conditions of the permit, and permits that do
not conform with the June 28, 1989 criteria shall be deemed not
federally enforceable; (3) the program must contain terms and
conditions that are at least as stringent as any requirements contained
in the SIP or enforceable under the SIP or any other Section 112 or
other Clean Air Act standard or requirement; (4) permits issued under
the program must contain conditions that are permanent, quantifiable,
and enforceable as a practical matter; and (5) permits issued under the
program must be subject to public participation. Please refer to the
Technical Support Document for a thorough analysis of how
Pennsylvania's general operating permits program satisfies each of the
five approval criteria. Since the State's general operating permits
program meets the five program approval criteria for both criteria and
hazardous air pollutants, the program may be used to limit the
potential to emit of both criteria and hazardous air pollutants.
In addition to meeting the criteria discussed above, Pennsylvania's
general plan approval and general operating permits programs for
limiting potential to emit of HAPs must meet the statutory criteria for
approval under Section 112(l)(5) of the Act. This section allows EPA to
approve a program only if it: (1) contains adequate authority to assure
compliance with any Section 112 standard or requirement; (2) provides
for adequate resources; (3) provides for an expeditious schedule for
assuring compliance with Section 112
[[Page 39596]]
requirements; and (4) is otherwise likely to satisfy the objectives of
the Act.
The EPA plans to codify the approval criteria for programs limiting
the potential to emit of HAPs through amendments to Subpart E of 40 CFR
part 63, the regulations promulgated to implement section 112(l) of the
Act. (See 58 FR. 62262, November 26, 1993). The EPA currently
anticipates that these criteria, as they apply to FESOP programs, will
mirror those set forth in the June 28, 1989 notice, with the addition
that the State's authority must extend to HAPs instead of or in
addition to VOC's and PM10. The EPA currently anticipates that
FESOP programs that are approved pursuant to Section 112(l) prior to
the planned Subpart E revisions will have had to meet these criteria,
and hence will not be subject to any further approval action.
The EPA believes it has the authority under section 112(l) to
approve programs to limit potential to emit of HAPs directly under
section 112(l) prior to this revision to Subpart E. Section 112(l)(5)
requires the EPA to disapprove programs that are inconsistent with
guidance required to be issued under section 112(l)(2). This might be
read to suggest that the ``guidance'' referred to in section 112(l)(2)
was intended to be a binding rule. Even under this interpretation, the
EPA does not believe that section 112(l) requires this rulemaking to be
comprehensive. That is, it need not address every possible instance of
approval under section 112(l). The EPA has already issued regulations
under section 112(l) that would satisfy any section 112(l)(2)
requirement for rulemaking. Given the severe timing problems posed by
impending deadlines set forth in ``maximum achievable control
technology'' (MACT) emission standards under section 112 and for
submittal of Title V permit applications, the EPA believes it is
reasonable to read section 112(l) to allow for approval of programs to
limit potential to emit prior to promulgation of a rule specifically
addressing this issue. The EPA is therefore approving Pennsylvania's
general FESOP and general plan approval programs now so that
Pennsylvania may begin to issue federally enforceable general operating
permits and general plan approvals limiting potential to emit as soon
as possible. This will allow Pennsylvania to immediately begin
exempting sources from Title V requirements where this is possible and
appropriate.
The EPA is approving Pennsylvania's general FESOP and general plan
approval programs pursuant to Section 112(l) of the Act because the
programs meet applicable approval criteria specified in the June 28,
1989 Federal Register document and in Section 112(l)(5) of the Act.
Regarding the statutory criteria of Section 112(l)(5) of the Act
referred to above, the EPA believes Pennsylvania's general FESOP and
general plan approval programs contain adequate authority to assure
compliance with Section 112 requirements since neither program provides
for waiving any Section 112 requirement(s). Sources would still be
required to meet Section 112 requirements applicable to non-major
sources. Regarding adequate resources, Pennsylvania has included in its
general FESOP and general plan approval programs provisions for
collecting fees from sources making application for either a general
plan approval, a general operating permit, or both. Furthermore, EPA
believes that Pennsylvania's general FESOP and general plan approval
programs provide for an expeditious schedule for assuring compliance
because they allow a source to establish a voluntary limit on potential
to emit and avoid being subject to a federal Clean Air Act requirement
applicable on a particular date. Nothing in Pennsylvania's general plan
approval or general operating permit programs would allow a source to
avoid or delay compliance with a federal requirement if it fails to
obtain the appropriate federally enforceable limit by the relevant
deadline. Finally, Pennsylvania's general FESOP and general plan
approval programs are consistent with the objectives of the Section 112
program because their purpose is to enable sources to obtain federally
enforceable limits on potential to emit to avoid major source
classification under Section 112. The EPA believes that this purpose is
consistent with the overall intent of Section 112.
EPA has concluded that the general operating permit and general
plan approval programs submitted by Pennsylvania meet the requirements
of EPA's June 28, 1989 notice and the statutory requirements under
section 112(l) of the Act and is therefore approving the programs. For
more detailed information on the analysis of the State's submission,
please refer to the technical support document (TSD) included in the
docket at the address noted above.
EPA is approving this SIP revision without prior proposal because
the Agency views this as a noncontroversial amendment and anticipates
no adverse comments. However, in a separate document in this Federal
Register publication, EPA is proposing to approve the SIP revision
should adverse or critical comments be filed. This action will be
effective September 30, 1996 unless, by August 29, 1996, adverse or
critical comments are received.
If EPA receives such comments, this action will be withdrawn before
the effective date by publishing a subsequent document that will
withdraw the final action. All public comments received will then be
addressed in a subsequent final rule based on this action serving as a
proposed rule. EPA will not institute a second comment period on this
action. Any parties interested in commenting on this action should do
so at this time. If no such comments are received, the public is
advised that this action will be effective on September 30, 1996.
Final Action
EPA is approving as revisions to the Pennsylvania SIP changes to
Chapter 127 of the Pennsylvania Code which were submitted on May 18,
1995. The submittal revises Pennsylvania's existing plan approval and
FESOP programs by adding a comprehensive general FESOP and general plan
approval program under Chapter 127, Subchapter H of the Commonwealth's
air quality regulations.
Nothing in this action should be construed as permitting or
allowing or establishing a precedent for any future request for
revision to any State implementation plan. Each request for revision to
the State implementation plan shall be considered separately in light
of specific technical, economic, and environmental factors and in
relation to relevant statutory and regulatory requirements.
Under the Regulatory Flexibility Act, 5 U.S.C. 600 et seq., EPA
must prepare a regulatory flexibility analysis assessing the impact of
any proposed or final rule on small entities. 5 U.S.C. 603 and 604.
Alternatively, EPA may certify that the rule will not have a
significant impact on a substantial number of small entities. Small
entities include small businesses, small not-for-profit enterprises,
and government entities with jurisdiction over populations of less than
50,000.
SIP approvals under section 110 and subchapter I, part D of the
Clean Air Act do not create any new requirements but simply approve
requirements that the State is already imposing. Therefore, because the
Federal SIP approval does not impose any new requirements, the
Administrator certifies that it does not have a significant impact on
any small entities affected. Moreover, due to the nature of the
Federal-State relationship
[[Page 39597]]
under the Clean Air Act, preparation of a flexibility analysis would
constitute Federal inquiry into the economic reasonableness of state
action. The Clean Air Act forbids EPA to base its actions concerning
SIPs on such grounds. Union Electric Co. v. U.S. EPA, 427 U.S. 246,
255-66 (1976); 42 U.S.C. 7410(a)(2).
Under Section 202 of the Unfunded Mandates Reform Act of 1995
(``Unfunded Mandates Act''), signed into law on March 22, 1995, EPA
must prepare a budgetary impact statement to accompany any proposed or
final rule that includes a Federal mandate that may result in estimated
costs to State, local, or tribal governments in the aggregate; or to
the private sector, of $100 million or more. Under section 205, EPA
must select the most cost-effective and least burdensome alternative
that achieves the objectives of the rule and is consistent with
statutory requirements. Section 203 requires EPA to establish a plan
for informing and advising any small governments that may be
significantly or uniquely impacted by the rule.
EPA has determined that the approval action promulgated does not
include a Federal mandate that may result in estimated costs of $100
million or more to either State, local, or tribal governments in the
aggregate, or to the private sector. This Federal action approves pre-
existing requirements under State or local law, and imposes no new
Federal requirements. Accordingly, no additional costs to State, local,
or tribal governments, or to the private sector, result from this
action.
Under section 801(a)(1)(A) of the Administrative Procedures Act
(APA) as amended by the Small Business Regulatory Enforcement Fairness
Act of 1996, EPA submitted a report containing this rule and other
required information to the U.S. Senate, the U.S. House of
Representatives and the Comptroller General of the General Accounting
Office prior to publication of the rule in today's Federal Register.
This rule is not a ``major rule'' as defined by section 804(2) of the
APA as amended.
This action has been classified as a Table 3 action for signature
by the Regional Administrator under the procedures published in the
Federal Register on January 19, 1989 (54 FR 2214-2225), as revised by a
July 10, 1995 memorandum from Mary Nichols, Assistant Administrator for
Air and Radiation. The Office of Management and Budget (OMB) has
exempted this regulatory action from E.O. 12866 review.
Under section 307(b)(1) of the Clean Air Act, petitions for
judicial review of this action must be filed in the United States Court
of Appeals for the appropriate circuit by September 30, 1996. Filing a
petition for reconsideration by the Administrator of this final rule
does not affect the finality of this rule for the purposes of judicial
review nor does it extend the time within which a petition for judicial
review may be filed, and shall not postpone the effectiveness of such
rule or action. This action may not be challenged later in proceedings
to enforce its requirements. (See section 307(b)(2).)
List of Subjects in 40 CFR Part 52
Environmental protection, Air pollution control, Carbon monoxide,
Hydrocarbons, Incorporation by reference, Intergovernmental relations,
Nitrogen dioxide, Ozone, Particulate matter, Reporting and
recordkeeping requirements, Sulfur oxides.
Dated: June 26, 1996.
Stanley L. Laskowski,
Acting Regional Administrator, Region III.
40 CFR part 52 is amended as follows:
PART 52--[AMENDED]
1. The authority citation for part 52 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart NN--Pennsylvania
2. Section 52.2020 is amended by adding paragraph (c)(111) to read
as follows:
Sec. 52.2020 Identification of plan.
* * * * *
(c) * * *
(111) Revisions to the Operating Permit and Plan Approval
Regulations to add Subchapter H, ``General Plan Approvals and Operating
Permits'', submitted on May 18, 1995 by the Pennsylvania Department of
Environmental Resources:
(i) Incorporation by reference.
(A) Letter of May 15, 1995 from the Pennsylvania Department of
Environmental Resources transmitting Pennsylvania's general plan
approval and general operating permit programs.
(B) The following amendments to Title 25, Chapter 127, effective on
November 26, 1994: Sec. 127.601, 127.611, 127.612, 127.621, and
127.622.
(ii) Additional material.
(A) Remainder of Pennsylvania's May 18, 1995 submittal.
3. Section 52.2061 is amended by adding paragraph (b) to read as
follows:
Sec. 52.2061 Operating permits.
* * * * *
(b) Emission limitations and related provisions which are
established in Pennsylvania general operating permits as federally
enforceable conditions shall be enforceable by EPA. EPA reserves the
right to deem general permit conditions not federally enforceable. Such
a determination will be made according to appropriate procedures, and
be based upon the general permit, general permit approval procedures,
or general permit requirements which do not conform with the general
operating permit program requirements or the requirements of EPA's
underlying regulations.
4. Section 52.2062 is amended by adding paragraph (b) to read as
follows:
Sec. 52.2062 Plan approvals.
* * * * *
(b) Emission limitations and related provisions which are
established in Pennsylvania general plan approvals as federally
enforceable conditions shall be enforceable by EPA. EPA reserves the
right to deem general plan approval conditions not federally
enforceable. Such a determination will be made according to appropriate
procedures, and be based upon the general plan approval, the relevant
approval procedures, or plan requirements which do not conform with the
general plan approval program requirements or the requirements of EPA's
underlying regulations.
[FR Doc. 96-19204 Filed 7-29-96; 8:45 am]
BILLING CODE 6560-50-P
Complete official Federal Register PDF
FR Doc. 96-19173 Supplemental Standards of Ethical Conduct for Employees of the Department of Health and Human Services
[Federal Register Volume 61, Number 147 (Tuesday, July 30, 1996)]
[Rules and Regulations]
[Pages 39756-39767]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-19173]
[[Page 39755]]
_______________________________________________________________________
Part III
Department of Health and Human Services
_______________________________________________________________________
Office of the Secretary
_______________________________________________________________________
5 CFR Chapter XLV
Supplemental Standards of Ethical Conduct for Employees; Final Rule
Federal Register / Vol. 61, No. 147 / Tuesday, July 30, 1996 / Rules
and Regulations
[[Page 39756]]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
5 CFR Chapter XLV
RIN 3209-AA15
Supplemental Standards of Ethical Conduct for Employees of the
Department of Health and Human Services
AGENCY: Department of Health and Human and Services (HHS).
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Department of Health and Human Services,with the
concurrence of the Office of Government Ethics (OGE), is issuing
regulations for officers and employees of HHS that supplement the OGE
Standards of Ethical Conduct for Employees of the Executive Branch.
This final rule specifies procedural and substantive requirements that
are necessary to address ethical issues unique to the Department. The
rule: Designates separate agency components for purposes of the gift
rules and the teaching, speaking and writing restrictions; excepts from
the gift rules, subject to monetary limits, arts and crafts items
received from Indian tribes or Alaska-Native organizations; prohibits
the holding or acquisition of certain financial interests by employees
of the Food and Drug Administration (FDA); exempts otherwise
disqualifying financial interests derived from Indian or Alaska Native
birthrights; prohibits certain outside employment and other outside
activities; establishes HHS-wide prior approval requirements for
outside employment and other outside activities, with additional rules
applicable to FDA employees; authorizes certain compensated teaching,
speaking and writing activities engaged in by special Government
employees in the Public Health Service (PHS); and delineates
restrictions on concurrent representation of tribal organizations.
EFFECTIVE DATE: July 30, 1996.
FOR FURTHER INFORMATION CONTACT:
Edgar M. Swindell, Assistant Special Counsel for Ethics, or Richard M.
Thomas, Assistant Special Counsel for Ethics (FDA sections), Office of
the General Counsel, Ethics Division, telephone (202) 690-7258, fax
(202) 690-5452.
SUPPLEMENTARY INFORMATION:
I. Background
On August 7, 1992, the Office of Government Ethics published
Standards of Ethical Conduct for Employees of the Executive Branch (OGE
Standards), codified at 5 CFR part 2635. See 57 FR 35006-35067, as
corrected at 57 FR 48557 and 52583 and 60 FR 51667, with additional
grace period extensions at 59 FR 4779-4780, 60 FR 6939-6391 and 66857-
66858. Effective February 3, 1993, the OGE Standards established
uniform rules applicable to all executive branch personnel.
Pursuant to 5 CFR 2635.105, executive branch agencies are
authorized to publish, with the concurrence of OGE, supplemental
regulations deemed necessary to implement their respective ethics
programs. The Department and OGE have determined that the following
supplemental regulations, which are being issued in a new chapter XLV,
consisting of part 5501, of 5 CFR, are necessary to establish certain
prior approval procedures, and to address gifts, financial holdings,
outside employment and other outside activities, and other ethics
issues arising out of the unique programs and operations of the
Department.
In a separate rulemaking (which will have an effective date that is
the same as the date of publication of this supplemental regulation),
the Department, after consultation with OGE, will remove those
provisions in its existing agency standards of conduct regulations at
45 CFR part 73 and 73a that have been superseded by the OGE Standards
of Ethical Conduct, the OGE financial disclosure regulations at 5 CFR
part 2634, and this final rule. The Department will then add a cross-
reference to the OGE rules, as supplemented. Those portions of the HHS
and FDA regulations regarding conduct that remain will preserve
employee obligations unrelated to those subjects assigned to OGE for
rulemaking and implementation, such as the political activity
restrictions for uniformed service officers in the Public Health
Service Commissioned Corps, the rules governing conduct on Federal
property, and the standards for workplace courtesy, cooperation, and
avoidance of sexual harassment.
II. Analysis of the Regulations
Section 5501.101 General
This section states the purpose and scope of the part, incorporates
the general definitions promulgated in the OGE Standards, and defines
specific terms. The section specifies that the supplemental regulations
apply to all officers and employees of HHS, including special
Government employees (SGEs) and uniformed service officers in the
Public Health Service Commissioned Corps on active duty.
Section 5501.102 Designation of HHS Components as Separate Agencies
Section 2635.202(a) of the OGE Standards prohibits an employee from
soliciting or accepting a gift offered by a prohibited source or given
because of the employee's official position. A prohibited source is
defined, in part, as a person who is regulated by, or has matters
pending before, an employee's agency, as prescribed in 5 CFR
2635.203(d). For the purpose of identifying an employee's agency,
Sec. 2635.203(a) of the OGE Standards authorizes an executive
department, by supplemental regulation, to designate as a separate
agency any component of the department that exercises a distinct and
separate function.
Designations made pursuant to Sec. 2635.203(a) are used also to
identify an employee's agency for purposes of applying the prohibition
in 5 CFR 2635.807 on the receipt of compensation for teaching, speaking
and writing that relates to an employee's official duties. In addition,
under Sec. 5501.106(d) of this part, invitations to engage in outside
employment or other outside activities tendered by prohibited sources
of an employee's agency, as herein defined, are subject to a prior
approval requirement.
The Department has determined that each of the HHS components
listed in Sec. 5501.102 exercises distinct and separate functions.
Accordingly, Sec. 5501.102 designates the following operating divisions
and components of HHS as separate agencies: (1) Administration on Aging
(AOA); (2) Administration for Children and Families (ACF); (3) Agency
for Health Care Policy and Research (AHCPR); (4) Agency for Toxic
Substances and Disease Registry (ATSDR); (5) Centers for Disease
Control and Prevention (CDC); (6) Food and Drug Administration (FDA);
(7) Health Care Financing Administration (HCFA); (8) Health Resources
and Services Administration (HRSA); (9) Indian Health Service (IHS);
(10) National Institutes of Health (NIH); (11) Office of Consumer
Affairs (OCA); (12) Program Support Center (PSC); and (13) Substance
Abuse and Mental Health Services Administration (SAMHSA).
As a result of these designations, employees of a designated
component have to be concerned only with the prohibited sources of
their respective components when assessing the propriety of a tendered
gift or invitation to teach, speak, write, or engage in outside
employment or other outside
[[Page 39757]]
activities. Employees of a component are defined to include, in
addition to employees actually within a component, employees in a
division or region of the Office of the General Counsel (OGE) that
principally advise or represent that component.
Any HHS employee not in one of the 13 components designated as
separate agencies (including employees of the Office of the General
Counsel with Department-wide responsibility) is deemed an employee of
the remainder of HHS. These employees are treated as if no separate
designations had been made, and, as a result, all prohibited sources of
HHS are attributable to them.
Under Sec. 5501.102, an employee of the Administration for Children
and Families, for example, could receive an unsolicited gift from a
hospital corporation receiving Medicare reimbursement through the
Health Care Financial Administration, provided that the gift was not
given because of the employee's official position. The hospital
corporation would be a prohibited source of gifts as to all employees
of HCFA, but likely would not be a prohibited source as to all
employees of ACF or other designated agency components, unless that
hospital corporation was also seeking official action from, were doing
business with, were regulated by, or otherwise had a matter pending
before that separate designated agency component.
A hospital corporation receiving Federal funds, however, would be a
prohibited source of gifts for all employees in the Office of the
Assistant Secretary for Public Affairs because such employees are
deemed part of the remainder of HHS and, as such, are charged with all
prohibited sources of the Department. Employees of the Business and
Administrative Law Division of the Office of the General Counsel, which
has Department-wide responsibilities, would be treated similarly.
However, employees of the Children, Families, and Aging Division of the
Office of the General Counsel, which serves ACF and AOA, would receive
the benefit of the separate agency designations.
Section 5501.103 Gifts from Federally Recognized Indian Tribes or
Alaska Native Villages or Regional or Village Corporations
Section 2635.204(k) of the OGE Standards permits employees to
accept any gift that is specifically authorized by a supplemental
agency regulation. The Office of Government Ethics is authorized by 5
U.S.C. 7353(b)(1) to permit ``such reasonable exceptions as may be
appropriate'' from the general ban on gifts to Federal employees given
by prohibited sources or because of their official position. Section
5501.103 permits HHS employees to accept unsolicited gifts of native
artwork or crafts from federally recognized Indian tribes or Alaska
Native villages or regional or village corporations valued up to and
including $200 per source per calendar year. Such gifts may include
art, jewelry, pottery, rugs, carvings, beadwork, and native dress.
Indian tribes and Alaska Native villages often offer gifts of
artwork and crafts as a matter of custom and tradition. Many employees
throughout HHS, most notably in the Indian Health Service, the
Administration for Native Americans within the Administration for
Children and Families, the Centers for Disease Control and Prevention,
and the Substance Abuse and Mental Health Services Administration,
interact with Native Americans. Cognizant of the unique status of
tribal organizations, this exception is intended to effectuate
harmonious and respectful relations between HHS and the governing
bodies of Indian tribes and Alaskan Native villages. The Department of
the Interior concurs in this approach and plans to promulgate an
identical provision for its employees.
The $200 per source per year threshold is appropriate in light of
the recognized value of handcrafted artwork. The figure reflects that
tribal art on occasion may be expected to exceed the current $20
maximum permitted by the gift rules, but is set low enough to exclude
antiquities, collectibles, or similar items having a significant
commercial value. Moreover, the $200 figure is consistent with the
monetary threshold contained in Sec. 2635.204(d) of the OGE Standards
relating to receipt of gifts for meritorious public service or
achievement.
This section does not authorize employees to accept such gifts from
individual tribe or organization members. In addition, the limitations
on the use of exceptions to the gift rules, contained in 5 CFR 2635.201
through 2635.205, apply to this section. If the donor is a tribe or
village that has interests that may be substantially affected by the
performance or nonperformance of the recipient's official duties, the
employee may accept the gifts authorized by this section only where
there is a written finding by the agency designee that acceptance of
the gift is in the agency's interest and will not violate any of the
limitations on the use of exceptions contained in 5 CFR 2635.202(c).
Gifts valued over $200 may be accepted on behalf of HHS, where
appropriate, if authorized by applicable statutory gift acceptance
authority, e.g., 42 U.S.C. 238.
Section 5501.104 Prohibited Financial Interests Applicable to
Employees of the Food and Drug Administration and the Office of the
Chief Counsel
In 1972, the Department of Health, Education and Welfare, the
predecessor of the Department of Health and Human Services, determined
that, because the Food and Drug Administration ``is a unique consumer
protection and regulatory agency within the Department,'' the
Department's standards of conduct needed ``further supplementation to
reflect this role.'' 37 FR 24347, 24348 (November 16, 1972). Therefore,
the Department adopted additional activities and financial interests,
applicable only to employees of FDA (and later to employees of the then
Food and Drug Division of the Office of the General Counsel), codified
at 45 CFR part 73a. The Department amended the FDA supplemental
regulations in 1978, again ``to re-enforce public confidence in the
integrity of decisions rendered by FDA employees.'' 43 FR 7618, 7619
(February 24, 1978).
Over two decades since the FDA supplemental regulations were first
promulgated, the work of FDA still poses unique challenges for an
agency ethics program. FDA employees participate in regulatory and
product approval matters that substantially affect significant sectors
of the United States economy, including the food, pharmaceutical,
medical device, veterinary medicine, biotechnology, and cosmetics
industries. Many FDA employees have access to confidential commercial
information and trade secrets, the misuse of which can have serious
financial consequences. Moreover, many FDA employees participate in, or
have access to information about, pending enforcement matters, such as
seizures, injunctive actions, and criminal investigations and
prosecutions. Unethical conduct in this context, including misuse of
information, could have serious public health consequences. In sum, FDA
has a compelling need to monitor, and impose reasonable restrictions
on, the financial and employment ties between FDA employees and the
vast number of entities regulated by FDA. Such restrictions not only
serve the interests identified above, but also relieve FDA of the
significant administrative burden of resolving many conflict of
interest problems on a case by case basis.
Therefore, Sec. 5501.104 will preserve the substance of FDA's
historic restrictions on the acquisition and holding of financial
interests in
[[Page 39758]]
regulated organizations. (See the explanation of Sec. 5501.106(c)(3)
and Sec. 5501.106(d)(2) for a discussion of the provisions governing
outside employment of FDA employees.) Like FDA's prior financial
interest restrictions, Sec. 5501.104 is narrowly tailored in two
important respects:
First, Sec. 5501.104, like the prior FDA rule, distinguishes
between interests in organizations that are significantly regulated by
FDA, and interests in organizations that are only incidentally
regulated by FDA. Only interests in ``significantly regulated
organizations'' are restricted. ``Significantly regulated
organization'' is defined, at Sec. 5501.101(c)(2), to include any
organization that derives ten percent or more of its annual gross sales
from the sale of FDA-regulated products. The new rule adds a necessary
modification to FDA's prior definition: companies that have no record
of sales, but which are operating solely within a field regulated by
FDA, also will be deemed to be ``significantly regulated.'' This
modification is necessary to cover companies that are subject to
significant regulation by FDA but which do not yet have any products on
the market. The rule would cover, for example, start-up biotechnology
companies that may exist for several years before obtaining FDA
approval to market any product.
Second, Sec. 5501.104, like the prior FDA rule, places the most
strict limitations on employees whose duties carry the greatest
potential for conflict of interest. In the past, FDA used various tests
to determine which employees should be covered by the most strict
prohibitions on financial interests. Compare 37 FR 24349 with 43 FR
7621. Under Sec. 5501.104, the test is simplified: The most strict
prohibition applies to those employees required to file either a public
financial disclosure statement or a confidential financial disclosure
statement, pursuant to 5 CFR part 2634. With certain exceptions, such
employees are prohibited from holding or acquiring any interest in a
significantly regulated organization. All other employees are allowed,
pursuant to Sec. 5501.104(b)(2), to hold or acquire such interests,
subject to essentially the same limitations contained in the prior FDA
rule.
Section 5501.104 excepts interests in certain investment and
pension funds from the financial interest restrictions. To qualify for
this exception, the fund must not be self-directed and must not have an
express policy or practice of concentrating its investments in
significantly regulated organizations. For example, a widely
diversified mutual fund generally would be a permissible holding, even
though the fund holds some stocks of significantly regulated
organizations whereas a sector fund that focused on the pharmaceutical
industry would not.
The new rule also excepts pensions arising from employment with a
significantly regulated organization. This exception does not appear in
the prior FDA rule, but it does codify an FDA policy that has been in
effect since 1976. The Food and Drug Administration has determined that
such an exception is necessary to facilitate recruitment of qualified
scientific and professional personnel, many of whom may have begun
their careers in industry.
Furthermore, Sec. 5501.104 provides FDA employees with the
opportunity to request an individual exception in cases involving
exceptional circumstances. Where the employee can demonstrate
exceptional circumstances, FDA may grant an individual exception,
provided that the application of the financial interest prohibition is
not necessary to ensure public conference in the impartiality or
objectivity with which FDA programs are administered or to avoid a
violation of 5 CFR part 2635.
Finally, consistent with prior FDA policy, the prohibition relating
to financial interests would continue to apply to the spouses and minor
children of FDA employees. FDA has made the determination, pursuant to
5 CFR 2635.403(a), that there is a direct and appropriate nexus between
this prohibition as applied to spouses and minor children and the
efficiency of the service. It should be noted, however, that
Sec. 5501.104 is not intended to prohibit employment by spouses and
minor children in regulated industry, although any actual or apparent
conflicts of interests created as to FDA employees by such employment
must be resolved under other applicable provisions of 5 CFR part 2635.
Section 5501.105 Exemption For Otherwise Disqualifying Financial
Interests Derived From Indian or Alaska Native Birthrights
Section 208(a) of title 18 of the United States Code prohibits an
employee of the executive branch from participating personally and
substantially as a Government employee in any proceeding, application,
request for a ruling or other determination, contract, claim,
controversy, or other particular matter in which the employee, the
employee's spouse, minor child, or organization in which the individual
is employed, otherwise serving, or seeking other employment, has a
financial interest.
The Ethics Reform Act of 1989 amended 18 U.S.C. 208(b)(4) to
provide that the conflict of interest prohibition does not apply to a
financial interest resulting solely from the interest of the employee
or the employee's spouse or minor child in birthrights in a federally
recognized Indian tribe or Alaska Native village corporation, in an
Indian allotment held in trust by the United States, or in an Indian
claims fund held in trust or administered by the United States, if the
particular matter does not involve the Indian allotment or claims fund
or the Indian tribe or village corporation as a specific party or
parties. Section 5501.105 incorporates the statutory exemption
referenced in the OGE Standards at 5 CFR 2635.402(d).
Section 5501.106 Outside Employment and Other Outside Activities
Section 5501.106 establishes supplemental regulations concerning
the outside employment and other outside activities of HHS employees,
other than special Government employees. The section covers both
compensated and uncompensated activities and addresses traditional
outside employment relationships, as well as other outside activities.
The Department is authorized by Secs. 2635/802(a) and 2635.803 of the
OGE Standards, respectively, to prohibit its employees from engaging in
certain outside employment or other outside activities and to require
prior approval before engaging in other defined outside employment or
activities.
(a) Applicability. The outside employment and activity prohibitions
and the prior approval requirements imposed by paragraphs (c) and (d),
respectively, do not apply to special Government employees.
Nevertheless, special Government employees remain subject to other
statutory and regulatory authorities governing their outside
activities, including the criminal representation statutes, 18 U.S.C.
203 and 205, and other applicable provisions of 5 CFR part 2635 and
this part.
(b) Definitions. Section 5501.106(b) sets forth definitions of the
terms used in the section.
(c) Prohibited Outside Employment and Activities. Section
5501.106(c) prohibits certain outside employment and activities that,
if engaged in by an HHS employee, would pose a conflict with the
employee's official duties, would cause a reasonable person to question
the impartiality with which agency programs are administered, or would
otherwise compromise agency interests.
[[Page 39759]]
(1) Prohibited Assistance in the Preparation of Grant Applications
or Contract Proposals. More specifically, Sec. 5501.106(c)(1) prohibits
an HHS employee from engaging in consultative or professional services,
for compensation, to prepare, or assist in the preparation of, grant
applications, contract proposals, program reports, or any other matters
that are intended to be the subject of dealings with HHS. Such conduct,
if undertaken on an uncompensated basis, though not expressly
prohibited by paragraph (c)(1), is subject to the prior approval
requirement in paragraph (d). This provision carries forward
longstanding policy reflected in the now superseded HHS Standards of
Conduct at 45 CFR 73.735-704(a)(2).
(2) Prohibited Employment in HHS-Funded Activities. Section
5501.106(c)(2) prohibits an HHS employee from engaging in compensated
work on an HHS-funded grant, contract, cooperative agreement,
cooperative research and development agreement, or other similar
project or arrangement authorized by statute. The paragraph precludes
the provision of personal services, whether as an employee, consultant,
contractor, or otherwise, that are rendered in the performance of a
particular grant, contract, or agreement for which the project derives
funding from HHS. This provision does not per se bar employment with an
entity that receives HHS funds, but rather if focuses on discrete
matters for which the employee's services and attendant compensation
can be attributed to a defined HHS-funded project or contractual
arrangement.
This provision codifies prior HHS policy, as implemented by the HHS
Form 520, ``Request for Approval of Outside Activity.'' The prohibition
was deemed necessary to preclude the appearance that a compensated
employment or business opportunity may have been obtained through the
use of the employee's official position and to address a number of
other potential ethics concerns. Given that millions of dollars in HHS
grants and contracts are awarded annually, the Department has
determined that maintaining the policy against compensated outside
employment in grant or contract implementation is critical to protect
against questions arising regarding the impartiality and objectivity of
its employees and the administration of the Department's programs. In
fulfilling its mission, the Department would be hindered if members of
the public were to question whether HHS employees were using their
public position or workplace connections for private remunerative gain
attributable, directly or indirectly, to appropriated funds.
(3) Prohibited Outside Activities Applicable to Employees of the
Food and Drug Administration and the Office of the Chief Counsel.
Under FDA's prior rule, originally adopted in 1972, those employees
whose duties pose the greatest potential for conflict of interest
generally could not engage in employment with significantly regulated
organizations. 45 CFR 73a.735-401(b). The basis for this rule was
essentially the same as the basis for the rule restricting financial
interests in significantly regulated organizations (see discussion of
Sec. 5501.104 above). Not only are such employees in a position to
affect the financial interests of these organizations through the
performance of their official duties, but the employees may have access
to nonpublic information that could be used to the advantage of the
organizations. Therefore, Sec. 5501.106(c)(3) will substantially
preserve this prohibition, with respect to employees who are required
to file public or confidential financial disclosure reports.
The new rule provides two exceptions to the prohibition on
employment with a significantly regulated organization. The first
exception, at paragraph (c)(3)(ii)(A), essentially continues an
exception found in FDA's prior rule. The purpose of the exception is to
allow employees who are licensed to practice various medical
professions to remain current in their professions, including the
maintenance of licenses or certifications. The list of practices in the
exception (medicine, dentistry, veterinary medicine, pharmacy, nursing)
is not exclusive, but illustrative. The practice of the various medical
professions usually is precisely defined and highly regulated by State
law, and FDA cannot give a definition of each practice that is covered
by the exemption. However, the exception is intended to cover only
employment that involves the provision of medical professional
services. Thus, for example, the exception would not cover the practice
of law or accounting. Moreover the exception is not intended to allow
FDA employees to be employed by a medical product manufacturer in the
conduct of biomedical research.
The second exception, in paragraph (c)(3)(ii)(B), will allow
clerical or similar employment (such as cashier or janitorial work)
with retail stores that are significantly regulated by FDA. Normally,
such positions would pose little risk for abuse of nonpublic
information obtained from FDA, and any potential conflicts of interest
can be dealt with on a case by case basis.
In addition to employment with a significantly regulated
organization, the new rule also prohibits certain self-employed
business activities. Certain sole proprietorships in fields subject to
significant FDA regulation may not constitute ``employment,'' within
the meaning of 5 CFR 2635.603(a), but such activities pose the same, if
not greater, risks. Therefore, public and confidential disclosure
report filers would be prohibited from engaging in self-employed
business activities where the sale or promotion of FDA-regulated
products is expected to constitute ten percent or more of annual gross
sales or revenues.
(4) Prohibited Outside Practice of Law Applicable to Attorneys in
the Office of the General Counsel.
Summary. Section 5501.106(c)(4) prohibits attorneys in or
supervised by the Office of the General Counsel from practicing law
outside their official positions where the activity, in fact or in
appearance, may require the assertion of a legal position that
conflicts with the interests of the Department. Office of the General
Counsel attorneys are also prohibited from engaging in any outside law
practice that might require the interpretation of a statute,
regulation, or rule administered or issued by the Department.
Exceptions. Consistent with Federal policy embodied in the
exceptions to the representational bans contained in 18 U.S.C. 203 and
205, nothing in the section precludes representation or advice, if
approved by the appropriate official or supervisor, that is: (1)
Rendered, with or without compensation, to specified relatives or an
estate for which an employee serves as a fiduciary; or (2) provided,
without compensation, to an employee subject to disciplinary, loyalty,
or other personnel administration proceedings.
In order to take advantage of the exceptions to 18 U.S.C. 203 and
205 or representing family members or an estate, both statutes
expressly require the approval of the Government official responsible
for the employee's appointment. See 18 U.S.C. 203(d) and 205(e). The
parallel provision in 18 U.S.C. 205(d) that permits an employee to
provide uncompensated legal assistance to another employee in
disciplinary, loyalty, or other personnel administration proceedings
does not explicitly contain an authorization requirement, but specifies
that the activity must not be ``inconsistent with the faithful
performance of [the employee's] duties.'' The Office of Government
Ethics has issued an
[[Page 39760]]
opinion concluding that an employee may not unilaterally make this
finding; as a result, supervisory approval is required. OGE Informal
Advisory Letter 82 X 19 (December 9, 1982), as published in ``The
Informal Advisory Letters and Memoranda and Formal Opinions of the
United States Office of Government Ethics,'' (the ``OGE Advisory
Publication''), 313 (1979-1988), which is available for purchase from
the Government Printing Office. As an outside professional activity,
such representation would be subject, in any event, to the prior
approval procedures in Sec. 5501.106(d) of this part.
Paragraph (c)(4)(ii)(C) makes explicit that neither the ban on
asserting contrary positions nor the prohibition on interpreting agency
statutes is intended to proscribe the giving of testimony under oath.
Asseting Contrary Legal Positions. Paragraph (c)(4)(i)(A) is
consistent with the rules of professional conduct governing the
attorney-client relationship. Precluding outside law practice that may
require the assertion of legal positions adverse to the Department
derives from the unique and sensitive relationship between an attorney
and a client, which for attorneys in the Office of the General Counsel,
is the Department of Health and Human Services.
Morever, the Department has a legitimate interest in maintaining
the consistency and credibility of the Department's position before the
Federal courts. For the most part, the representational bans contained
in 18 U.S.C. 203 and 205 would preclude outside practice by Department
attorneys in the Federal courts because nondiversity cases within the
Federal jurisdiction generally involve controversies in which the
United States is a party or has a direct and substantial interest.
However, cases may arise involving the interpretation or application of
Federal statutes or regulations that do not necessarily implicate the
direct and substantial interests of the United States.
The Office of Government Ethics and the Office of Legal Counsel at
the Department of Justice have opined that the combined involvement of
a Federal statute and a Federal forum in and of itself does not create
a direct and substantial interest on the part of the United States for
purposes of sections 203 and 205. OGE 94 X 7 (February 7, 1994), as
published in the 1994 Supplement to the ``OGE Advisory Publication'';
14 Op. O.L.C. 139 (June 7, 1990). As a consequence, Department
attorneys representing private clients might appear in front of the
same judges before whom they appear in their official capacities and
argue different interpretations of Federal statutes or regulations.
Depending upon the visibility of the issues and any attendant
controversy, asserting conflicting legal positions may diminish the
persuasiveness of the advocate and undermine the credibility of both
clients. Paragraph (c)(4)(i)(A) is intended, therefore, to safeguard
the interests of the Department as the primary client to which the
attorney employee owes a professional responsibility.
Concededly, while representing a private client, a Department
attorney might take legal positions on a myriad of issues not directly
related to Federal interests or agency programs--such as jurisdiction,
service of process, standing, evidence, or statutory construction--that
differ from those the attorney might have asserted while acting in a
governmental capacity. The section is not intended to proscribe
instances of outside practice merely because such issues would have
been handled differently if the matters arose in the prosecution or
defense of an agency case. Advocacy with respect to ancillary issues
unrelated to substantive legal positions or agency administered
statutes would only rarely have an impact sufficiently adverse to
agency interests to be proscribed by the regulation.
Interpreting Agency Administered Statutes. Paragraph (c)(4)(i)(B)
is intended to effectuate the prohibition on the use of public office
for private gain, to preclude inconsistent legal positions on core
issues affecting the interests of the Department, and to protect the
public interest by preventing any lay perception that an attorney's
employment with the Department signifies extraordinary competency on
agency related issues, or that an agency attorney's interpretation
implicitly is sanctioned or approved by the Department.
For the most part, outside practice involving agency administered
statutes would be precluded as a conflicting activity. If the subject
matter of the proposed representation and the assigned duties of the
attorney correlate, the outside activity potentially would require,
under the standards set forth in 5 CFR 2635.402 and 2635.502, the
employee's disqualification from matters so central or critical to the
performance of the employee's official duties that the employee's
ability to perform the duties of the employee's position would be
materially impaired. Similarly, representation on matters involving the
application of agency statutes may implicate direct and substantial
interests of the United States, thus contravening the representational
bans in 18 U.S.C. 203 and 205.
Although the regulation to some extent covers areas that are
subject to existing prohibitions, paragraph (c)(4)(i)(B) reaches
situations not specifically addressed in the existing standards. Absent
the prohibition contained in this section, a Department attorney
principally engaged in advising a client component conceivably could
obtain outside employment advising, as opposed to representing, a
private client on areas of agency law to which the attorney is not
assigned. In these circumstances, there is considerable risk that the
employment position held by the individual may convey an impression of
authoritativeness or access to agency experts that may not necessarily
be warranted. Moreover, private clients, and those aware of the agency
attorney's involvement, may assume incorrectly that the agency
attorney's interpretation has been vetted through the Department and is
effectively a Departmental interpretation as well. Rendering legal
services that may require the interpretation of any statute,
regulation, or rule administered or issued by the Department creates an
appearance that the employee has used the employee's official position
to obtain an outside business opportunity. Further, if counsel were
engaged in law practice that involved agency statutes, the potential
for asserting legal positions adverse to the interests of the
Department would be heightened.
Other Prohibitions and Procedures. As a professional activity
within the meaning of 5 CFR 2636.305(b)(1), the outside practice of law
must be authorized in advance under the prior approval provisions
contained in section 5501.106(d). If an outside activity is expected to
involve conduct prohibited by a statute or Federal regulation,
including 5 CFR part 2635 and this part, approval must be denied.
The prohibitions contained in the criminal law, the OGE Standards
and this supplement constitute considerable impediments to outside law
practice. Subject to such exceptions as are contained in the cited
authorities, permission cannot be granted, for example, if the
activity:
(1) Creates an actual or apparent conflict with the employee's
official duties under the criminal conflict of interest provisions in
18 U.S.C. 208 or the standards set forth in 5 CFR 2635.402 and
2635.502;
(2) Involves compensated representational services before any
[[Page 39761]]
department, agency, or court, in relation to any proceeding or other
particular matter in which the United States is a party or has a direct
and substantial interest, as proscribed by 18 U.S.C. 203; or
(3) Entails, irrespective of compensation, prosecution of claims
against the Government or service as an agent or attorney before any
department, agency, or court, in connection with any covered matter in
which the United States is a party or has a direct and substantial
interest, in contravention of 18 U.S.C. 205.
Further, if the proposed outside activity would reflect adversely
upon the Department so as to constitute conduct prejudicial to the
Government within the meaning of 5 CFR 735.203, approval would be
denied. In addition, any approved outside activity requiring absence
from duty is subject to the denial or cancellation of leave due to
exigencies of staffing and workload.
Alternatives Considered. In developing this regulation, the
Department considered several options. The confluence of the many
restrictions outlined above point in the direction of banning all
outside practice of law. However, public interest considerations
require rejection of such a policy. Attorneys in the Federal government
can play a significant role in providing legal assistance to those in
need without running afoul of these provisions. In keeping with their
ethical obligation to the system of justice, Department attorneys may
provide legal services pro bono publico in areas such as landlord-
tenant disputes, State criminal defense work, and State workers'
compensation claims, that are unlikely to pose a conflict or other
ethical concern. Indeed, the Department encourages such volunteer
activities, if not inconsistent with the laws and regulations described
above. Executive Order 12988 specifically directs that all Federal
agencies ``develop appropriate programs to encourage and facilitate pro
bono legal and other volunteer service by government employees to be
performed on their own time, including attorneys, as permitted by
statute, regulation, or other rule or guideline.''
The Department considered a proposal to ban compensated practice of
law. The availability of pecuniary gain could increase instances of
outside representation or induce the continuous practice of law with
concomitant administrative, management, and conflicts avoidance burdens
that are not implicated by the infrequent or occasional uncompensated
activities currently permitted on behalf of indigent clients, specified
relatives and estates, and individuals subject to disciplinary,
loyalty, or other personnel administration proceedings. On the other
hand, the Department recognizes that many compensated activities--such
as preparing a will, drafting Subchapter S incorporation documents,
searching real estate titles, advising on State law contract disputes,
or representing a client in traffic court--can generally be undertaken
without detriment to the agency's interests, provided that the employee
adheres to the limitations of this rule. The Department, therefore,
opted for the less restrictive approach embodied in this regulation.
(d) Prior Approval for Outside Employment and Other Outside
Activities. Section 2635.803 of the OGE Standards provides that an
agency, by supplemental regulation, may require its employees to obtain
advance administrative approval before engaging in certain types of
outside employment or other outside activities, where the agency has
determined that such a requirement is necessary or desirable for the
purpose of administering its ethics program. Provisions in the HHS
Standards of Conduct and the FDA Supplement, 45 CFR parts 73 and 73a
(which are superseded by this rule), have long required employees to
obtain written approval prior to engaging in certain outside employment
or other outside activities. Section 5501.106(d) continues this
requirement.
The prior approval requirement has been an integral part of the HHS
ethics program. Its continuance is deemed necessary to ensure that an
employee's participation in outside employment or other outside
activities does not adversely affect operations within the employing
component or place the employee at risk of violating applicable
statutes and regulations governing employee conduct.
(1) General Approval Requirement. Section 5501.106(d)(1) enumerates
the employment or activities, with or without compensation, for which
prior approval is required: (i) Providing consultative or professional
services, including service as an expert witness; (ii) engaging in
teaching, speaking, writing or editing that relates to an employee's
official duties or that is undertaken as a result of an invitation from
a prohibited source; and (iii) providing services to a non-Federal
entity as an officer, director, or board member, or as a member of a
group, however denominated, that renders advice, counsel, or
consultation.
Paragraph (d)(1)(iii), however, does not require prior approval for
uncompensated (other than reimbursement of expenses) service as an
officer, director, board member, or advisory group member in a
political, religious, social, fraternal or recreational organization,
unless the position held by the employee requires the provision of
professional services. For example, an HHS employee trained as an
accountant may serve, without prior approval, on a church board and
keep the church's books. Providing accounting services is not a
requirement of service on the board. However, if the church were to
hire the employee, with or without compensation, as its accountant,
prior approval would be required.
Prior approval is required for service as an officer, director,
board member, or advisory group member in a professional association or
similar organization. Officeholding in a professional association may
raise ``representation'' issues and other ethics concerns not usually
encountered in the context of political, religious, social, fraternal
or recreational organizations.
(2) Additional approval requirement applicable to employees of the
Food and Drug Administration and the Office of the Chief Counsel.
Under FDA's prior rule, adopted in 1972, all FDA employees have
been required to obtain prior approval for all outside employment, with
limited exceptions. 45 CFR 73a.735-401. This requirement proved to be
an effective mechanism for preventing inadvertent conflicts of interest
among FDA employees. Section 5501.106(d)(2) will continue this
requirement.
FDA estimates that approximately 25% of all consumer spending in
the United States is on products regulated by FDA. FDA can take actions
that affect enterprises as diverse as grocery retailers, home appliance
manufacturers, cosmetics distributors, and dairy farmers. Even non-
profit organizations, such as patient advocacy groups or blood banks,
can have an interest in FDA actions. In light of the pervasiveness and
variety of FDA-regulated and FDA-affected organizations in the United
States, there is a significant risk that employees engaged in outside
employment or self-employed business activity may confront actual or
apparent conflicts of interest.
The prior approval requirement in Sec. 5501.106(d)(2) will allow
FDA to assist employees in identifying organizations that are regulated
by FDA or significantly involved in FDA issues. Ultimately, prior
approval helps FDA employees to avoid conflicting activities with such
organizations.
Section 5501.106(d)(2) codifies existing practice by applying the
prior approval requirement to employees of
[[Page 39762]]
the FDA Office of the Chief Counsel. The rule also codifies current
practice by requiring prior approval for self-employed business
activity.
Consistent with the other prior approval provisions applicable to
all HHS employees, Sec. 5501.106(d)(2) will not require approval for
participation in the activities of a political, religious, social,
fraternal, or recreational organization, unless the position requires
the provision of professional services, or is rendered for compensation
(other than reimbursement of expenses). Moreover, the prior approval
requirement will not apply to those categories of employment that have
been exempted, pursuant to Sec. 5501.106(d)(5), based on a
determination that such employment activities generally would be
approved and are not likely to involve conduct prohibited by statute or
regulation.
(3) Submission of Requests for Prior Approval. This paragraph
specifies that requests for approval of outside activities must be
submitted to the employee's supervisor a reasonable time in advance of
the proposed activity. Prior approval requests must include information
sufficient to assess the activity, such as: the employee's name,
organizational location, position title, and grade or rank; the name of
the person or organization for whom the outside work is to be
performed; a description of the type and location of such work; the
method of compensation; the duration of the activity, and the number of
hours the employee expects to be engaged in such work.
In order to implement the prohibitions contained in paragraphs (c)
(1) and (2) of this section relating to HHS grant and contract
activities, the employee must provide additional information as
currently required on the HHS Form 520, ``Request for Approval of
Outside Activity.'' An employee who renders consultative or
professional services must state whether the client or outside employer
is a current or prospective HHS grantee or contractor. And, an
employee, irrespective of the type of services to be provided, must
identify any HHS funding sources for the specific activity in which the
employee proposes to engage.
For activities involving teaching, speaking, writing, or editing,
the employee must submit the proposed text of any disclaimer that is
required by either the OGE Standards or the agency instructions or
manual issuances authorized by paragraph (d)(5) of Sec. 5501.106.
Section 2635.807(b)(2) of the OGE Standards permits an employee who is
engaged in outside teaching, speaking or writing, to use, or permit the
use of, the employee's title or position in connection with an article
published in a scientific or professional journal, provided that the
title or position is accompanied by a reasonably prominent disclaimer
satisfactory to the agency. The disclaimer must indicate that the views
expressed in the article do not necessarily represent the views of the
agency or the United States.
(4) Standard for Approval. Paragraph (d)(4) specifies the standard
for approval of outside employment or other activities. An activity
that is not expected to involve conduct prohibited by statute or
regulation, including part 2635 and the agency supplemental, shall be
approved. However, a note following the paragraph cautions that during
the course of an otherwise approvable activity, situations may arise,
or actions may be contemplated, that, nevertheless, pose ethical
concerns.
(5) Responsibilities of the Designated Agency Ethics Official and
Component Agencies. Section 5501.106(d)(5) authorizes the Designated
Agency Ethics Official (DAEO) or the separate agency components, with
the concurrence of the DAEO, to issue instructions or manual issuances
exempting categories of employment or other activities from the prior
approval requirement based on a determination that the employment or
activities within those categories would generally be approved and are
not likely to involve conduct prohibited by statute or Federal
regulation, including the OGE Standards and this supplemental
regulation.
Through these instructions or manual issuances, agency components
may specify internal procedures governing the submission of prior
approval requests, designate appropriate officials to act on such
requests, and include examples of outside employment or other outside
activities that are permissible or impermissible consistent with the
OGE Standards and this part.
The OGE Standards also recognize that agencies may have policies
requiring advance agency review, clearance, or approval of certain
speeches, books, articles, or similar products to determine whether the
material contains an appropriate disclaimer, discloses nonpublic
information, or otherwise complies with the teaching, speaking and
writing provisions of 5 CFR 2635.807. Because the need for preclearance
and/or disclaimers may differ depending upon the activities and
missions of the various components of the Department, the rule
authorizes inclusion of such policies within the instructions or manual
issuances.
The Department will continue to employ HHS Form 520 as both a prior
approval request form and a record of the disposition by the approval
official. Paragraph (d)(5)(iii) of the section requires officials
responsible for the administrative aspects of these regulations to make
provisions for the filing and retention of these forms.
No provision is made in these regulations, however, for an annual
reporting of outside activities submitted on HHS Form 521, as
previously required by 45 CFR 73.735-709. That section elicited an
annual written verification whether the work or activity described in
the original request was actually performed and required the employee
to specify the amount of time spent and whether the activity would
continue unchanged. Because the HHS Form 520 contains a blank for
specifying duration and any substantive change in the scope of the
approved activity would constitute a new activity requiring submission
of another HHS Form 520, the annual report appears to be unnecessarily
duplicative. Moreover, the information requested would, in any event,
form the basis of a responsible dialogue between employees and
supervisors concerning workload allocation and the avoidance of
conflicts. The minimal benefit to be derived from an annual report does
not outweigh the considerable burden involved in collecting, tracking,
and reviewing the forms. Accordingly, the requirement for filing an
annual HHS Form 521 expires upon the effective date of this rule.
Section 5501.107 Teaching, Speaking and Writing by Special Government
Employees in the Public Health Service
Section 5501.107 is intended to deal with a common situation
presented by special Government employees in the health agencies of the
Department who participate as speakers in continuing medical education
(CME) courses and similar activities. These health agencies must rely
on special Government employees who are experts in various biomedical
fields. Such individuals tend to be active in private CME programs,
which frequently are sponsored or underwritten by the medical product
industry. At FDA, in particular, it is very common to find that
advisory committee members, in their private capacity as recognized
experts in various biomedical fields, receive regular requests to
participate in CME courses from medical product manufacturers.
Sometimes these manufacturers will have interests that
[[Page 39763]]
may be affected substantially by official matters to which the special
Government employee already has been assigned. This provision makes
clear that such employees may accept offers of compensation to
participate in CME courses and similar events only when the employee
recuses from the particular matter that would affect the interests of
the manufacturer.
Section 5501.108 Exception to the Prohibition Against Assisting in the
Prosecution of Claims Against, or Acting as an Agent or Attorney
Before, the Government, Applicable Only to Employees Assigned to
Federally Recognized Indian Tribes or Alaska Native Villages or
Regional or Village Corporations Pursuant to the Intergovernmental
Personnel Act
Section 2635.902 of the OGE Standards contains a list of statutory
provisions to which an employee's conduct must conform. Among these
provisions is the criminal prohibition of 18 U.S.C. 205, which
generally bans representational activities, whether or not for
compensation, performed by any employee in claims against, or in other
matters affecting, the Government.
The Indian Self-Determination Act (25 U.S.C. 450i(f)), however,
permits Federal employees detailed or assigned to Indian tribes or
Alaska Native villages or regional or village corporations, pursuant to
the Intergovernmental Personnel Act (5 U.S.C. 3372), to act as agents
or attorneys for, or appear on behalf of, such tribes or Alaska Native
villages or corporations in connection with any matter pending before
any department, agency, court, or commission, in which the United
States is a party or has a direct and substantial interest; provided
that each such employee advises in writing the head of the department,
agency, court, or commission before which the individual appears, of
any personal and substantial involvement the individual may have had as
an employee of the United States in connection with the matter. Section
5501.108 is added, therefore, to make explicit this exception to 18
U.S.C. 205, as referenced in Secs. 2635.801(d)(4) and 2635.902(d) of
the OGE Standards.
III. Matters of Regulatory Procedure
Administrative Procedure Act
The Department of Health and Human Services has found that good
cause exists under 5 U.S.C. 553(b) and (d) for waiving, as unnecessary
and contrary to the public interest, the general notice of proposed
rulemaking and the 30-day delay in effectiveness as to this final rule.
Similar regulations have been applicable to Department employees under
the now superseded HHS Standards of Conduct and FDA Supplement
contained at 45 CFR parts 73 and 73a. An immediate effective date is
necessary to effect a smooth regulatory transition and to avoid a lapse
in applicable procedural and substantive rules relating to prior
approval of outside activities and prohibited financial interests that
could otherwise occur due to the expiration of ``grandfathering''
provisions contained in the OGE Standards. See 60 FR 66857.
Moreover, the proposed rulemaking requirements of the
Administrative Procedure Act are not applicable because this rule deals
with agency organization, procedure, or practice, 5 U.S.C. 553(b), and
relates to matters of agency management and personnel, 5 U.S.C.
553(a)(2). The rule also contains several substantive provisions that
grant or recognize an exemption or relieve a restriction such that an
immediate effective date is permitted under 5 U.S.C.(d)(1).
Executive Order 12866, Regulatory Planning and Review
In issuing this rule, the Department of Health and Human Services
has adhered to the regulatory philosophy and the applicable principles
of regulations set forth in section 1 of Executive Order 12866 of
September 30, 1993. This rule is limited to agency organization,
management, or personnel matters, and thus is not a ``significant
regulatory action,'' as defined in sections 3(d) through (f) of the
Executive order.
Regulatory Flexibility Act
The Department of Health and Human Services has determined under
the Regulatory Flexibility Act (5 U.S.C. chapter 6) that this
regulation will not have a significant economic impact on a substantial
number of small business entities because it affects only HHS
employees.
Paperwork Reduction Act
The Department of Health and Human Services has determined that the
Paperwork Reduction Act (44 U.S.C. chapter 35) does not apply because
this regulation does not impose any new information collection
requirements that require the approval of the Office of Management and
Budget.
List of Subjects in 5 CFR Part 5501
Conflict of interests, Government employees.
Dated: July 17, 1996.
Donna E. Shalala,
Secretary, Department of Health and Human Services.
Approved: July 22, 1996.
Stephen D. Potts,
Director, Office of Government Ethics.
For the reasons set forth in the preamble, the Department of Health
and Human Services, with the concurrence of the Office of Government
Ethics, is amending title 5 of the Code of Federal Regulations by
adding a new chapter XLV, consisting of part 5501, to read as follows:
5 CFR CHAPTER XLV--DEPARTMENT OF HEALTH AND HUMAN SERVICES
PART 5501--SUPPLEMENTAL STANDARDS OF ETHICAL CONDUCT FOR EMPLOYEES
OF THE DEPARTMENT OF HEALTH AND HUMAN SERVICES
Sec.
5501.101 General.
5501.102 Designation of HHS components as separate agencies.
5501.103 Gifts from federally recognized Indian tribes or Alaska
Native villages or regional or village corporations.
5501.104 Prohibited financial interests applicable to employees
of the Food and Drug Administration and the Office of the Chief
Counsel.
5501.105 Exemption for otherwise disqualifying financial
interests derived from Indian or Alaska Native birthrights.
5501.106 Outside employment and other outside activities.
5501.107 Teaching, speaking and writing by special Government
employees in the Public Health Service.
5501.108 Exception to the prohibition against assisting in the
prosecution of claims against, or acting as an agent or attorney
before, the Government, applicable only to employees assigned to
federally recognized Indian tribes or Alaska Native villages or
regional or village corporations pursuant to the Intergovernmental
Personnel Act.
Authority: 5 U.S.C. 301, 7301, 7353; 5 U.S.C. App. (Ethics in
Government Act of 1978); 25 U.S.C. 450i(f); 42 U.S.C. 216; E.O.
12674, 54 FR 15159, 3 CFR, 1989 Comp., p. 215, as modified by E.O.
12731, 55 FR 42547, 3 CFR, 1990 Comp., p. 306; 5 CFR 2635.105,
2635.203, 2635.403, 2635.802, 2635.803.
Sec. 5501.101 General.
(a) Purpose. The regulations in this part apply to employees of the
Department of Health and Human Services (HHS) and supplement the
Standards of Ethical Conduct for Employees of the Executive Branch
contained in 5 CFR part 2635. In addition to 5 CFR part 2635 and this
part, employees are required to comply with implementing guidance and
procedures issued by HHS components
[[Page 39764]]
in accordance with 5 CFR 2635.105(c). Employees are also subject to the
executive branch-wide financial disclosure regulations at 5 CFR part
2634, the Employee Responsibilities and Conduct regulations at 5 CFR
part 735, and the HHS regulations regarding conduct at 45 CFR part 73.
(b) Applicability. The regulations in this part apply to
individuals who are ``employees'' within the meaning of 5 CFR
2635.102(h). The regulations thus apply to special Government
employees, except to the extent they are specifically excluded from
certain provisions, and to uniformed service officers in the Public
Health Service Commissioned Corps on active duty.
(c) Definitions. Unless a term is otherwise defined in this part,
the definitions set forth in 5 CFR part 2635 apply to terms in this
part. In addition, for purposes of this part:
(1) Federally recognized Indian tribe or Alaska Native village or
regional or village corporation means any Indian tribe, band, nation,
or other organized group or community, including any Alaska Native
village or regional or village corporation as defined in or established
pursuant to the Alaska Native Claims Settlement Act, 43 U.S.C. 1601 et
seq., which is recognized as eligible for the special programs and
services provided by the United States to Indians because of their
status as Indians.
(2) Significantly regulated organization means an organization for
which the sales of products regulated by the Food and Drug
Administration (FDA) constitute ten percent or more of annual gross
sales in the organization's previous fiscal year; where an organization
does not have a record of sales of FDA-regulated products, it will be
deemed to be significantly regulated if its operations are solely in
fields regulated by FDA.
Sec. 5501.102 Designation of HHS components as separate agencies.
(a) Separate agency components of HHS. Pursuant to 5 CFR
2635.203(a), each of the thirteen components of HHS listed below is
designated as an agency separate from each of the other twelve listed
components and, for employees of that component, as an agency distinct
from the remainder of HHS. However, the components listed below are not
deemed to be separate agencies for purposes of applying any provision
of 5 CFR part 2635 or this part to employees of the remainder of HHS:
(1) Administration on Aging;
(2) Administration for Children and Families:
(3) Agency for Health Care Policy and Research;
(4) Agency for Toxic Substances and Disease Registry;
(5) Centers for Disease Control and Prevention;
(6) Food and Drug Administration;
(7) Health Care Financing Administration;
(8) Health Resources and Services Administration;
(9) Indian Health Service;
(10) National Institutes of Health;
(11) Office of Consumer Affairs;
(12) Program Support Center; and
(13) Substance Abuse and Mental Health Services Administration.
(b) Definition--(1) Employee of a component includes, in addition
to employees actually within a component, an employee in a division or
region of the Office of the General Counsel that principally advises or
represents that component.
(2) Remainder of HHS means employees in the Office of the Secretary
and Staff Divisions, employees of the Office of the General Counsel
with Department-wide responsibility, and any HHS employee not in one of
the 13 components designated as separate agencies in paragraph (a) of
this section.
(c) Applicability of separate agency designations. The designations
in paragraph (a) of this section identify an employee's ``agency'' for
purposes of:
(1) Determining when a person is a prohibited source within the
meaning of 5 CFR 2635.203(d) for purposes of applying:
(i) The regulations at subpart B of 5 CFR part 2635 governing gifts
from outside sources; and
(ii) The regulations at Sec. 5501.106 requiring prior approval of
outside employment and other outside activities; and
(2) Determining whether teaching, speaking or writing relates to
the employee's official duties within the meaning of 5 CFR
2635.807(a)(2)(i).
Sec. 5501.103 Gifts from federally recognized Indian tribes or Alaska
Native villages or regional or village corporations.
(a) Tribal or Alaska Native gifts. In addition to the gifts which
come within the exceptions set forth in 5 CFR 2635.204, and subject to
all provisions of 5 CFR 2635.201 through 2635.205, an employee may
accept unsolicited gifts of native artwork or crafts from federally
recognized Indian tribes or Alaska Native villages or regional or
village corporations, provided that the aggregate market value of
individual gifts received from any one tribe or village under the
authority of this paragraph shall not exceed $200 in a calendar year.
(b) Limitations on use of exception. If the donor is a tribe or
village that has interests that may be substantially affected by the
performance or nonperformance of an employee's official duties, the
employee may accept the gifts authorized by paragraph (a) of this
section only where there is a written finding by the agency designee
that acceptance of the gift is in the agency's interest and will not
violate any of the limitations on the use of exceptions contained in 5
CFR 2635.202(c).
Sec. 5501.104 Prohibited financial interests applicable to employees
of the Food and Drug Administration and the Office of the Chief
Counsel.
(a) General prohibition. Except as permitted by paragraph (b) of
this section, no employee or spouse or minor child of an employee,
other than a special Government employee or the spouse or minor child
of a special Government employee, of the Food and Drug Administration
or of the Office of the Chief Counsel shall have a financial interest
in a significantly regulated organization.
(b) Exceptions. Notwithstanding the prohibition in paragraph (a) of
this section:
(1) An employee or spouse or minor child of an employee may hold a
pension arising from employment with a significantly regulated
organization.
(2) An employee who is not required to file a public or
confidential financial disclosure report pursuant to 5 CFR part 2634,
or the spouse or minor child of such employee, may hold a financial
interest in a significantly regulated organization if:
(i) The total cost or value, measured at the time of acquisition,
of the combined interests of the employee and the employee's spouse and
minor children in the regulated organization was $5,000 or less;
(ii) The holding, if it represents an equity interest, constitutes
less than 1 percent of the total outstanding equity of the
organization; and
(iii) The total holdings in significantly regulated organizations
account for less than 50 percent of the total value of the combined
investment portfolios of the employee and the employee's spouse and
minor children.
(3) An employee or spouse or minor child of an employee may have an
interest in a significantly regulated organization that constitutes any
interest in a publicly traded or publicly available investment fund
(e.g., a mutual fund), or a widely held pension or similar fund, which,
in the literature it distributes to prospective and current
[[Page 39765]]
investors or participants, does not indicate the objective or practice
of concentrating its investments in significantly regulated
organizations, if the employee neither exercises control nor has the
ability to exercise control over the financial interests held in the
fund.
(4) In cases involving exceptional circumstances, the Commissioner
or the Commissioner's designee may grant a written exception to permit
an employee, or the spouse or minor child of an employee, to hold a
financial interest in a significantly regulated organization based upon
a determination that the application of the prohibition in paragraph
(a) of this section is not necessary to ensure public confidence in the
impartiality or objectivity with which HHS programs are administered or
to avoid a violation of part 2635 of this title.
Note: With respect to any excepted financial interest, employees
are reminded of their obligations under 5 CFR part 2635, and
specifically their obligation under subpart D to disqualify
themselves from participating in any particular matter in which
they, their spouses or minor children have a financial interest.
Furthermore, the agency may prohibit or restrict an individual
employee from acquiring or holding any financial interest or a class
of financial interests based on the agency's determination that the
interest creates a substantial conflict with the employee's duties,
within the meaning of 5 CFR 2635.403.
Sec. 5501.105 Exemption for otherwise disqualifying financial
interests derived from Indian or Alaska Native birthrights.
(a) Under 18 U.S.C. 208(b)(4), an employee who otherwise would be
disqualified may participate in a particular matter where the otherwise
disqualifying financial interest that would be affected results solely
from the interest of the employee, or the employee's spouse or minor
child, in birthrights:
(1) In an Indian tribe, band, nation, or other organized group or
community, including any Alaska Native village corporation as defined
in or established pursuant to the Alaska Native Claims Settlement Act,
which is recognized as eligible for the special programs and services
provided by the United States to Indians because of their status as
Indians;
(2) In an Indian allotment the title to which is held in trust by
the United States or which is inalienable by the allottee without the
consent of the United States; or
(3) In an Indian claims fund held in trust or administered by the
United States.
(b) The exemption described in paragraph (a) of this section
applies only if the particular matter does not involve the Indian
allotment or claims fund or the Indian tribe, band, nation, organized
group or community, or Alaska Native village corporation as a specific
party or parties.
Sec. 5501.106 Outside employment and other outside activities.
(a) Applicability. This section does not apply to special
Government employees.
(b) Definitions. For purposes of this section:
(1) Compensation has the meaning set forth in 5 CFR
2635.807(a)(2)(iii).
(2) Consultative services means the provision of personal services
by an employee, including the rendering of advice or consultation,
which requires advanced knowledge in a field of science or learning
customarily acquired by a course of specialize instruction and study in
an institution of higher education, hospital, or other similar
facility.
(3) Professional services means the provision of personal services
by an employee, including the rendering of advice or consultation,
which involves the skills of a profession as defined in 5 CFR
2636.305(b)(1).
(c) Prohibited outside employment and activities--(1) Prohibited
assistance in the preparation of grant applications or contract
proposals. An employee shall not provide consultative or professional
services, for compensation, to or on behalf of any other person to
prepare, or assist in the preparation of, any grant application,
contract proposal, program report, or other document intended for
submission to HHS.
(2) Prohibited employment in HHS-funded activities. An employee
shall not, for compensation, engage in employment, as defined in 5 CFR
2635.603(a), with respect to a particular activity funded by an HHS
grant, contract, cooperative agreement, cooperative research and
development agreement, or other funding mechanism authorized by
statute.
(3) Prohibited outside activities applicable to employees of the
Food and Drug Administration and the Office of the Chief Counsel. An
employee of the Food and Drug Administration or the Office of the Chief
Counsel who is required to file a public or confidential financial
disclosure report pursuant to 5 CFR part 2634 shall not:
(i) Engage in any self-employed business activity for which the
sale or promotion of FDA-regulated products is expected to constitute
ten percent or more of annual gross sales or revenues; or
(ii) Engage in employment, as defined in 5 CFR 2635.603(a), whether
or not for compensation, with a significantly regulated organization,
as defined in Sec. 5501.101(c)(2), unless the employment meets either
of the following exceptions:
(A) The employment consists of the practice of medicine, dentistry,
veterinary medicine, pharmacy, nursing, or similar practices, provided
that the employment does not involve substantial unrelated non-
professional duties, such as personnel management, contracting and
purchasing responsibilities (other than normal ``out-of-stock''
requisitioning), and does not involve employment by a medical product
manufacturer in the conduct of biomedical research; or
(B) The employment is limited to clerical or similar services (such
as cashier or janitorial services) in retail stores, such as
supermarkets, drug stores, or department stores.
(4) Prohibited outside practice of law applicable to attorneys in
the Office of the General Counsel.
(i) An employee who serves as an attorney in or under the
supervision of the Office of the General Counsel shall not engage in
any outside practice of law that might require the attorney to:
(A) Assert a legal position that is or appears to be in conflict
with the interests of the Department of Health and Human Services, the
client to which the attorney owes a professional responsibility; or
(B) Interpret any statute, regulation or rule administered or
issued by the Department.
(ii) Exceptions. Nothing in this section prevents an employee from:
(A) Acting, with or without compensation, as an agent or attorney
for, or otherwise representing, the employee's parents, spouse, child,
or any person for whom, or for any estate for which, the employee is
serving as guardian, executor, administrator, trustee, or other
personal fiduciary to the extent permitted by 18 U.S.C. 203 and 205, or
from providing advice or counsel to such persons or estate; or
(B) Acting, without compensation, as an agent or attorney for, or
otherwise representing, any person who is the subject of disciplinary,
loyalty, or other personnel administration proceedings in connection
with those proceedings to the extent permitted by 18 U.S.C. 205, or
from providing uncompensated advice or counsel to such person; or
(C) Giving testimony under oath or from making statements required
to be made under penalty for perjury or contempt.
[[Page 39766]]
(iii) Specific approval procedures.
(A) The exceptions to 18 U.S.C. 203 and 205 described in paragraph
(c)(4)(ii)(A) of this section do not apply unless the employee obtained
the approval of the Government official responsible for the appointment
of the employee to a Federal position.
(B) The exception to 18 U.S.C. 205 described in paragraph
(c)(4)(ii)(B) of this section does not apply unless the employee has
obtained the approval of a supervisory official who has authority to
determine whether the employee's proposed representation of another
person in a personnel administration matter is consistent with the
faithful performance of the employee's duties.
(d) Prior approval for outside employment and other outside
activities--(1) General approval requirement. Except to the extent that
an employment or other activity has been exempted under paragraph
(d)(5) of this section, an employee shall obtain written approval prior
to engaging, with or without compensation, in the following outside
employment or activities:
(i) Providing consultative or professional services, including
service as an expert witness.
(ii) Engaging in teaching, speaking, writing, or editing that:
(A) Relates to the employee's official duties within the meaning of
5 CFR 2635.807(a)(2)(i)(B) through (E); or
(B) Would be undertaken as a result of an invitation to engage in
the activity that was extended to the employee by a person who is a
prohibited source within the meaning of 5 CFR 2635.203(d), as modified
by Sec. 5501.102.
(iii) Providing services to a non-Federal entity as an officer,
director, or board member, or as a member of a group, such as a
planning commission advisory council, editorial board, or scientific or
technical advisory board or panel, which requires the provision of
advice, counsel, or consultation, unless the service is provided
without compensation other than reimbursement of expenses to a
political, religious, social, fraternal, or recreational organization
and the position held does not require the provision of professional
services within the meaning of paragraph (b)(3) of this section.
(2) Additional approval requirement for employees of the Food and
Drug Administration and the Office of the Chief Counsel.
(i) In addition to the general approval requirements set forth in
paragraph (d)(1) of this section, an employee of the Food and Drug
Administration or the Office of the Chief Counsel shall obtain written
approval prior to engaging in any outside employment, as defined in 5
CFR 2635.603(a), whether or not for compensation, or any self-employed
business activity.
(ii) The requirement of paragraph (d)(2)(i) of this section does
not apply to participation in the activities of a political, religious,
social, fraternal, or recreational organization, unless the position
held requires the provision of professional services or is performed
for compensation other than the reimbursement of expenses.
(iii) The requirement of paragraph (d)(2)(i) of this section shall
not apply to the extent that an employment activity has been exempted,
pursuant to paragraph (d)(5) of this section.
(3) Submission of requests for approval. An employee seeking to
engage in any of the activities for which advance approval is required
shall make a written request for approval a reasonable time before
beginning the activity. This request should be directed to the
employee's supervisor who will forward it to the official authorized to
approve outside employment and activities requests for the employee's
component. All requests for prior approval shall include the following
information:
(i) The employee's name, organizational location, occupational
title, grade, and salary;
(ii) The nature of the proposed outside employment or other outside
activity, including a full description of the specific duties or
services to be performed;
(iii) A description of the employee's official duties that relate
in any way to the proposed activity;
(iv) The name and address of the person or organization for whom or
with which the work or activity will be done, including the location
where the services will be performed;
(v) The estimated total time that will be devoted to the activity.
If the proposed outside activity is to be performed on a continuing
basis, a statement of the estimated number of hours per year; for other
employment, a statement of the anticipated beginning and ending date;
(vi) A statement as to whether the work can be performed entirely
outside of the employee's regular duty hours and, if not, the estimated
number of hours of absence from that will be required;
(vii) The method of basis of any compensation (e.g., fee, per diem,
honorarium, royalties, stock options, travel and expenses, or other);
(viii) A statement as to whether the compensation is derived from
an HHS grant, contract, cooperative agreement, or other source of HHS
funding;
(ix) For activities involving the provision of consultative or
professional services, a statement indicating whether the client,
employer, or other person on whose behalf the services are performed is
receiving, or intends to seek, an HHS grant, contract, cooperative
agreement, or other funding relationship; and
(x) For activities involving teaching, speaking, writing or
editing, the proposed text of any disclaimer required by 5 CFR
2635.807(b)(2) or by the instructions or manual issuances authorized
under paragraph (d)(5) of this section.
(4) Standard for approval. Approval shall be granted unless it is
determined that the outside employment or other outside activity is
expected to involve conduct prohibited by statute or Federal
regulation, including 5 CFR part 2635 and this part.
Note: The granting of granting of approval for an outside
activity does not relieve the employee of the obligation to abide by
all applicable laws governing employee conduct nor does approval
constitute a sanction of any violation. Approval involves an
assessment that the general activity as described on the submission
does not appear likely to violate any criminal statutes or other
ethics rules. Employees are reminded that during the course of an
otherwise approvable activity, situations may arise, or actions may
be contemplated, that, nevertheless, pose ethical concerns.
Example 1: A clerical employee with a degree in library science
volunteers to work on the acquisitions committee at a local public
library. Serving on a panel that renders advice to a non-Federal
entity is subject to prior approval. Because recommending books for
the library collection normally would not pose a conflict with the
typing duties assigned the employee, the request would be approved.
Example 2: While serving on the library acquisitions committee,
the clerical employee in the preceding example is asked to help the
library business office locate a missing book order. Shipment of the
order is delayed because the publisher has declared bankruptcy and
its assets, including inventory in the warehouse, have been frozen
to satisfy the claims of the Internal Revenue Service and other
creditors. The employee may not contact the Federal bankruptcy
trustee to seek, on behalf of the public library, the release of the
books. Even though the employee's service on the acquisitions
committee had been approved, a criminal statute, 18 U.S.C. 205,
would preclude any representation by a Federal employee of an
outside entity before a Federal court or agency with respect to a
matter in which the United States is a party or has a direct and
substantial interest.
(5) Responsibilities of the designated agency ethics official and
component agencies. (i) The designated agency
[[Page 39767]]
ethics official or, with the concurrence of the designated agency
ethics official, each of the separate agency components of HHS listed
in Sec. 5501.102 may issue an instruction or manual issuance exempting
categories of employment or other outside activities from a requirement
of prior written approval based on a determination that the employment
or activities within those categories would generally be approved and
are not likely to involve conduct prohibited by statute or Federal
regulations, including 5 CFR part 2635 and this part.
(ii) HHS components may specify internal procedures governing the
submission of prior approval requests and designate appropriate
officials to act on such requests. The instructions or manual issuances
may include examples of outside employment and other outside activities
that are permissible or impermissible consistent with 5 CFR part 2635
and this part. With respect to teaching, speaking, writing, or editing
activities, the instructions or manual issuances may specify
preclearance procedures and/or require disclaimers indicating that the
views expressed do not necessarily represent the views of the agency or
the United States.
(iii) The officials within the respective HHS components who are
responsible for the administrative aspects of these regulations and the
maintenance of records shall make provisions for the filing and
retention of requests for approval of outside employment and other
outside activities and copies of the notification of approval or
disapproval.
Sec. 5501.107 Teaching, speaking and writing by special Government
employees in the Public Health Service.
(a) Applicability. This section applies to special Government
employees in the Public Health Service who otherwise are prohibited
from accepting compensation for teaching, speaking or writing that is
related to their official duties, within the meaning of 5 CFR
2635.807(a)(2)(i)(C), because the invitation or the offer of
compensation for the activity was extended at a time when the special
Government employee was assigned to perform official duties that may
substantially affect the interests of the inviter or offeror.
(b) Permissible compensation. A special Government employee may
accept compensation for teaching, speaking or writing in circumstances
described in paragraph (a) of this section only where the special
Government employee recuses from the official assignment that may
substantially affect the interests of the person who extended the
invitation to engage in the activity or the offer of compensation.
Sec. 5501.108 Exception to the prohibition against assisting in the
prosecution of claims against, or acting as an agent or attorney
before, the Government, applicable only to employees assigned to
federally recognized Indian tribes or Alaska Native villages or
regional or village corporations pursuant to the Intergovernmental
Personnel Act.
(a) 18 U.S.C. 205. Section 205 of title 18 of the United States
Code prohibits an employee, whether or not for compensation, from
acting as an agent or attorney for anyone in a claim against the United
States, or from acting in such capacity on behalf of another before any
department, agency, or other specified entity, in any particular matter
in which the United States is a party or has a direct and substantial
interest.
(b) Exception applicable only to employees assigned to federally
recognized Indian tribes or Alaska Native villages or regional or
village corporations pursuant to the Intergovernmental Personnel Act.
Notwithstanding the provisions of 18 U.S.C. 205, the Indian Self-
Determination Act (25 U.S.C. 450i(f)) authorizes Federal employees
detailed or assigned to Indian tribes or Alaska Native villages or
regional or village corporations, pursuant to the Intergovernmental
Personnel Act (5 U.S.C. 3372), to act as agents or attorneys for, or
appear on behalf of, such tribes or Alaska Native villages or
corporations in connection with any matter pending before any
department, agency, court, or commission, in which the United States is
a party or has a direct and substantial interest. Such employees must
advise, in writing, the head of the agency, with which they are dealing
on behalf of an Indian tribe or Alaska Native village or corporation,
of any personal and substantial involvement they may have had as an
officer or employee of the United States in connection with the matter
concerned.
[FR Doc. 96-19173 Filed 7-29-96; 8:45 am]
BILLING CODE 4150-04-M
Complete official Federal Register PDF
FR Doc. 96-19163 Securities Credit Transactions; List of Marginable OTC Stocks; List of Foreign Margin Stocks
[Federal Register Volume 61, Number 147 (Tuesday, July 30, 1996)]
[Rules and Regulations]
[Pages 39556-39584]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-19163]
=======================================================================
-----------------------------------------------------------------------
FEDERAL RESERVE SYSTEM
12 CFR Parts 207, 220, 221 and 224
[Regulations G, T, U, and X]
Securities Credit Transactions; List of Marginable OTC Stocks;
List of Foreign Margin Stocks
AGENCY: Board of Governors of the Federal Reserve System.
ACTION: Final rule; determination of applicability of regulations.
-----------------------------------------------------------------------
SUMMARY: The List of Marginable OTC Stocks (OTC List) is composed of
stocks traded over-the-counter (OTC) in the United States that have
been determined by the Board of Governors of the Federal Reserve System
to be subject to the margin requirements under certain Federal Reserve
regulations. The List of Foreign Margin Stocks (Foreign List) is
composed of foreign equity securities that have met the Board's
eligibility criteria under Regulation T. The OTC List and the Foreign
List are published four times a year by the Board. This document sets
forth additions to and deletions from the previous OTC List and a
complete edition of the Foreign List.
EFFECTIVE DATE: August 12, 1996.
FOR FURTHER INFORMATION CONTACT: Peggy Wolffrum, Securities Regulation
Analyst, Division of Banking Supervision and Regulation, (202) 452-
2781, Board of Governors of the Federal Reserve System, Washington,
D.C. 20551. For the hearing impaired only, contact Dorothea Thompson,
Telecommunications Device for the Deaf (TDD) at (202) 452-3544.
SUPPLEMENTARY INFORMATION: Listed below are the deletions from and
additions to the Board's OTC List, which was last published on April
26, 1996 (61 FR 18495), and became effective May 13, 1996. A copy of
the complete OTC List is available from the Federal Reserve Banks.
The OTC List includes those stocks traded over-the-counter in the
United States that meet the criteria in Regulations G, T and U (12 CFR
Parts 207, 220 and 221, respectively). This determination also affects
the applicability of Regulation X (12 CFR Part 224). These stocks have
the degree of national investor interest, the depth and breadth of
market, and the availability of information respecting the stock and
its issuer to warrant regulation in the same fashion as exchange-traded
securities. The OTC List also includes any OTC stock designated for
trading in the national market system (NMS security) under rules
approved by the Securities and Exchange Commission (SEC). Additional
OTC stocks may be designated as NMS securities in the interim between
the Board's quarterly publications. They will become automatically
marginable upon the effective date of their NMS designation. The names
of these stocks are available at the SEC and at the National
Association of Securities Dealers, Inc. and will be incorporated into
the Board's next quarterly publication of the OTC List.
Also listed below is a complete edition of the Foreign List. This
supersedes the previous Foreign List, which was published on April 26,
1996 (61 FR 18495) and became effective May 13, 1996. Pursuant to an
amendment to Regulation T that became effective July 1, 1996 (see 61 FR
20386), foreign equity securities that are deemed to have a ``ready
market'' for purposes of the SEC's net capital rule (17 CFR 240.15c3-1)
are eligible for inclusion on the Board's Foreign List. The SEC has
issued a no-action letter that effectively treats all stocks on the
Financial Times/Standard & Poor's Actuaries World Indices (FT/S&P List)
as having a ``ready market'' for capital purposes and has requested
comment on adopting regulatory language to this effect (see 58 FR
44310). The Board is therefore adding to this edition of the Foreign
List those foreign stocks on the current FT/S&P List that were not on
the previous Foreign List. The Board is also reordering the Foreign
List to display the stocks by country.
Public Comment and Deferred Effective Date
The requirements of 5 U.S.C. 553 with respect to notice and public
participation were not followed in connection with the issuance of this
amendment due to the objective character of the criteria for inclusion
and continued inclusion on the Lists specified in 12 CFR 207.6 (a) and
(b), 220.17 (a), (b), (c) and (d), and 221.7 (a) and (b). No additional
useful information would be gained by public participation. The full
requirements of 5 U.S.C. 553 with respect to deferred effective date
have not been followed in connection with the issuance of this
amendment because the Board finds that it is in the public interest to
facilitate investment and credit decisions based in whole or in part
upon the composition of these Lists as soon as possible. The Board has
responded to a request by the public and allowed approximately a two-
week delay before the Lists are effective.
List of Subjects
12 CFR Part 207
Banks, Banking, Credit, Margin, Margin requirements, National
Market System (NMS Security), Reporting and recordkeeping requirements,
Securities.
12 CFR Part 220
Banks, Banking, Brokers, Credit, Margin, Margin requirements,
Investments, National Market System (NMS Security), Reporting and
recordkeeping requirements, Securities.
12 CFR Part 221
Banks, Banking, Credit, Margin, Margin requirements, National
Market System (NMS Security), Reporting and recordkeeping requirements,
Securities.
12 CFR Part 224
Banks, Banking, Borrowers, Credit, Margin, Margin requirements,
Reporting and recordkeeping requirements, Securities.
Accordingly, pursuant to the authority of sections 7 and 23 of the
Securities Exchange Act of 1934, as amended (15 U.S.C. 78g and 78w),
and in accordance with 12 CFR 207.2(k) and 207.6 (Regulation G), 12 CFR
220.2 and 220.17 (Regulation T), and 12 CFR 221.2(j) and 221.7
(Regulation U), there is set forth below a listing of deletions from
and additions to the OTC List and the complete edition of the Foreign
List.
Deletions From the List of Marginable OTC Stocks
Stocks Removed for Failing Continued Listing Requirements
ADVANCED NMR SYSTEMS, INC.
$.01 par common
Warrants (expire 08-30-2000)
ADVANCED PROMOTION TECHNOLOGIES, INC.
$.01 par common
ALPHA MICROSYSTEMS
Warrants (expire 09-01-98)
ANDOVER TOGS, INC.
$.10 par common
ARIEL CORPORATION
Warrants (expire 01-25-2000)
BIO-TECHNOLOGY GENERAL CORP.
Warrants (expire 05-07-96)
[[Page 39557]]
CANISCO RESOURCES, INC.
$.0025 par common
COMMUNITY BANK SHARES OF INDIANA
$.01 par common
CORVITA CORPORATION
$.001 par common
DATAWATCH CORPORATION
Warrants (expire 05-28-96)
DISCOVERY ZONE, INC.
$.01 par common
Liquid Yield Option Notes due 2013
DMX INC.
$.01 par common
ECCS, INC.
$.01 par common
ELECTROSOURCE, INC.
$.01 par common
ENVIRONMENTAL SERVICES OF AMERICA, INC.
$.02 par common
EXCEL TECHNOLOGY, INC.
Series 1, $.001 par
convertible preferred
FIRST COMMERCE BANCSHARES, INC. (Nebraska)
Class A, $.20 par common
FIRST FINANCIAL BANCORP, INC.
No par common
FLUOROSCAN IMAGING SYSTEMS, INC.
Redeemable warrants (expire 07-11-99)
FRONTIER NATURAL GAS CORPORATION
12% parconvertible preferred
FUTUREMEDIA PUBLIC LIMITED COMPANY
American Depositary Receipts
Warrants (expire 08-19-96)
GENETICS INSTITUTE, INC.
Warrants (expire 05-31-96)
HAMILTON FINANCIAL SERVICES CORP.
$.01 par common
HAPPINESS EXPRESS, INC.
$.001 par common
HARVEY UNIVERSAL, INC.
$.01 par common
HORSEHEAD RESOURCE DEVELOPMENT COMPANY, INC.
$.01 par common
INTEGRATED COMMUNICATION NETWORK, INC.
$.01 par common
INTEGRATED MICRO PRODUCTS PLC
American Depositary Shares
INTEGRATED SYSTEMS CONSULTING GROUP, INC.
Rights (expire 05-22-96)
INTERLINK ELECTRONICS
Warrants (expire 06-07-96)
INVG MORTGAGE SECURITIES CORP.
$.01 par common
JACOR COMMUNICATIONS, INC.
Warrants (expire 01-14-2000)
JAY JACOBS, INC.
$.01 par common
KENETECH CORPORATION
$.0001 par common
Depositary Shares
LAS VEGAS ENTERTAINMENT NETWORK, INC.
$.001 par common
LASER VIDEO NETWORK, INC.
$.001 par common
M.G. PRODUCTS, INC.
No par common
MEDISENSE, INC.
$.01 par common
MLX CORPORATION
$.01 par common
MOBLEY ENVIRONMENTAL SERVICES, INC.
Class A, $.01 par common
NAPTO BIOTHERAPEUTICS, INC.
Warrants (expire 08-01-98)
NORTHSTAR HEALTH SERVICES, INC.
$.01 par common
PACKAGING RESEARCH CORPORATION
$.01 par common
PRINS RECYCLING CORPORATION
$.001 par common
PURUS, INC.
$.01 par common
RADIUS INC.
No par common
RCSB FINANCIAL, INC.
Series B, $1.00 par non-cumulative convertible perpetual preferred
SAM & LIBBY, INC.
$.001 par common
SANCTUARY WOODS MULTIMEDIA CORP.
No par common
SECOND BANCORP, INCORPORATED
Series A, no par cumulative convertible preferred
STACY'S BUFFET, INC.
$.01 par common
Warrants (expire 11-12-98)
THERAPEUTIC DISCOVERY CORPORATION ALZA CORPORATION
Units (expire 12-31-99)
THOMSON-CSF
American Depositary Receipts
U.S. DIAGNOSTIC LABS, INC.
Class A, warrants (expire 10-14-99)
VISTA 2000, INC.
$.01 par common
Warrants (expire 10-24-98)
Stocks Removed for Listing on a National Securities Exchange or Being
Involved in an Acquisition
1st WASHINGTON BANCORP, INC. (Washington, D.C.)
$.01 par common
ACME METALS, INC.
$1.00 par common
AMERICAN RESOURCE CORPORATION, INC.
$.01 par common
AMERISOURCE HEALTH CORPORATION
Class A, $.01 par common
ANDROS INCORPORATED
$.01 par common
APRIA HEALTHCARE GROUP, INC.
$.001 par common
ARETHUSA (OFF-SHORE) LIMITED
$.10 par common
ARGOSY GAMING COMPANY
$.01 par common
12% convertible subordinated debentures
ATHENA NEUROSCIENCES, INC.
$.01 par common
BALLY GAMING INTERNATIONAL, INC.
$.01 par common
BELL BANCORP, INC.
$.01 par common
BENSON FINANCIAL CORPORATION
$.01 par common
BIG O TIRES, INC.
$.10 par common
BOSTON BANCORP
$1.00 par common
C.I.S. TECHNOLOGIES, INC.
$.01 par common
CADBURY SCHWEPPES PLC
American Depositary Receipts
CALIFORNIA BANCSHARES, INC.
$2.50 par common
COMMUNITY BANKS, INC. (Pennsylvania)
$5.00 par common
COMPLETE MANAGEMENT, INC.
$.001 par common
COMPLINK, LTD.
$.01 par common
CONESTOGA BANCORP, INC. (New York)
$.01 par common
CSB FINANCIAL CORPORATION (Virginia)
$.01 par common
DAIG CORPORATION
$.01 par common
DUAL DRILLING COMPANY
$.01 par common
DURACRAFT CORPORATION
No par common
E & B MARINE, INC.
$.001 par common
EDUNETICS LTD.
Ordinary Shares, NIS .06 par value
FACELIFTERS HOME SYSTEMS, INC.
$.01 par common
FAIR, ISSAC AND COMPANY, INC.
$.01 par common
FIRST HARRISBURG BANCOR, INC.
$.01 par common
FIRSTMISS GOLD, INC.
$.01 par common
FORUM GROUP, INC.
No par common
GENCOR INDUSTRIES, INC.
$.10 par common
GREAT AMERICAN MANAGEMENT AND INVESTMENT, INC.
$.01 par common
HOME FEDERAL FINANCIAL CORPORATION
[[Page 39558]]
$.01 par common
INFRASONICS, INC.
No par common
INSTENT, INC.
$.01 par common
KEY PRODUCTION COMPANY, INC.
$.25 par common
LAFAYETTE AMERICAN BANK & TRUST COMPANY (Connecticut)
$1.00 par common
LDI CORPORATION
$.01 par common
LFS BANCORP, INC. (Kentucky)
$.01 par common
MASLAND CORPORATION
$.01 par common
MEDALIST INDUSTRIES, INC.
$1.00 par common
MICOM COMMUNICATIONS, INC.
$.0001 par common
MID OCEAN LIMITED
Class A, $.20 par ordinary shares
MINNESOTA EDUCATIONAL COMPUTING CORP.
$.01 par common
MOXHAM BANK CORPORATION (Pennsylvania)
$2.00 par common
NOWSCO WELL SERVICE LTD.
No par common
OWEN HEALTHCARE, INC.
No par common
PHILIP ENVIRONMENTAL, INC.
No par common
PINKERTON'S INC.
$.001 par common
POLK AUDIO, INC.
$.01 par common
POSITIVE RESPONSE TELEVISION, INC.
No par common
PYXIS CORPORATION
$.01 par common
QUANTUM HEALTH RESOURCES, INC.
$.01 par common
S-K-I LIMITED
$.10 par common
STANDARD REGISTER COMPANY, INC.
$1.00 par common
STRATACOM, INC.
$.01 par common
SUMMIT FAMILY RESTAURANTS, INC.
$.10 par common
TECHNALYSIS CORPORATION
$.10 par common
TIDE WEST OIL COMPANY
$.01 par common
UNILAB CORPORATION
$.01 par common
WEDCO TECHNOLOGY, INC.
$.10 par common
WEST JERSEY BANCSHARES, INC.
No par common
ZALE CORPORATION
$.01 par common
Class A, warrants (expire 07-29-98)
Additions to the List of Marginable OTC Stocks
4FRONT SOFTWARE INTERNATIONAL, INC.
No par common
4HEALTH, INC.
$.01 par common
Warrants (expire 01-15-98)
ABIGAIL ADAMS NATIONAL BANCORP, INC.
$.01 par common
ACC CONSUMER FINANCE CORPORATION
$.001 par common
AES CORPORATION, THE
Warrants expire 06-12-2001
AFFINITY TECHNOLOGY GROUP, INC.
$.0001 par common
AFFYMETRIX, INC.
No par common
AIRNET SYSTEMS, INC.
$.01 par common
AKSYS, LTD.
$.01 par common
ALLEGIANT BANCORP, INC.
$.01 par common
ALLIANCE GAMING CORPORATION
Series B, 15% non-voting senior special stock
AMERICAN PORTABLE TELECOM, INC.
$1.00 par common
ANCOR COMMUNICATIONS, INC.
$.01 par common
ANDRX CORPORATION
$.001 par common
ANSYS, INC.
$.01 par common
APACHE MEDICAL SYSTEMS, INC.
$.01 par common
APPLIED GRAPHICS TECHNOLOGIES, INC.
$.01 par common
ARADIGM CORPORATION
No par common
ARISTO INTERNATIONAL CORPORATION
$.001 par common
ARTESIAN RESOURCES CORPORATION
Class A, $1.00 par common
ASAHI/AMERICA, INC.
No par common
ASE TEST, LIMITED
Ordinary Shares, $1.00 par
ASPECT DEVELOPMENT, INC.
$.001 par common
ATC COMMUNICATIONS, INC.
$.01 par common
ATLANTIC BANK AND TRUST COMPANY (Massachusetts)
$1.00 par common
AUTOMOBILE PROTECTION CORPORATION
$.001 par common
AUTONOMOUS TECHNOLOGIES CORPORATION
$.01 par common
AVIGEN, INC.
$.001 par common
AXENT TECHNOLOGIES, INC.
$.02 par common
BAB HOLDINGS, INC.
No par common
BANK OF SOUTH CAROLINA CORPORATION
No par common
BANK OF YORBA LINDA
No par common
BELL TECHNOLOGY GROUP, LTD.
$.01 par common
BIG CORPORATION OF GEORGIA
$1.00 par common
BIOPSYS MEDICAL, INC.
$.001 par common
BIOSOURCE INTERNATIONAL, INC.
No par common
BIOTRANSPLANT, INC.
$.01 par common
BOLDER TECHNOLOGIES CORPORATION
$.001 par common
BOSTON COMMUNICATIONS GROUP, INC.
$.01 par common
BROADVISION, INC.
$.0001 par common
BROOKS FIBER PROPERTIES, INC.
$.01 par common
BUILDERS WAREHOUSE ASSOCIATION, INC.
$.008 par common
C/NET, INC.
$.0001 par common
CALNETICS CORPORATION
No par common
CAPITAL FACTORS HOLDING, INC.
$.01 par common
CARBO CERAMICS, INC.
$.01 par common
CARDIAC PATHWAYS CORPORATION
$.001 par common
CARDIOGENESIS CORPORATION
$.001 par common
CARDIOTHORACIC SYSTEMS, INC.
$.001 par common
CARDIOVASCULAR DYNAMICS, INC.
$.001 par common
CASA OLE' RESTAURANTS, INC.
$.01 par common
CASS COMMERCIAL CORPORATION
$.50 par common
CATSKILL FINANCIAL CORPORATION
$.01 par common
CENTER BANCORP, INC. (New Jersey)
No par common
CENTRAL FINANCIAL ACCEPTANCE CORPORATION
$.01 par common
CENTURY FINANCIAL CORPORATION
$.835 par common
CERION TECHNOLOGIES, INC.
$.01 par common
CFM TECHNOLOGIES, INC.
No par common
CHANNELL COMMERCIAL CORPORATION
[[Page 39559]]
$.01 par common
CHECK POINT SOFTWARE TECHNOLOGIES, LTD.
Ordinary Shares (.01 par NIS)
CHS ELECTRONICS, INC.
$.001 par common
CITIZENS SECURITY GROUP, INC.
$.01 par common
CLASSIC BANCSHARES, INC. (Kentucky)
$.01 par common
CLEAN DIESEL TECHNOLOGIES, INC.
$.05 par common
COACH USA, INC.
$.01 par common
COLLABORATIVE CLINICAL RESEARCH, INC.
No par common
COLLAGENEX PHARMACEUTICALS, INC.
$.01 par common
COMM BANCORP, INC.
$.33 par common
COMMERCIAL NATIONAL FINANCIAL CORPORATION
$2.00 par common
COMMODORE HOLDINGS LIMITED
Warrants (expire 07-15-2001)
COMPUSERVE CORPORATION
$.01 par common
CONTOUR MEDICAL, INC.
$.001 par common
CORTEX PHARMACEUTICALS, INC.
$.001 par common
CRAIG CONSUMER ELECTRONICS, INC.
$.01 par common
CRW FINANCIAL, INC.
$.01 par common
DASSAULT SYSTEMES SA
American Depositary Receipts
DEL GLOBAL TECHNOLOGIES CORPORATION
$.10 par common
DIAMOND HOME SERVICES, INC.
$.001 par common
DIATIDE INC.
$.001 par common
DIGENE CORPORATION
$.01 par common
DIGITAL VIDEO SYSTEMS, INC.
$.0001 par common
Class A warrants, (expire 05-09-2001)
Class B warrants, (expire 05-09-2001)
DIME COMMUNITY BANCORP, INC. (New York)
$.01 par common
DIVERSIFAX, INC.
$.001 par common
DRILEX CORPORATION
$.01 par common
DUPONT PHOTOMASKS, INC.
$.01 par common
EAGLE BANCGROUP, INC. (Illinois)
$.01 par common
ECLIPSE SURGICAL TECHNOLOGIES, INC.
No par common
EDIFY CORPORATION
$.001 par common
ELBIT VISION SYSTEMS, LIMITED
Ordinary Shares (1.00 par NIS)
ELECTRONIC HAIR STYLING, INC.
$.001 par common
ELECTROSCOPE, INC.
No par common
EN POINTE TECHNOLOGIES, INC.
$.001 par common
ENTREMED INC.
$.01 par common
EP MEDSYSTEMS, INC.
No par common
EXSORBET INDUSTRIES, INC.
$.001 par common
FARALLON COMMUNICATIONS, INC.
$.002 par common
FINE HOST CORPORATION
$.01 par common
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
$.01 par common
FIRST FINANCIAL CORPORATION
$1.00 par common
FIRST REPUBLIC BANCORP, INC. (Pennsylvania)
$.01 par common
FLAMEL TECHNOLOGIES S.A.
American Depositary Receipts
FLUOROSCAN IMAGING SYSTEMS, INC.
Redeemable Warrants (expire 07-11-99)
FORENSIC TECHNOLOGIES INTERNATIONAL CORPORATION
$.01 par common
FORT THOMAS FINANCIAL CORPORATION
$.01 par common
FORTRESS GROUP, INC., THE
$.01 par common
FRONTIER AIRLINES, INC.
No par common
FUSION MEDICAL TECHNOLOGIES, INC.
$.001 par common
GARDEN BOTANIKA, INC.
$.01 par common
GENESEE & WYOMING, INC.
Class A, $.01 par common
GEOSCIENCE CORPORATION
$.01 par common
GETTY COMMUNICATIONS, PLC
American Depositary Receipts
GLASGAL COMMUNICATIONS, INC.
$.001 par common
Warrants (expire 09-21-99)
GLOBAL TELECOMMUNICATIONS SOLUTIONS, INC.
$.01 par common
GOLDEN KNIGHT RESOURCES, INC.
No par common
GRAND PRIX ASSOCIATION OF LONG BEACH, INC.
No par common
GRAPHIX ZONE, INC.
No par common
GREENWICH AIR SERVICES, INC.
Class B, $.01 par common
GUMTECH INTERNATIONAL, INC.
No par common
HARRINGTON FINANCIAL GROUP, INC.
$.125 par common
HAYES WHEELS INTERNATIONAL, INCORPORATED
$.01 par common
HEARTPORT, INC.
$.001 par common
HORIZON MENTAL HEALTH MANAGEMENT, INC.
$.01 par common
I2 TECHNOLOGIES, INC.
$.00025 par common
ICT GROUP, INC.
$.01 par common
ICTS HOLLAND PRODUCTION B.V.
Common shares (1 Guilder par value)
IMC MORTGAGE COMPANY
$.01 par common
INCSTAR CORPORATION
$.01 par common
INFONAUTICS, INC.
Class A, No par common
INFOSEEK CORPORATION
No par common
INNOVASIVE DEVICES, INC.
$.0001 par common
INTEG INCORPORATED
$.01 par common
INTEGRATED SYSTEMS CONSULTING GROUP, INC.
$.005 par common
IXC COMMUNICATIONS, INC.
$.01 par common
JOACHIM BANCORP, INC. (Missouri)
$.01 par common
JPM COMPANY, THE
$.000067 par common
KEYSTONE AUTOMOTIVE INDUSTRIES, INC.
No par common
KWG RESOURCES, INC.
No par common
LABOR READY, INC.
No par common
LANVISION SYSTEMS, INC.
$.01 par common
LIFE MEDICAL SCIENCES, INC.
Class A, warrants (expire 09-22-97)
Class B, warrants (expire 09-22-97)
LION BREWERY, INC., THE
$.01 par common
LIVE ENTERTAINMENT, INC.
$.01 par common
LOEHMANN'S, INC.
$.01 par common
MACROCHEM CORPORATION
$.01 par common
MACRONIX INTERNATIONAL CO. LTD.
American Depositary Receipts
MARKS BROS. JEWELERS, INC.
$.001 par common
MATAV-CABLE SYSTEMS MEDIA LTD.
American Depositary Receipts
MCI COMMUNICATIONS CORPORATION
[[Page 39560]]
Series A, 8% cumulative quarterly income preferred
McLEOD INC.
Class A, $.01 par common
MECHANICAL DYNAMICS, INC.
No par common
MECHANICS SAVINGS BANK (Connecticut)
$.01 par common
MED-DESIGN CORPORATION, THE
$.01 par common
MEDALLION FINANCIAL CORPORATION
$.01 par common
MEDICORE, INC.
$.01 par common
MEDQUIST, INC.
No par common
METROWERKS CORPORATION
No par common
MICROCIDE PHARMACEUTICALS, INC.
$.001 par common
MILLENNIUM PHARMACEUTICALS, INC.
$.001 par common
MITCHAM INDUSTRIES, INC.
$.01 par common
MULTIPLE ZONES INTERNATIONAL, INC.
No par common
NASHVILLE COUNTRY CLUB, INC.
No par common
Warrants (expire 04-23-2001)
NEMARRON CORPORATION
No par common
NEMATRON CORPORATION
No par common
NEOPHARM, INC.
$.000429 par common
NETWORK CONNECTION, INC., THE
Warrants (expire 05-11-98)
NEUROCRINE BIOSCIENCES, INC.
$.001 par common
NEW HORIZON KIDS QUEST, INC.
$.01 par common
NORTH FACE, INC., THE
$.0025 par common
NOVOSTE CORPORATION
$.01 par common
NYER MEDICAL GROUP, INC.
$.00001 par common
OACIS HEALTHCARE HOLDINGS CORPORATION
$.01 par common
OCEAN FINANCIAL CORPORATION
$.01 par common
ONEWAVE, INC.
$.001 par common
ONYX PHARMACEUTICALS, INC.
$.001 par common
OPEN MARKET, INC.
$.001 par common
OPEN PLAN SYSTEMS, INC.
No par common
OPENVISION TECHNOLOGIES, INC.
$.001 par common
OPTEK TECHNOLOGY, INC.
$.01 par common
OPTICAL SECURITY GROUP, INC.
$.005 par common
OSICOM TECHNOLOGIES, INC.
$.10 par common
OUTDOOR SYSTEMS, INC.
$.01 par common
OXIGENE, INC.
Warrants (expire 08-26-98)
OZEMAIL, LIMITED
American Depositary Receipts
P.T. PASIFIK SATELIT NUSANTARA
American Depositary Receipts
PACIFICAMERICA MONEY CENTER, INC.
$.01 par common
PAGEMART WIRELESS, INC.
Class A, $.0001 par common
PARAVANT COMPUTER SYSTEMS, INC.
Redeemable warrants (expire 11-30-2002)
PCT HOLDINGS, INC.
$.001 par common
Warrants (expire 07-15-2001)
PENNICHUCK CORPORATION
$1.00 par common
PHOENIX INTERNATIONAL LTD. INC.
$.01 par common
PHONETEL TECHNOLOGIES, INC.
$0.01 par common
PHOTRAN CORPORATION
No par common
PHYSIOMETRIX, INC.
$.001 par common
PLANET HOLLYWOOD INTERNATIONAL, INC.
Class A, $.01 par common
PLANET POLYMER TECHNOLOGIES, INC.
No par common
PLANNING SCIENCES INTERNATIONAL PLC
American Depositary Receipts
POLYCOM, INC.
$.0005 par common
PRECISION RESPONSE CORPORATION
No par common
PREMIER FINANCIAL BANCORP, INC. (Kentucky)
No par common
PRESTIGE BANCORP, INC. (Pennsylvania)
$1.00 par common
PRINTRAK INTERNATIONAL INC.
$.0001 par common
PRINTWARE, INC.
No par common
PROVIDENT FINANCIAL HOLDINGS, INC.
$.01 par common
PUBLISHING COMPANY OF NORTH AMERICA, INC., THE
No par common
QIAGEN N.V.
Common shares (par .03 NLG)
RECYCLING INDUSTRIES, INC.
$.001 par common
REGISTRY, INC., THE
No par common
REMEDYTEMP, INC.
Class A, $.01 par common
RENAISSANCE CAPITAL GROWTH & INCOME FUND, III
$1.00 par common
RUSH ENTERPRISES, INC.
$.01 par common
RUTHERFORD-MORAN OIL CORPORATION
$.01 par common
SABRATEK CORPORATION
$.01 par common
SAES GETTERS S.P.A.
American Depositary Receipts
SANDY SPRING BANCORP, INC.
$1.00 par common
SANTA BARBARA BANCORP
$.67 par common
SAWAKO CORPORATION
American Depositary Receipts
SAWTEK INC.
$.0005 par common
SECURITY FIRST NETWORK BANK
No par common
SIEBEL SYSTEMS, INC.
$.001 par common
SMITHWAY MOTOR XPRESS CORPORATION
Class A, $.01 par common
SOUTHWEST BANKS, INC.
$.10 par common
SPECIALIZED HEALTH PRODUCTS INTERNATIONAL, INC.
$.02 par common
SPECTRALINK CORPORATION
$.01 par common
SPINNAKER INDUSTRIES, INC.
No par common
SS&C TECHNOLOGIES, INC.
$.01 par common
STANDARD FUNDING CORPORATION
$.001 par common
STRATASYS, INC.
$.01 par common
SUBURBAN LODGES OF AMERICA, INC.
$.01 par common
SUIZA FOODS CORPORATION
$.01 par common
SUNQUEST INFORMATION SYSTEMS, INC.
No par common
SUNRISE ASSISTED LIVING, INC.
$.01 par common
SUNSHINE MINING AND REFINING COMPANY
Warrants (expire 05-22-2001)
SUPER VISION INTERNATIONAL, INC.
$.001 par common
SWEDISH MATCH, AB
American Depositary Receipts
SYKES ENTERPRISES, INCORPORATED
$.01 par common
T. J. T., INC.
$.001 par common
TCI PACIFIC COMMUNICATIONS, INC.
Class A, $100 par common
[[Page 39561]]
TECHDYNE, INC.
$.01 par common
TELEPORT COMMUNICATIONS GROUP, INC.
Class A, $.01 par common
THERAPEUTIC DISCOVERY CORPORATION
Class A, $.01 par common
THERMATRIX, INC.
$.001 par common
THORATEC LABORATORIES CORPORATION
No par common
TITANIUM METALS CORPORATION
$.01 par common
TOOLEX-ALPHA, N.V.
Ordinary Shares
TRANSITION SYSTEMS, INC.
$.01 par common
TRANZ RAIL HOLDINGS, LIMITED
American Depositary Receipts
TRAVIS BOATS & MOTORS, INC.
$.01 par common
TRICO MARINE SERVICES, INC.
$.01 par common
TURBOCHEF, INC.
$.01 par common
UFP TECHNOLOGIES, INC.
$.01 par common
UGLY DUCKLING CORPORATION
$.001 par common
UNIFY CORPORATION
$.001 par common
UNITED PAYORS & UNITED PROVIDERS, INC.
$.01 par common
UROCOR, INC.
$.01 par common
USCS INTERNATIONAL, INC.
$.05 par common
VECTRA BANKING CORPORATION
$.10 Series A cumulative preferred
VERILINK CORPORATION
$.01 par common
VIRUS RESEARCH INSTITUTE, INC.
$.01 par common
VISIBLE GENETICS, INC.
No par common
WALSH INTERNATIONAL, INC.
$.01 par common
WAYNE BANCORP, INC. (New Jersey)
$.01 par common
WEST COAST ENTERTAINMENT CORPORATION
$.01 par common
WESTERN FIDELITY FUNDING, INC.
$.001 par common
WESTERN STAFF SERVICES, INC.
$.01 par common
WESTERN WIRELESS CORPORATION
Class A, No par common
WHITTMAN-HART, INC.
$.001 par common
WIDECOM GROUP, INC., THE
No par common
Redeemable purchase warrants
WILLIAM GREENBERG, JR., DESSERTS AND CAFES, INC.
$.001 par common
WIZTEC SOLUTIONS, LIMITED
Ordinary Shares
YIELDUP INTERNATIONAL
$.001 par common
YONKERS FINANCIAL CORPORATION
$.01 par common
ZILA, INC.
$.001 par common
ZOMAX OPTICAL MEDIA, INC.
No par common
ZYDECO ENERGY, INC.
$.001 par common
List of Foreign Margin Stocks
AUSTRALIA
AAPC Limited
Ordinary shares, par A$0.50
ABERFOYLE LIMITED
Ordinary shares, par A$0.50
ADVANCE BANK AUSTRALIA LIMITED
Ordinary shares, par A$1.00
AMCOR LIMITED
Ordinary shares, par A$1.00
ARNOTTS LIMITED
Ordinary shares, par A$0.50
ASHTON MINING LIMITED
Ordinary shares, par A$0.50
AUSTRALIA AND NEW ZEALAND BANKING GROUP
Ordinary shares, par A$1.00
AUSTRALIAN FOUNDATION INVESTMENT CO LTD
Ordinary shares, par A$0.50
AUSTRALIAN GAS LIGHT COMPANY (THE)
Ordinary shares, par A$1.00
AUSTRALIAN NATIONAL INDUSTRIES LIMITED
Ordinary shares, par A$0.30
BANK OF MELBOURNE LIMITED
Ordinary shares, par A$1.00
BORAL LIMITED
Ordinary shares, par A$0.50
BOUGAINVILLE COPPER LIMITED
Ordinary shares, par 1 Papua New Guineau kina
BRAMBLES INDUSTRIES LIMITED
Ordinary shares, par A$0.50
BROKEN HILL PROPRIETARY COMPANY LIMITED
Ordinary shares, par A$1.00
BURNS, PHILP AND COMPANY LIMITED
Ordinary shares, par A$0.50
CALTEX AUSTRALIA LIMITED
Ordinary shares, par A$1.00
CAPITAL PROPERTY TRUST
Units, par A$1.00
COCA-COLA AMATIL LIMITED
Ordinary shares, par A$0.50
COLES MYER LIMITED
Ordinary shares, par A$0.50
COMALCO LIMITED
Ordinary shares, par A$1.00
COMMONWEALTH BANK OF AUSTRALIA
Ordinary shares, par A$2.00
CRA LIMITED
Ordinary shares, par A$2.00
CSR LIMITED
Ordinary shares, par A$1.00
DAVIDS LIMITED
Ordinary shares, par A$0.50
EMAIL LIMITED
Ordinary shares, par A$0.50
F.H. FAULDING & CO LIMITED
Ordinary shares, par A$0.50
FAIRFAX (JOHN) HOLDINGS LIMITED
Ordinary shares, par A$0.50
FOODLAND ASSOCIATED LIMITED
Ordinary shares, par A$0.50
FOSTER'S BREWING GROUP LIMITED
Ordinary shares, par A$1.00
FRANKED INCOME FUND
Units, par A$1.00
GANDEL RETAIL TRUST
Ordinary shares, par A$0.50
GENERAL PROPERTY TRUST
Units, par A$1.00
GIO AUSTRALIA HOLDINGS LIMITED
Ordinary shares, par A$1.00
GOLD MINES OF KALGOORLIE LIMITED
Ordinary shares, par A$0.05
GOODMAN FIELDER LIMITED
Ordinary shares, par A$0.50
HOWARD SMITH LIMITED
Ordinary shares, par A$1.00
ICI AUSTRALIA LIMITED
Ordinary shares, par A$1.00
JAMES HARDIE INDUSTRIES LIMITED
Ordinary shares, par A$1.00
KIDSTON GOLD MINES LIMITED
Ordinary shares, par A$0.20
LEND LEASE CORPORATION LIMITED
Ordinary shares, par A$0.50
M.I.M. HOLDINGS LIMITED
Ordinary shares, par A$0.50
MAYNE NICKLESS LIMITED
Ordinary shares, par A$0.50
METAL MANUFACTURES LIMITED
Ordinary shares, par A$0.50
NATIONAL AUSTRALIA BANK LIMITED
Ordinary shares, par A$1.00
NATIONAL FOODS LIMITED
Ordinary shares, par A$0.50
NEWCREST MINING LIMITED
Ordinary shares, par A$0.50
NEWS CORPORATION LIMITED (THE)
Ordinary shares, par A$0.50
NORMANDY MINING LIMITED
Ordinary shares, par A$0.20
NORTH LIMITED
Ordinary shares, par A$0.50
OPSM PROTECTOR LIMITED
Ordinary shares, par A$0.50
ORBITAL ENGINE CORPORATION LIMITED
Ordinary shares, par A$0.50
PACIFIC DUNLOP LIMITED
Ordinary shares, par A$0.50
PASMINCO LIMITED
Ordinary shares, par A$1.00
PIONEER INTERNATIONAL LIMITED
Ordinary shares, par A$0.50
[[Page 39562]]
PLUTONIC RESOURCES LIMITED
Ordinary shares, par A$0.50
POSGOLD LIMITED
Ordinary shares, par A$0.10
PUBLISHING AND BROADCASTING LIMITED
Preferred, par A$1.00
PUBLISHING AND BROADCASTING LIMITED
Ordinary shares, par A$1.00
QBE INSURANCE GROUP LIMITED
Ordinary shares, par A$1.00
QCT RESOURCES LIMITED
Ordinary shares, par A$0.50
RGC LIMITED
Ordinary shares, par A$0.50
ROTHMANS HOLDINGS LIMITED
Ordinary shares, par A$0.50
SANTOS LIMITED
Ordinary shares, par A$0.25
SCHRODERS PROPERTY FUND
Units, par A$1.00
SEVEN NETWORK LIMITED
Ordinary shares, par A$0.50
SIMSMETAL LIMITED
Ordinary shares, par A$0.50
SONS OF GWALIA LIMITED
Ordinary shares, par A$0.25
SOUTHCORP HOLDINGS LIMITED
Ordinary shares, par A$0.50
ST. GEORGE BANK LIMITED
Ordinary shares, par A$1.00
STOCKLAND TRUST GROUP
Ordinary shares, par A$1.10
TNT LIMITED
Ordinary shares, par A$0.50
WESFARMERS LIMITED
Ordinary shares, par A$0.50
WESTFIELD HOLDINGS LIMITED
Ordinary shares, par A$1.00
WESTFIELD TRUST
Units, par A$1.00
WESTPAC BANKING CORPORATION
Ordinary shares, par A$1.00
WMC LTD
Ordinary shares, par A$0.50
WOODSIDE PETROLEUM LIMITED
Ordinary shares, par A$0.50
WOOLWORTHS LIMITED
Ordinary shares, par A$0.25
AUSTRIA
AUSTRIAN AIRLINES
Bearer shares, par 1000 Austrian schillings
BANK AUSTRIA AG
Preferred shares, par 100 Austrian schillings
BANK AUSTRIA AG
Ordinary shares, par 100 Austrian schillings
BANK AUSTRIA AG
Ordinary Participating Certificates, par 100 Austrian S
BBAG OESTERREICHISCHE BRAU BETEILIGUNGS
Ordinary shares, par 100 Austrian schillings
BEST WATER TECHNOLOGY
Ordinary shares, par 100 Austrian schillings
BOEHLER UDDEHOLM AG
Ordinary shares, par 100 Austrian schillings
BRAU-UNION GOESS-REININGH.-OEST. BRAU AG
Ordinary shares, par 100 Austrian schillings
CREDITANSTALT-BANKVEREIN AG
Ordinary shares, par 1000 Austrian schillings
CREDITANSTALT-BANKVEREIN AG
Preferred shares, par 100 Austrian schillings
CREDITANSTALT-BANKVEREIN AG
Participation Certificates, par 500 Austrian schillings
ENERGIE-VERSORGUNG NIEDEROESTERREICH AG
Ordinary shares, par 100 Austrian schillings
LENZING AG
Ordinary shares, par 100 Austrian schillings
LEYKAM-MUERTZTALER PAPIER & ZELLSTOFF AG
Ordinary shares, par 100 Austrian schillings
MAYR-MELNHOF KARTON AG
Ordinary shares, par 100 Austrian schillings
OESTERREICHISCHE ELEKTRIZITAETSWIRTSCH.
Class A, par 100 Austrian schillings
OMV AG
Ordinary shares, par 100 Austrian schillings
PERLMOOSER ZEMENTWERKE AG
Ordinary shares, par 100 Austrian schillings
RADEX-HERAKLITH INDUSTRIEBETEILIGUNGS AG
Ordinary shares, par 100 Austrian schillings
STEYR-DAIMLER-PUCH AG
Ordinary shares, par 100 Austrian schillings
UNIVERSALE-BAU AG
Ordinary shares, par 100 Austrian schillings
VA-TECHNOLOGIE AG
Ordinary Bearer shares, par 100 Austrian schillings
VOEST-ALPHINE STAHL'S STRAHAMMER
Ordinary shares, par 100 Austrian schillings
WIENERBERGER BAUSTOFFINDUSTRIE AG
Ordinary shares, par 100 Austrian schillings
BELGIUM
ALMANIJ-KREDIETBANK GROUP
No par participating certificates
ALMANIJ-KREDIETBANK GROUP
VVPR Shares
ARBED-ACIER REUNIE DE BURBACH-EICH-DUDEL
No par participating certificates
BANQUE BRUXELLES LAMBERT
Ordinary shares, no par
BBL (BANQUE BRUX LAMB)
Ordinary shares, no par
BEKAERT NV
No par participating certificates
C BELGE D'PARTI PARIBAS--VPR (COBEPA)
Ordinary shares, no par
CIMENTERIES CBR CEMENTBEDRIJVEN SA
No par parts sociales
COMPAGNIE BENELUX PARIBAS SA
No par participating certificates
ELECTRABEL SA
No par participating certificates
ELECTRAFINA
Ordinary shares, no par
ETABLIS. DELHAIZE FRERES & CIE LE LION
No par participating certificates
FORTIS AG
Ordinary shares, no par
GENERALE DE BANQUE SA
No par actions ordinaires
GEVAERT-PHOTO PRODUITS SA
No par capital actions ordinaires
GIB SA
No par participating certficates
GROUPE BRUXELLES LAMBERT SA
No par participating certficates
KREDIETBANK NV
Ordinary shares, no par
KREDIETBANK NV
VVPR Shares
PETROFINA SA
Ordinary shares, no par
POWERFIN SA
No par participating certificates
ROYALE BELGE SA
No par participating certificates
SOCIETE GENERALE DE BELGIQUE SA
No par participating certificates
SOLVAY SA
Ordinary shares, no par
TRACTEBEL SA
Ordinary shares, no par
UCB SA
No par ordinary capital
UCB SA
No par capital
IL
ARACRUZ CELULOSE S.A.
No par non-voting, Class B Preferred
BANCO BRADESCO S.A.
No par non-voting, preferred
BANCO DO BRASIL S.A.
No par non-voting, preferred
BANCO ITAU S.A.
No par non-voting, preferred
BRASMOTOR S.A.
No par preferred
CENTRAIS ELECTRICAS BRASILEIRAS (ELETROBRAS)
No par class B non-voting, preferred
CESP--COMPANHIA ENERGETICA DE SAO PAULO
[[Page 39563]]
No par non-voting, convertible preferred
COMPANHIA CERVEJARIA BRAHNA
No par non-voting, preferred
COMPANHIA ENERGETICA DE MINAS GERAIS (CEMIG)
Preferred, par .00364 Brazilian real
COMPANHIA SIDERURGICA BELGO MINEIR
No par non-voting, preferred
COMPANHIA SIDERURGICA BELGO MINEIR
No par common
COMPANHIA SIDERURGICA TUBARAO
No par non-voting, Preferred B Shares
COMPANHIA SUZANO DE PAPEL CELULOSE PN
No par non-voting, preferred
COMPANHIA VIDRARIA SANTA MARINA ON
No par common
DURATEX S.A.
Share Capital, par .00105 Brazilian real
IND. KLABIN PAPEL E CELULOSE
No par non-voting, preferred
INVESTIMENTOS ITAU S.A.
No par non-voting, preferred
LOJAS AMERICANAS S.A.
No par common
LOJAS AMERICANAS S.A.
No par non-voting, preferred
PETROBRAS DISTRIBUIDORA S.A.
Ordinary shares, no par
PETROBRAS DISTRIBUIDORA S.A.
No par non-voting, preferred
TELECOMUNICACOES BRASILEIRAS S.A. (TELEGRAS)
No par non-voting, preferred
TELECOMUNICACOES BRASILEIRAS S.A. (TELEGRAS)
No par common
TELECOMUNICACOES DE SAO PAULO S.A. (TELSP)
No par non-voting, preferred
USINAS SIDERUGICAS DE MINAS GERAIS S.A. (USIMINAS)
No par non-voting, preferred
VALE RIO DOCE NAVEGACAO
No par preferred
VALE RIO DOCE NAVEGACAO (DOCENAVE)
No par common
WHITE MARTINS S.A.
No par common
CANADA
ABITIBI-PRICE INC.
No par common
AFMS VIRIDIAN INC.
No par common
AGNICO-EAGLE MINES LIMITED
No par common
AIR CANADA
No par common
ALBERTA ENERGY COMPANY LTD.
No par common
ALCAN ALUMINIUM LIMITED
No par common
ANDERSON EXPLORATION LTD.
No par common
AVENDOR INC.
No par common
BANK OF MONTREAL
No par common
BANK OF NOVA SCOTIA, THE
No par common
BARRICK GOLD CORPORATION
No par common
BC TELECOM INC.
No par common
BCE INC.
No par common
BCE MOBILE COMMUNICATIONS INC.
No par common
BIOCHEM PHARMA INC.
No par common
BOMBARDIER INC.
No par Class B common
BRASCAN LIMITED
No par Class A common
BRE-X MINERALS LTD.
No par common
BRUNCOR INC.
No par common
CAE INC.
No par common
CAMBRIDGE SHOPPING CENTRES LIMITED
No par common
CAMECO CORPORATION
No par common
CANADIAN IMPERIAL BANK OF COMMERCE
No par common
CANADIAN MARCONI COMPANY
No par common
CANADIAN NATIONAL RAILWAY
No par common
CANADIAN NATURAL RESOURCES LTD.
No par common
CANADIAN OCCIDENTAL PETROLEUM LTD.
No par common
CANADIAN PACIFIC LIMITED
Ordinary shares, no par
CANADIAN TIRE CORPORATION LIMITED
No par Class A common
CANADIAN UTILITIES LTD.
No par Class A common
CANFOR CORPORATION
No par common
COCA-COLA BEVERAGES LTD.
No par common
COGNOS INC.
No par common
COMINCO LTD.
No par common
DIAMOND FIELDS RESOURCES INC.
No par common
DOFASCO INC.
No par common
DOMINION TEXTILE INC.
No par common
DOMTAR INC.
No par common
DONOHUE INC.
No par class A Subordinate-voting common
DUNDEE BANCORP INC.
No par class A Subordinate-voting common
ECHO BAY MINES LTD.
No par common
EDPER GROUP LIMITED
No par Class A common
EXTENDICARE INC.
No par Class A Subordinate-voting common
FAIRFAX FINANCIAL HOLDINGS LTD.
No par multiple-voting
FALCONBRIDGE LIMITED
No par common
FLETCHER CHALLENGE CANADA LTD.
No par Class A common
FOUR SEASONS HOTELS LTD.
No par Subordinate Voting
FRANCO-NEVADA MINING CORP. LTD.
No par common
GENDIS INC.
No par Class A Common
GENTRA INC.
No par common
GULF CANADA RESOURCES LIMITED
Ordinary shares, no par
HEES INTERNATIONAL BANCORP INC.
No par common
HEMLO GOLD MINES INC.
No par common
HOLLINGER INC.
No par common
HORSHAM CORP.
No par Subordinate-voting
IMASCO LIMITED
No par common
IMPERIAL OIL LIMITED
No par common
INCO LIMITED
No par common
INVESTORS GROUP INC.
No par common
IPL ENERGY INC.
No par common
JANNOCK LIMITED
No par common
KINROSS GOLD CORP.
No par common
LAIDLAW INC.
No par Class B common
LOBLAW COMPANIES
No par common
LOEWEN GROUP INC. THE
No par common
LONDON INSURANCE GROUP INC.
No par common
MACMILLAN BLOEDEL LIMITED
No par common
MAGNA INTERNATIONAL INC.
No par Subordinate-voting Class A
MARITIME TELEGRAPH & TELEPHONE CO., LTD.
[[Page 39564]]
No par common
METHANEX CORP.
No par common
MITEL CORPORATION
No par common
MOLSON COMPANIES LIMITED (THE)
No par Class A common
MOORE CORPORATION LIMITED
No par common
NATIONAL BANK OF CANADA
No par common
NATIONAL TRUSTCO INC
No par common
NEWBRIDGE NETWORKS CORP.
No par common
NORANDA FOREST INC.
No par common
NORANDA INC.
No par common
NORCEN ENERGY RESOURCES LIMITED
No par Subordinate-voting
NORTHERN TELECOM LIMITED
No par common
NOVA CORPORATION
No par common
OSHAWA GROUP LIMITED, THE
No par Class A Common
PETRO-CANADA
No par common
PLACER DOME, INC.
No par common
POCO PETROLEUMS LTD.
No par common
POTAS CORPORATION OF SASKATCHEWAN INC.
No par common
POWER CORPORATION OF CANADA
No par common
POWER FINANCIAL CORPORATION
No par common
PROVIGO INC.
$1.00 par common
RANGER OIL LIMITED
No par common
RENAISSANCE ENERGY LTD.
No par common
RIO ALGOM LIMITED
No par common
ROGERS COMMUNICATIONS INC.
No par Class B common
ROYAL BANK OF CANADA
No par common
RUSSEL METALS INC.
No par Class A common
SCOTT'S HOSPITALITY INC.
No par common subordinate-voting
SEAGRAM COMPANY LTD., THE
No par common
SEARS CANADA INC.
No par common
SHELL CANADA LTD.
No par Class A common
SOUTHAM INC.
No par common
SPAR AEROSPACE LIMITED
No par common
ST. LAWRENCE CEMENT INC.
No par Class A common
STELCO INC.
No par Class A convertible common
STONE-CONSOLIDATED CORP.
No par common
SUNCOR INC.
No par common
TALISMAN ENERGY INC.
No par common
TECK CORPORATION
No par Class B common
TELUS CORP.
No par common
THOMSON CORPORATION
No par common
TORONTO DOMINION BANK, THE
No par common
TORONTO SUN PUBLISHING CORPORATION
No par common
TOTAL PETROLEUM (NORTH AMERICA) LTD.
No par common
TRANSALTA CORPORATION
No par common
TRANSCANADA PIPELINES LIMITED
No par common
TRILON FINANCIAL CORPORATION
No par Class A common
TRIMAC LIMITED
No par common
TVX GOLD INC.
No par common
UNITED DOMINION INDUSTRIES LTD.
No par common
WESTCOAST ENERGY INC
No par common
WESTON (GEORGE) LIMITED
No par common
DENMARK
A/S DET OSTASIATISKE KOMPAGNI
Share Capital, par 100 Danish krone
A/S TH. WESSEL & VETT, MAGASIN DU NORD
C Shares, par 100 Danish krone
AARHUS OLIEFABRIK A/S
A Shares, par 100 Danish krone
BIKUBEN GIROBANK A/S
Registered shares par 100 Danish krone
CARLSBERG A/S
B shares, par 20 Danish krone
CARLSBERG A/S
A Shares par 20 Danish krone
CHRISTIAN HANSEN HOLDING A/S
B shares, par 20 Danish krone
COLOPLAST A/S
B shares, par 20 Danish krone
DAMPSKIBSSELSKABET AF 1912 A/S
B shares, par 1000 Danish krone
DAMPSKIBSSELSKABET SVENDBORG A/S
B shares, par 1000 Danish krone
DANISCO A/S
Share Capital, par 20 Danish krone
DEN DANSKE BANK A/S
Share Capital, par 100 Danish krone
FLS INDUSTRIES A/S
B shares, par 100 Danish krone
GN STORE NORD A/S (GN GREAT NORDIC LTD.)
Share Capital, par Danish krone
ICOPAL A/S
Share Capital, par 100 Danish krone
ISS-INTERNATIONAL SERVICE SYSTEM A/S
B shares, par 20 Danish krone
J. LAURITZEN HOLDING A/S
B shares, par 20 Danish krone
JYSKE BANK A/S
Registered shares par 100 Danish krone
KOBENHAVNS LUFTHAVNE A/S
B shares, par 100 Danish krone
NKT HOLDING A/S
Share Capital, par 100 Danish krone
NOVO NORDISK A/S
B shares, par 20 Danish krone
RADIOMETER A/S
B shares, par 20 Danish krone
SAS DANMARK A/S
Free Shares, par 10 Danish krone
SOPHUS BERENDSEN A/S
B shares, par 20 Danish krone
SOPHUS BERENDSEN A/S
A Shares, par 20 Danish krone
SUPERFOS A/S
Share Capital, par 100 Danish krone
TELE DANMARK A/S
B shares, par 10 Danish krone
TOPDANMARK A/S
Registered shares par 100 Danish krone
UNIDANMARK A/S
Registered A shares par 100 Danish krone
FINLAND
CULTOR OY
Series 2, par 12 Finnish markka
CULTOR OY
Series 1, par 12 Finnish markka
ENSO OY
Registered Shares par 10 Finnish markka
HUHTAMAKI OY
I Shares, par 20 Finnish markka
HUHTAMAKI OY
K Shares, par 20 Finnish markka
KESKO OY
Ordinary Convertible par 10 Finnish markka
KONE OY
B Shares, par 50 Finnish markka
MERITA LTD
A Shares, par 5 Finnish markka
MERITA LTD
B Shares, par 5 Finnish markka
METRA OY
B Shares, par 20 Finnish markka
METRA OY
A Shares, par 20 Finnish markka
METSA-SERLA OY
B Ordinary Shares, par 10 Finnish markka
METSA-SERLA OY
A Ordinary Shares, par 10 Finnish markka
[[Page 39565]]
OUTOKUMPU OY
A Ordinary Shares, par 10 Finnish markka
OY NOKIA AB
K Shares, par 5 Finnish markka
OY NOKIA AB
Preferrerd A Shares, par 5 Finnish markka
OY STOCKMANN AB
A Ordinary Shares, par 20 Finnish markka
POHJOLA OY
A Shares, par 5 Finnish markka
POHJOLA OY
B Shares, par 5 Finnish markka
RAUMA OY
A Shares, par 10 Finnish markka
RAUTARUUKKI OY
K Series, par 10 Finnish markka
REPOLA OY
Ordinary shares, par 10 Finnish markka
VALMET OY CORP
Share Capital par 10 Finnish markka
FRANCE
ACCOR SA
Ordinary shares, par 100 French francs
ALCATEL ALSTHOM CIE GENERALE D'ELEC. SA
Ordinary shares, par 40 French francs
ASSURANCES GENERALES DE FRANCE SA
Ordinary Bearer shares, par 30 French francs
AXA SA
Ordinary shares, par 60 French francs
BANQUE NATIONALE DE PARIS SA
Ordinary shares, par 25 French francs
BERTRAND FAURE SA
Ordinary shares, par 5 French francs
BONGRAIN SA
Ordinary shares, par 50 French francs
BOUYGUES SA
Ordinary shares, par 50 French francs
C.P.R. CIE PARISIENNE DE REESCOMPTE
Ordinary shares, par 50 French francs
CANAL PLUS
Ordinary shares, par 20 French francs
CARREFOUR SA
Ordinary shares, par 100 French francs
CASINO GUICHARD PERRACHON SA
Ordinary shares, par 10 French francs
CASINO GUICHARD PERRACHON SA
Priority shares par 10 French francs
CASTORAMA DUBOIS INVESTISSEMENTS SCA
Ordinary shares, par 25 French francs
CGIP-CIE GENERALE D'INDUSTRIE ET DE PART
Ordinary shares, par 100 French francs
CGS (FRANCE)
Ordinary shares, par 40 French francs
CHRISTIAN DIOR SA
Ordinary shares, par 52 French francs
CIE GENERALE DES ETABLISSEMENTS MICHELIN
B Ordinary Registered shares, par 12 French francs
CLUB MEDITERRANEE SA
Ordinary shares, par 25 French francs
COMPAGNIE BANCAIRE SA
Ordinary shares, par 100 French francs
COMPAGNIE DE SAINT-GOBAIN SA
Ordinary shares, par 100 French francs
COMPAGNIE DE SUEZ SA
Ordinary shares, par 75 French francs
COMPAGNIE FINANCIERE DE PARIBAS
A Ordinary shares, par 50 French francs
COMPAGNIE GENERALE DE GEOPHYSIQUE SA
Ordinary shares, par 10 French francs
COMPAGNIE GENERALE DES EAUX SA
Ordinary shares, par 100 French francs
COMPAGNIE UAP SA
Ordinary shares, par 10 French francs
COMPTOIRS MODERNES SA
Ordinary shares, par 100 French francs
CREDIT COMMERCIAL DE FRANCE SA
Ordinary shares, par 25 French francs
CREDIT FONCIER DE FRANCE SA
Ordinary shares, par 100 French francs
CREDIT LOCAL DE FRANCE SA
Ordinary shares, par 100 French francs
CREDIT NATIONAL SA
Ordinary shares, par 100 French francs
DAMART SA
Ordinary shares, par 50 French francs
DMC-DOLLFUS-MIEG & CIE SA
Ordinary shares, par 75 French francs
DOCKS DE FRANCE SA
Ordinary shares, par 10 French francs
ECCO SA
Ordinary shares, par 25 French francs
ELF AQUITAINE SA
Ordinary shares, par 50 French francs
ERIDANIA BEGHIN-SAY SA
Ordinary shares, par 65 French francs
ESSILOR INTERNATIONAL SA
Ordinary shares, par 20 French francs
EURAFRANCE SA
Ordinary shares, par 200 French francs
EURO DISNEY SCA
Ordinary shares, par 5 French francs
EUROTUNNEL ESA EPLC
Ordinary shares, no par
FINANCIERE INDUSTRIELLE GAZ ET EAUX SA
Ordinary shares, par 50 French francs
FINEXTEL SA
Ordinary shares, par 100 French francs
FROMAGERIES BEL SA
Ordinary shares, par 50 French francs
GROUPE DANONE SA
Ordinary shares, par 10 French francs
GROUPE SEB SA
Ordinary shares, par 20 French francs
GTM-ENTREPOSE SA
Ordinary shares, par 50 French francs
HAVAS ADVERTISING SA
Ordinary shares, par 50 French francs
HAVAS SA
Ordinary shares, par 15 French francs
IMETAL SA
Ordinary shares, par 50 French francs
L'AIR LIQUIDE SA
Ordinary shares, par 70 French francs
L'OREAL SA
Ordinary shares, par 10 French francs
LABINAL SA
Ordinary shares, par 100 French francs
LAFARGE SA
Ordinary shares, par 25 French francs
LAGARDERE GROUPE SCA
Registered shares, par 40 French francs
LEGRAND SA
Ordinary shares, par 10 French francs
LEGRIS INDUSTRIES SA
Ordinary shares, par 20 French francs
LVMH MOET-HENNESSY LOUIS VUITTON SA
Ordinary shares, par 10 French francs
LYONNAISE DES EAUX SA
Ordinary shares, par 60 French francs
MOULINEX SA
Ordinary shares, par 10 French francs
NORD EST SA
Ordinary shares, par 50 French francs
PECHINEY
A Common, par 100 French francs
PERNOD RICARD SA
Ordinary shares, par 20 French francs
PEUGEOT SA
Ordinary shares, par 35 French francs
PINAULT-PRINTEMPS REDOUTE SA
Ordinary shares, par 100 French francs
POLIET SA
Ordinary shares, par 50 French francs
PROMODES SA
Ordinary shares, par 20 French francs
RENAULT SA (REGIE NATIONALE DES USINES)
Ordinary shares, par 25 French francs
RHONE-POULENC SA
A Ordinary shares, par 25 French francs
ROUSSEL UCLAF SA
Ordinary shares, par 20 French francs
SAGEM SA
Ordinary shares, par 50 French francs
SAINT LOUIS SA
Ordinary shares, par 100 French francs
SALOMON SA
Ordinary shares, par 25 French francs
SANOFI SA
Ordinary shares, par 25 French francs
SCHNEIDER SA
[[Page 39566]]
Ordinary shares, par 50 French francs
SEFIMEG-STE FRAN INVEST IMMOB ET DE GEST
Registered shares, par 100 value French francs
SIDEL SA
Ordinary shares, par 60 French francs
SILIC-STE IMMOB LOC POUR L'INDUS & COMM
Ordinary shares, par 100 French francs
SIMCO SA
Registered shares, par 100 French francs
SOCIETE BIC SA
Ordinary shares, par 50 French francs
SOCIETE DES IMMEUBLES DE FRANCE SA
Ordinary shares, par 50 French francs
SOCIETE FINANCIERE INTERBAIL SA
Ordinary shares, par 100 French francs
SOCIETE FONCIERE LYONNAISE SA
Ordinary shares, par 50 French francs
SOCIETE GENERALE DE FRANCE SA
Ordinary shares, par 30 French francs
SOMMER-ALLIBERT SA
Ordinary shares, par 50 French francs
SYNTHELABO SA
Ordinary shares, par 10 French francs
TAITTINGER SA
Ordinary shares, par 150 French francs
THOMSON-CSF SA
Ordinary shares, par 20 French francs
TOTAL SA
B Ordinary shares, par 50 French francs
UIF-UNION IMMOBILIERE DE FRANCE SA
Ordinary shares, par 100 French francs
UNIBAIL SA
Registered shares, par 100 French francs
UNION FRANCAISE DE BANQUES LOCABAIL SA
Ordinary shares, par 100 French francs
USINOR SACILOR
Common shares par 40 French francs
VALEO SA
Ordinary shares, par 20 French francs
VALLOUREC SA
Ordinary shares, par 100 French francs
WORMS ET COMPAGNIE SCA
Registered shares, par 12 French francs
GERMANY
AACHENER UND MUENCHENER BETEILIGUNGS-AG
Registered shares, par DM 50
AACHENER UND MUENCHENER BETEILIGUNGS-AG
Bearer shares par DM 50
ADIDAS AG
Bearer shares par DM 50
AGIV AG FUER INDUSTRIE UND VERKEHRSWESEN
Common shares par DM 5
ALLIANZ AG HOLDING
Registered shares par DM 50
ALTANA INDUSTRIE-AKTIEN UND ANLAGEN AG
Bearer shares par DM 50
ASKO DEUTSCHE KAUFHAUS AG
Bearer shares par DM 50
AXEL SPRINGER VERLAG AG
Bearer shares par DM 50
BASF AG
Bearer shares, par DM 50
BAYER AG
Bearer shares, par DM 5
BAYERISCHE HYPOTHEKEN-UND WECHSEL-BANK
Bearer shares, par DM 5
BAYERISCHE MOTOREN WERKE AG
Bearer shares, par DM 50
BAYERISCHE MOTOREN WERKE AG
Non-Voting Preferred, par DM 50
BAYERISCHE VEREINSBANK AG
Bearer shares, par DM 5
BEIERSDORF AG
Series A, B, C, par DM 50
BERLINER KRAFT-UND LICHT (BEWAG)-AG
Series A, par DM 50
BHF BANK AG
Bearer shares, par DM 5
BILFINGER + BERGER BAU-AG
Bearer shares, par DM 50
CKAG COLONIA KONZERN AG
Registered shares par DM 50
COMMERZBANK AG
Registered shares par DM 50
CONTINENTAL AG
Bearer shares, par DM 5
DAIMLER-BENZ AG
Bearer shares, par DM 50
DEGUSSA AG
Bearer shares, par DM 50
DEUTSCHE BABCOCK AG
Bearer shares, par DM 50
DEUTSCHE BANK AG
Bearer shares, par DM 5
DEUTSCHE LUFTHANSA AG
Bearer shares, par DM 50
DOUGLAS HOLDING AG
Bearer shares, par DM 5
DRESDNER BANK AG
Bearer shares, par DM 5
GEHE AG
Bearer shares, par DM 50
HEIDELBERGER ZEMENT AG
Bearer shares, par DM 50
HENKEL KGAA
Non-voting Preferred, par DM 50
HOCHTIEF AG VORM. GEBR. HELFMANN
Bearer shares, par DM 50
HOECHST AKTIENGESELLSCHAFT
Bearer shares, par DM 5
KARSTADT AG
Bearer shares, par DM 50
KAUFHOF HOLDING AG
Bearer shares, par DM 50
KAUFHOF HOLDING AG
Non-Voting Preferred, par DM 50
LINDE AG
Bearer shares, par DM 50
MAN AG
Bearer shares, par DM 50
MAN AG
Non-Voting preferred, par DM 50
MANNESMANN AG
Bearer shares, par DM 50
METALLGESELLSCHAFT AG
Bearer shares, par DM 5
MUENCHENER RUECKVERSICHERUNGS-GES. AG
Bearer shares, par DM 50
MUENCHENER RUECKVERSICHERUNGS-GES. AG
Registered Shares, par 100
PHILIPP HOLZMANN AG
Bearer shares, par DM 50
PREUSSAG AG
Bearer shares, par DM 50
PWA PAPIERWERKE WALDHOF-ASCHAFFENBURG AG
Bearer shares, par DM 50
RHEINELEKTRA AG
Bearer shares, par DM 50
RWE AKTIENGESELLSCHAFT
Bearer shares, par DM 5
RWE AKTIENGESELLSCHAFT
Non-Voting Preferred, par DM 5
SAP AG
Non-Voting Preferred, par DM 5
SCHERING AG
Bearer shares, par DM 5
SIEMENS AG
Bearer shares, par DM 5
THYSSEN AG VORM. AUGUST THYSSEN-HUETTE
Bearer shares, par DM 50
VEBA AG
Bearer shares, par DM 5
VEW AG
Bearer shares, par DM 50
VIAG AG
Bearer shares, par DM 50
VICTORIA HOLDING AG
Registered Shares, par DM 50
VOLKSWAGEN AG
Bearer shares, par DM 50
VOLKSWAGEN AG
Non-Voting Preferred, par DM 50
HONG KONG
AMOY PROPERTIES LIMITED
HK$1.00 par ordinary shares
BANK OF EAST ASIA, LIMITED
HK$2.50 par ordinary shares
CATHAY PACIFIC AIRWAYS LIMITED
HK$0.20 par ordinary shares
CDL HOTELS INTERNATIONAL LTD
HK$1.00 par ordinary shares
CHEN HSONG HOLDINGS LTD
HK$0.10 par ordinary shares
CHEUNG KONG (HOLDINGS) LIMITED
HK$0.50 par ordinary shares
CHINA LIGHT & POWER COMPANY, LIMITED
HK$5.00 par ordinary shares
[[Page 39567]]
CHINA MOTOR BUS CO., LTD.
HK$2.00 par ordinary shares
CHINESE ESTATES HOLDINGS LTD
HK$0.10 par ordinary shares
CITIC PACIFIC LTD.
HK$0.40 par ordinary shares
CROSS-HARBOUR TUNNEL COMPANY, LTD
HK$1.00 par ordinary shares
DAIRY FARM INTERNATIONAL HOLDINGS LTD.
Ordinary shares, HK$1.00 par
DAO HENG BANK LTD
HK$1.00 par ordinary shares
DICKSON CONCEPTS (INTERNATIONAL) LIMITED
HK$0.10 par ordinary shares
FIRST PACIFIC HOLDINGS LTD
Ordinary shares, $.01 par
GREAT EAGLE HOLDINGS LIMITED
HK$0.50 par ordinary shares
GUOCO GROUP LTD
Ordinary shares, $.50 par
HANG LUNG DEVELOPMENT COMPANY LIMITED
HK$1.00 par ordinary shares
HANG SENG BANK LIMITED
HK$5.00 par ordinary shares
HARBOUR CENTRE DEVELOPMENT LIMITED
HK$0.50 par ordinary shares
HENDERSON INVESTMENT LIMITED
HK$0.20 par ordinary shares
HENDERSON LAND DEVELOPMENT CO LTD
HK$2.00 par ordinary shares
HONG KONG AIRCRAFT ENGINEERING COMPANY
HK$1.00 par ordinary shares
HONG KONG AND CHINA GAS COMPANY LIMITED
HK$0.25 par ordinary shares
HONG KONG ELECTRIC HOLDINGS LIMITED
HK$1.00 par ordinary shares
HONG KONG TELECOMMUNICATIONS LTD.
HK$0.50 par ordinary shares
HONGKONG AND SHANGHAI HOTELS, LIMITED
HK$0.50 par ordinary shares
HONGKONG LAND HOLDINGS LTD
Ordinary shares, $0.10 par
HOPEWELL HOLDINGS LIMITED
HK$0.50 par ordinary shares
HUTCHISON WHAMPOA LIMITED
HK$0.25 par ordinary shares
HYSAN DEVELOPMENT COMPANY LIMITED
HK$5.00 par ordinary shares
JARDINE INTERNATIONAL MOTOR HOLDINGS LTD
Ordinary shares, $0.025 par
JARDINE MATHESON HOLDINGS LIMITED
Ordinary shares, $0.25 par
JARDINE STRATEGIC HOLDINGS LIMITED
Ordinary shares, $.05 par
JOHNSON ELECTRIC HOLDINGS LIMITED
HK$0.10 par ordinary shares
KOWLOON MOTOR BUS COMPANY (1933) LTD
HK$1.00 par ordinary shares
MANDARIN ORIENTAL INTERNATIONAL LIMITED
Ordinary shares, $.05 par
MIRAMAR HOTEL & INVESTMENT CO., LTD.
HK$0.70 par ordinary shares
NATIONAL MUTUAL ASIA LTD.
HK$0.05 par ordinary shares
NEW ASIA REALTY AND TRUST CO. LTD.
HK$1.00 par A Ordinary shares
NEW WORLD DEVELOPMENT CO LIMITED
HK$1.00 par ordinary shares
PEREGRINE INVESTMENT HOLDINGS LTD.
Ordinary, par HK $0.60
REALTY DEVELOPMENT CORP.
HK$1.00 par A Ordinary shares
SEMI-TECH (GLOBAL) CO., LTD.
HK$1.00 par ordinary shares
SHANGRI-LA ASIA LTD.
HK$1.00 par ordinary shares
SHAW BROTHERS (HONG KONG) LIMITED
HK$0.25 par ordinary shares
SHUN TAK HOLDINGS LIMITED
HK$0.25 par ordinary shares
SIME DARBY HONG KONG LIMITED
HK$0.50 par ordinary shares
SINO LAND COMPANY LIMITED
HK$1.00 par ordinary shares
SOUTH CHINA MORNING POST (HOLDINGS) LTD.
HK$0.10 par ordinary shares
SUN HUNG KAI & CO. LIMITED
HK$1.00 par ordinary shares
SUN HUNG KAI PROPERTIES LIMITED
HK$0.50 par ordinary shares
SWIRE PACIFIC LIMITED
HK$0.60 par A Ordinary shares
SWIRE PACIFIC LIMITED
HK$0.12 par B Ordinary shares
TELEVISION BROADCASTS LIMITED
HK$0.05 par ordinary shares
VARITRONIX INTERNATIONAL LTD.
HK$0.25 par ordinary shares
WHARF (HOLDINGS) LIMITED
HK$1.00 par ordinary shares
WHEELOCK AND COMPANY LTD.
HK$0.50 par ordinary shares
WING ON COMPANY INTERNATIONAL LIMITED
HK$0.10 par ordinary shares
WINSOR INDUSTRIAL CORPORATION LTD.
HK$0.50 par ordinary shares
INDONESIA
PT ASTRA INTERNATIONAL INC.
Share capital, par 1000 Indonesian rupiah
PT BANK DAGANG NASIONAL INDONESIA
Share capital, par 1000 Indonesian rupiah
PT BANK DANAMON
Share capital, par 1000 Indonesian rupiah
PT BANK INTERNATIONAL INDONESIA
Share capital, par 1000 Indonesian rupiah
PT BANK TIARA ASIA
Share capital, par 1000 Indonesian rupiah
PT BIMANTARA CITRA
Share capital, par 1000 Indonesian rupiah
PT CIPUTRA DEVELOPMENT
Share capital, par 1000 Indonesian rupiah
PT CITRA MARGA NUSAPHALA
Share capital, par 1000 Indonesian rupiah
PT GAJAH TUNGGAL
Common par 1000 Indonesian rupiah
PT GUDANG GARAM
Share capital, par 1000 Indonesian rupiah
PT HANDJAJA MANDALA SAM POERNA
Share capital, par 1000 Indonesian rupiah
PT INDOMENT TUNGGAL PRAKARSA
Share capital, par 1000 Indonesian rupiah
PT INDONESIAN SATELLITE
Share capital, par 1000 Indonesian rupiah
PT INDORAMA SYNTHETICS
Share capital, par 1000 Indonesian rupiah
PT JAKARTA INTERNATIONAL HOTEL & DEVELOPMENT
Share capital, par 1000 Indonesian rupiah
PT KALBE FARMA
Share capital, par 1000 Indonesian rupiah
PT KAWASAN INDUSTRIAL JABABEKA
Share capital, par 1000 Indonesian rupiah
PT LIPPO BANK
Share capital, par 1000 Indonesian rupiah
PT LIPPO LAND DEVELOPMENT
Share capital, par 1000 Indonesian rupiah
PT MAYORA INDAH
Share capital, par 1000 Indonesian rupiah
PT MODERN PHOTO FILM COMPANY
Share capital, par 1000 Indonesian rupiah
PT PABRIK KER TAS TJIWI KIMIA
Share capital, par 1000 Indonesian rupiah
PT PANIN BANK
Share capital, par 1000 Indonesian rupiah
PT SEMEN GRESIK
[[Page 39568]]
Share capital, par 1000 Indonesian rupiah
PT SINAR MAS MULTIARTHA
Share capital, par 1000 Indonesian rupiah
PT TELEKOMUNIKASI INDONESIA
Series B Common Shares, par 1000 Indonesian rupiah
PT UNITED TRACTORS
Common par 1000 Indonesian rupiah
IRELAND
ALLIED IRISH BANKS PLC
Ordinary shares, par .25 Irish pound
BANK OF IRELAND
Capital Stock par 1 Irish pound
BARLO GROUP PLC
Ordinary shares, par .10 Irish pound
CLONDALKIN GROUP PLC
A Ordinary shares, par .25 p
CRH PLC
Ordinary shares, par .25 Irish pound
DCC PLC
Ordinary shares, par .20 Irish pound
FYFFES PLC
Ordinary shares, par .05 Irish pound
GREENCORE GROUP PLC
Ordinary shares, par .50 Irish pound
INDEPENDENT NEWSPAPERS PLC
Ordinary shares, par .25 Irish pound
IRISH LIFE PLC
Ordinary shares, par .10 Irish pound
IWP INTERNATIONAL PLC
A Ordinary shares, par .25 Irish pound
JAMES CREAN PLC
Ordinary shares, no par
JEFFERSON SMURFIT GROUP PLC
Ordinary shares, par .25 Irish pound
KERRY GROUP PLC
A Ordinary shares, par .10 Irish pound
WATERFORD WEDGWOOD PLC
Ordinary shares, par .05 Irish pound
WOODCHESTER INVESTMENTS PLC
A Ordinary shares, par .20 Irish pound
ITALY
ALLEANZA ASSICURAZIONI SPA
Ordinary shares, par 500 lira
ALLEANZA ASSICURAZIONI SPA
Non-convertible savings shares, par 500 lira
ASSICURAZIONI GENERALI SPA
Ordinary shares, par 2000 lira
BANCA COMMERCIALE ITALIANA SPA
Ordinary shares, par 1000 lira
BANCA COMMERCIALE ITALIANA SPA
Non-convertible savings shares, par 1000 lira
BANCO AMBROSIANO VENETO SPA
Ordinary shares, par 1000 lira
BANCO AMBROSIANO VENETO SPA
Non-convertible savings shares, par 1000 lira
CARTIERE BURGO SPA
Ordinary shares, par 5000 lira
CIR-COMPAGNIE INDUSTRIALI RIUNITE SPA
Ordinary shares, par 1000 lira
CIR-COMPAGNIE INDUSTRIALI RIUNITE SPA
Non-convertible savings shares, par 1000 lira
COMPAGNIA DI ASSICURAZIONI DI MILANO SPA
Ordinary shares, par 1000 lira
CREDITO ITALIANO SPA
Ordinary shares, par 500 lira
CREDITO ITALIANO SPA
Non-convertible savings shares, par 500 lira
EDITORIALE L'ESPRESSO SPA
Ordinary shares, par 1000 lira
ENI S.P.A.
Ordinary shares, par 1000 lira
FIAT SPA
Ordinary shares, par 1000 lira
FIAT SPA
Preferred Shares, par 1000 lira
FIAT SPA
Non-convertible savings shares, par 1000 lira
FIDIS FINANZIARIA DI SVILUPPO SPA
Ordinary shares, par 1000 lira
GEMINA GEN MOBIL INTER AZIONARIE SPA
Ordinary shares, par 500 lira
IFIL-FINANZIARIA DI PARTECIPAZIONI
Ordinary shares, par 1000 lira
IFIL-FINANZIARIA DI PARTECIPAZIONI
Non-convertible savings shares, par 1000 lira
ISTITUTO FINANZIARIO INDUSTRIALE SPA
Preferred Shares, par 1000 lira
ISTITUTO MOBILIARE ITALIANO SPA
Ordinary shares, par 5000 lira
ISTITUTO NAZIONALE DELLE ASSICURAZIONI
Ordinary shares, par 1000 lira
ITALCEMENTI SPA
Ordinary shares, par 2000 lira
ITALCEMENTI SPA
Savings Shares, par 2000 lira
ITALGAS SOCIETA ITALIANA PER IL GAS PA
Ordinary shares, par 1000 lira
LA FONDIARIA ASSICURAZIONI SPA
Ordinary shares, par 1000 lira
MAGNETI MARELLI SPA
Ordinary shares, par 1000 lira
MANIFATTURA LANE G. MARZOTTO & FIGLI SPA
Ordinary shares, par 1000 lira
MEDIOBANCA-BANCA DI CREDITO FINANZIARIO
Ordinary shares, par 1000 lira
MONTEDISON SPA
Ordinary shares, par 1000 lira
MONTEDISON SPA
Non-convertible savings shares, par 1000 lira
OLIVETTI SPA
Ordinary shares, par 1000 lira
PIRELLI SPA
Ordinary shares, par 1000 lira
RINASCENTE LA SPA
Ordinary shares, par 1000 lira
RIUNIONE ADRIATICA DI SICURTA SPA
Ordinary shares, par 1000 lira
RIUNIONE ADRIATICA DI SICURTA SPA
Non-convertible savings shares, par 1000 lira
SAIPEM SPA
Ordinary shares, par 1000 lira
SAN PAOLO BANK HOLDING SPA
Ordinary shares, par 1000 lira
SASIB SPA
Ordinary shares, par 1000 lira
SASIB SPA
Non-convertible savings shares, par 1000 lira
SIRTI SPA
Ordinary shares, par 1000 lira
SME SOCIETA MERIDIONALE FINANZIARIA
Ordinary shares, par 1000 lira
SNIA BPD SPA
Ordinary shares, par 1000 lira
SOCIETA ASSICURATRICE INDUSTRIALE SPA
Ordinary shares, par 1000 lira
SOCIETA ASSICURATRICE INDUSTRIALE SPA
Non-convertible savings shares, par 1000 lira
STET SOC. FINANZIARIA TELEFONICA PA
Ordinary shares, par 1000 lira
STET SOC. FINANZIARIA TELEFONICA PA
Non-convertible savings shares, par 1000 lira
TELECOM ITALIA MOBILE S.P.A.
Savings Shares, par 1000 lira
TELECOM ITALIA MOBILE S.P.A.
Ordinary shares, par 1000 lira
TELECOM ITALIA SPA
Ordinary shares, par 1000 lira
TELECOM ITALIA SPA
Savings Shares, par 1000 lira
TORO ASSICURAZIONI CIA ANOMIA D'ASSICU.
Preferred Shares, par 1000 lira
TORO ASSICURAZIONI CIA ANOMIA D'ASSICU.
Ordinary shares, par 1000 lira
TORO ASSICURAZIONI CIA ANOMIA D'ASSICU.
Non-convertible savings shares, par 1000 lira
UNICEM SPA
Ordinary shares, par 1000 lira
UNICEM SPA
Non-convertible savings shares, par 1000 lira
JAPAN
ADVANTEST CORPORATION
[[Page 39569]]
50 par common
AISIN SEIKI CO., LTD.
50 par common
AIWA CO., LTD.
50 par common
AJINOMOTO CO., INC.
50 par common
AKITA BANK, LTD.
50 par common
ALL NIPPON AIRWAYS CO., LTD.
50 par common
ALPS ELECTRIC CO., LTD.
50 par common
AMADA CO., LTD.
50 par common
AMADA METRECS CO., LTD.
50 par common
AMANO CORPORATION
50 par common
ANRITSU CORPORATION
50 par common
AOKI CORPORATION
50 par common
AOKI INTERNATIONAL CO., LTD.
50 par common
AOMORI BANK, LTD.
50 par common
AOYAMA TRADING CO., LTD.
50 par common
ARABIAN OIL COMPANY, LTD.
50 par common
ASAHI BANK, LTD.
50 par common
ASAHI BREWERIES, LTD.
50 par common
ASAHI CHEMICAL INDUSTRY CO., LTD.
50 par common
ASAHI DIAMOND INDUSTRIAL CO., LTD.
50 par common
ASAHI GLASS COMPANY, LIMITED
50 par common
ASAHI OPTICAL CO., LTD.
50 par common
ASATSU INC.
50 par common
ASHIKAGA BANK, LTD. (THE)
50 par common
ASICS CORPORATION
50 par common
AT & T GLOBAL INFORMATION SOLUTIONS JAPAN, LTD.
50 par common
ATSUGI NYLON INDUSTRIAL CO., LTD.
50 par common
AUTOBACS SEVEN CO., LTD.
50 par common
BANDAI CO., LTD.
50 par common
BANK OF FUKUOKA, LTD.
50 par common
BANK OF HIROSHIMA
50 par common
BANK OF KINKI, LTD.
50 par common
BANK OF KYOTO, LTD.
50 par common
BANK OF NAGOYA, LTD.
50 par common
BANK OF TOKYO-MITSUBISHI LTD.
50 par common
BANK OF YOKOHAMA, LTD.
50 par common
BANYU PHARMACEUTICAL CO., LTD.
50 par common
BEST DENKI CO., LTD.
50 par common
BRIDGESTONE CORPORATION
50 par common
BROTHER INDUSTRIES, LTD.
50 par common
CALPIS FOOD INDUSTRY CO., LTD.
50 par common
CALSONIC CORPORATION
50 par common
CANON INC.
50 par common
CANON SALES CO., INC.
50 par common
CASIO COMPUTER CO., LTD.
50 par common
CENTRAL FINANCE CO., LTD.
50 par common
CENTRAL GLASS CO., LTD.
50 par common
CHIBA BANK, LTD.
50 par common
CHICHIBU ONODA CEMENT CORPORATION
50 par common
CHIYODA CORPORATION
50 par common
CHIYODA FIRE & MARINE INSURANCE CO., LTD.
50 par common
CHUBU ELECTRIC POWER COMPANY, INC.
50 par common
CHUDENKO CORP.
50 par common
CHUGAI PHARMECEUTICAL CO., LTD.
50 par common
CHUGOKU BANK, LTD.
50 par common
CHUGOKU ELECTRIC POWER COMPANY, INC.
50 par common
CHUO TRUST & BANKING COMPANY, LIMITED
50 par common
CITIZEN WATCH CO., LTD.
50 par common
CLARION CO., LTD.
50 par common
COSMO OIL COMPANY, LIMITED
50 par common
COSMO SECURITIES CO., LTD.
50 par common
CREDIT SAISON CO., LTD.
50 par common
CSK CORPORATION
50 par common
DAI NIPPON PRINTING CO., LTD.
50 par common
DAI-ICHI KANGYO BANK, LTD.
50 par common
DAI-TOKYO FIRE & MARINE INSURANCE CO.
50 par common
DAICEL CHEMICAL INDUSTRIES, LTD.
50 par common
DAIDO STEEL CO., LTD.
50 par common
DAIEI, INC. (THE)
50 par common
DAIFUKU CO., LTD.
50 par common
DAIHATSU MOTOR CO., LTD.
50 par common
DAIICHI CORP.
50 par common
DAIICHI PHARMACEUTICAL CO., LTD.
50 par common
DAIKEN CORP.
50 par common
DAIKIN INDUSTRIES, LTD.
50 par common
DAIKYO INCORPORATED
50 par common
DAIMARU, INC.
50 par common
DAINIPPON INK & CHEMICALS, INCORPORATED
50 par common
DAINIPPON PHARMACEUTICAL CO., LTD.
50 par common
DAINIPPON SCREEN MFG. CO., LTD.
50 par common
DAISHOWA PAPER MANUFACTURING CO., LTD.
50 par common
DAITO TRUST CONSTRUCTION CO., LTD.
50 par common
DAIWA BANK, LTD.
50 par common
DAIWA HOUSE INDUSTRY CO., LTD.
50 par common
DAIWA KOSHO LEASE CO., LTD.
50 par common
DAIWA SECURITIES CO., LTD.
50 par common
DENKI KAGAKU KOGYO
50 par common
DENNY'S JAPAN CO., LTD.
50 par common
DOWA FIRE & MARINE INSURANCE CO., LTD.
50 par common
DOWA MINING CO., LTD.
50 par common
EAST JAPAN RAILWAY COMPANY
50000 par common
EBARA CORPORATION
50 par common
EIGHTEENTH BANK, LTD.
50 par common
EISAI CO., LTD.
50 par common
EZAKI GLICO CO., LTD.
50 par common
FAMILYMART CO., LTD.
50 par common
[[Page 39570]]
FANUC LTD.
50 par common
FUDO CONSTRUCTION CO., LTD.
50 par common
FUJI BANK, LIMITED
50 par common
FUJI ELECTRIC CO., LTD.
50 par common
FUJI FIRE & MARINE INSURANCE CO., LTD.
50 par common
FUJI HEAVY INDUSTRIES, LTD.
50 par common
FUJI PHOTO FILM CO., LTD.
50 par common
FUJIKURA LTD.
50 par common
FUJISAWA PHARMACEUTICAL COMPANY LIMITED
50 par common
FUJITA CORPORATION
50 par common
FUJITA KANKO INC.
50 par common
FUJITSU LIMITED
50 par common
FUJIYA CO., LTD.
50 par common
FUKUYAMA TRANSPORTING CO., LTD.
50 par common
FURUKAWA CO., LTD.
50 par common
FURUKAWA ELECTRIC CO., LTD.
50 par common
FUTABA CORP.
50 par common
FUTABA INDUSTRIAL CO., LTD.
50 par common
GAKKEN CO., LTD.
50 par common
GENERAL SEKIYU K.K.
50 par common
GODO STEEL, LTD.
50 par common
GREEN CROSS CORPORATION
50 par common
GUN EI CHEMICAL INDUSTRY CO., LTD.
50 par common
GUNMA BANK, LTD.
50 par common
GUNZE LIMITED
50 par common
HACHIJUNI BANK, LTD.
50 par common
HANKYU CORPORATION
50 par common
HANKYU DEPARTMENT STORES, INC.
50 par common
HANSHIN ELECTRIC RAILWAY CO., LTD.
50 par common
HANWA CO., LTD.
50 par common
HASEKO CORPORATION
50 par common
HAZAMA CORPORATION
50 par common
HEIWA CORPORATION
No par 50 common
HEIWA REAL ESTATE CO., LTD.
50 common
HEIWADO CO., LTD.
50 common
HIGO BANK, LTD.
50 common
HINO MOTORS, LTD.
50 common
HIROSE ELECTRIC CO., LTD.
50 common
HIROSHIMA BANK, LTD. (THE)
50 common
HITACHI CABLE, LTD.
50 common
HITACHI CHEMICAL CO., LTD.
50 common
HITACHI CONSTRUCTION MACHINERY CO., LTD.
50 common
HITACHI CREDIT CORPORATION
50 common
HITACHI KOKI CO., LTD.
50 common
HITACHI MAXELL, LTD.
50 common
HITACHI METALS, LTD.
50 common
HITACHI SOFTWARE ENGNEERING CO. LTD.
50 common
HITACHI TRANSPORT SYSTEM LTD.
50 common
HITACHI ZOSEN CORPORATION
50 common
HITACHI, LTD.
50 common
HOKKAIDO BANK, LTD.
50 common
HOKKAIDO ELECTRIC POWER COMPANY, INC.
500 par 50 common
HOKKAIDO TAKUSHOKU BANK, LIMITED
50 common
HOKKOKU BANK, LTD.
50 common
HOKUETSU BANK, LTD
50 common
HOKUETSU PAPER MILLS, LTD.
50 common
HOKURIKU BANK, LTD., THE
50 common
HOKURIKU ELECTRIC POWER COMPANY 500 par 50 common
HONDA MOTOR CO., LTD.
50 common
HONSHU PAPER CO., LTD.
50 common
HOUSE FOODS CORPORATION
50 common
HOYA CORPORATION
50 common
INAX CORPORATION
50 common
INDUSTRIAL BANK OF JAPAN, LTD.
50 common
ISEKI & CO., LTD.
50 common
ISETAN COMPANY LIMITED
50 common
ISHIHARA SANGYO KAISHA, LTD.
50 common
ISHIKAWAJIMA-HARIMA HEAVY INDUSTRIES CO.
50 common
ISUZU MOTORS LIMITED
50 common
ITO-YOKADO CO., LTD.
50 common
ITOCHU CORPORATION
50 common
ITOHAM FOODS INC.
50 common
IWATANI INTERNATIONAL CORPORATION
50 common
IWATSU ELECTRIC CO., LTD.
50 common
IYO BANK, LTD.
50 common
IZUMI CO., LTD.
50 common
IZUMIYA CO., LTD.
50 common
JACCS CO., LTD.
50 common
JAPAN AIRLINES COMPANY, LTD.
50 common
JAPAN AIRPORT TERMINAL CO., LTD.
50 common
JAPAN DIGITAL LABORATORY CO., LTD.
50 common
JAPAN ENERGY CORPORATION
50 common
JAPAN METALS & CHEMICALS CO., LTD.
50 common
JAPAN RADIO CO., LTD.
50 common
JAPAN SECURITIES FINANCE CO., LTD.
50 common
JAPAN STEEL WORKS, LTD., THE
50 common
JAPAN STORAGE BATTERY CO., LTD.
50 common
JAPAN SYNTHETIC RUBBER CO., LTD.
50 common
JAPAN TELECOM CO., LTD
50000 par 50 common
JAPAN TOBACCO INC.
50000 par 50 common
JAPAN WOOL TEXTILE CO., LTD.
50 common
JGC CORPORATION
50 common
JOYO BANK, LTD.
50 common
JUROKU BANK, LTD
50 common
JUSCO CO., LTD.
50 common
KAGOME CO., LTD.
50 common
[[Page 39571]]
KAGOSHIMA BANK, LTD.
50 common
KAJIMA CORPORATION
50 common
KAKEN PHARMACEUTICAL CO., LTD.
50 common
KAMIGUMI CO., LTD.
50 common
KANDENKO CO., LTD.
50 par common
KANEBO, LTD.
50 par common
KANEKA CORPORATION
50 par common
KANEMATSU CORPORATION
50 par common
KANKAKU SECURITIES CO., LTD.
50 par common
KANSAI ELECTRIC POWER CO., INC., THE
500 par common
KANSAI PAINT CO., LTD.
50 par common
KAO CORPORATION
50 par common
KATOKICHI CO., LTD.
50 par common
KAWASAKI HEAVY INDUSTRIES, LTD.
50 par common
KAWASAKI KISEN KAISHA, LTD.
50 par common
KAWASAKI STEEL CORPORATION
50 par common
KAYABA INDUSTRY CO., LTD.
50 par common
KEIHIN ELECTRIC EXPRESS RAILWAY CO., LTD
50 par common
KEIO TEITO ELECTRIC RAILWAY CO., LTD.
50 par common
KEISEI ELECTRIC RAILWAY CO., LTD.
50 par common
KEIYO BANK, LTD.
50 par common
KEIYO CO., LTD.
50 par common
KENWOOD CORP.
50 par common
KEYENCE CORPORATION
50 par common
KIKKOMAN CORPORATION
50 par common
KINDEN CORPORATION
50 par common
KINKI NIPPON RAILWAY CO., LTD.
50 par common
KIRIN BREWERY COMPANY, LIMITED
50 par common
KISSEI PHARMACEUTICAL CO., LTD.
50 par common
KIYO BANK, LTD.
50 par common
KOA FIRE & MARINE INSURANCE CO., LTD.
50 par common
KOA OIL CO., LTD.
50 par common
KOBE STEEL, LTD.
50 par common
KOITO MANUFACTURING CO., LTD.
50 par common
KOKUSAI DENSHIN DENWA CO., LTD.
500 par common
KOKUSAI ELECTRIC CO., LTD.
50 par common
KOKUSAI SECURITIES CO., LTD.
50 par common
KOKUYO CO., LTD.
50 par common
KOMATSU LTD.
50 par common
KOMORI CORP.
50 par common
KONAMI CO., LTD.
50 par common
KONICA CORPORATION
50 par common
KOYO SEIKO CO., LTD.
50 par common
KUBOTA CORPORATION
50 par common
KUMAGAI GUMI CO., LTD.
50 par common
KURABO INDUSTRIES, LTD.
50 par common
KURARAY CO., LTD.
50 par common
KUREHA CHEMICAL INDUSTRY CO., LTD.
50 par common
KURIMOTO, LTD.
50 par common
KURITA WATER INDUSTRIES LTD.
50 par common
KYOCERA CORPORATION
50 par common
KYODO PRINTING CO., LTD.
50 par common
KYOWA EXEO CORP.
50 par common
KYOWA HAKKO KOGYO CO., LTD.
50 par common
KYUDENKO CORP.
50 par common
KYUSHU ELECTRIC POWER COMPANY INC.
500 par common
KYUSHU MATSUSHITA ELECTRIC CO., LTD.
50 par common
LION CORPORATION
50 par common
LONG-TERM CREDIT BANK OF JAPAN, LTD.
50 par common
MABUCHI MOTOR CO., LTD.
50 par common
MAEDA CORPORATION
50 par common
MAEDA ROAD CONSTRUCTION CO., LTD.
50 par common
MAKINO MILLING MACHINE CO., LTD.
50 par common
MAKITA CORPORATION
50 par common
MARUBENI CORPORATION
50 par common
MARUDAI FOOD CO., LTD.
50 par common
MARUETSU INC.
50 par common
MARUHA CORPORATION
50 par common
MARUI CO., LTD.
50 par common
MARUICHI STEEL TUBE LTD.
50 par common
MATSUSHITA COMMUNICATION INDUSTRIAL CO.
50 par common
MATSUSHITA ELECTRIC INDUSTRIAL CO., LTD.
50 par common
MATSUSHITA ELECTRIC WORKS, LTD.
50 par common
MATSUSHITA REFRIGERATION COMPANY
50 par common
MATSUSHITA SEIKO CO., LTD.
50 par common
MATSUSHITA-KOTOBUKI ELECTRONICS INDS.
50 par common
MATSUZAKAYA CO., LTD.
50 par common
MAX CO., LTD.
50 par common
MAZDA MOTOR CORPORATION
50 par common
MEIDENSHA CORP.
50 par common
MEIJI MI
FR Doc. 96-19163 Securities Credit Transactions; List of Marginable OTC Stocks; List of Foreign Margin Stocks
LK PRODUCTS CO., LTD.
50 par common
MEIJI SEIKA KAISHA, LTD.
50 par common
MERCIAN CORPORATION
50 par common
MICHINOKU BANK, LTD.
50 par common
MIKUNI COCA-COLA BOTTLING CO., LTD.
50 par common
MINEBEA CO., LTD.
50 par common
MINOLTA CO., LTD.
50 par common
MISAWA HOMES CO., LTD.
50 par common
MITSUBISHI CABLE INDUSTRIES, LTD.
50 par common
MITSUBISHI CHEMICAL CORPORATION
50 par common
MITSUBISHI CORPORATION
50 par common
MITSUBISHI ELECTRIC CORPORATION
50 par common
MITSUBISHI ESTATE COMPANY, LIMITED
50 par common
[[Page 39572]]
MITSUBISHI GAS CHEMICAL COMPANY, INC.
50 par common
MITSUBISHI HEAVY INDUSTRIES, LTD.
50 par common
MITSUBISHI LOGISTICS CORP
50 par common
MITSUBISHI MATERIALS CORPORATION
50 par common
MITSUBISHI MOTORS CORPORATION
50 par common
MITSUBISHI OIL COMPANY, LIMITED
50 par common
MITSUBISHI PAPER MILLS LIMITED
50 par common
MITSUBISHI PLASTICS INC.
50 par common
MITSUBISHI RAYON COMPANY, LIMITED
50 par common
MITSUBISHI STEEL MFG. CO., LTD.
50 par common
MITSUBISHI TRUST & BANKING CORPORATION
50 par common
MITSUBISHI WAREHOUSE & TRANSPORTATION CO., LTD.
50 par common
MITSUBOSHI BELTING LTD.
50 par common
MITSUI & CO., LTD.
50 par common
MITSUI CONSTRUCTION CO., LTD.
50 par common
MITSUI ENGINEERING & SHIPBUILDING CO., LTD
50 par common
MITSUI FUDOSAN CO., LTD.
50 par common
MITSUI MARINE & FIRE INSURANCE CO., LTD.
50 par common
MITSUI MINING & SMELTING CO., LTD.
50 par common
MITSUI O.S.K. LINES, LTD.
50 par common
MITSUI PETROCHEMICAL INDUSTRIES, LTD.
50 par common
MITSUI REAL ESTATE SALES CO., LTD.
50 par common
MITSUI TOATSU CHEMICALS, INC.
50 par common
MITSUI TRUST & BANKING COMPANY, LIMITED
50 par common
MITSUI-SOKO CO., LTD.
50 par common
MITSUKOSHI, LTD.
50 par common
MITSUMI ELECTRIC CO., LTD.
50 par common
MIZUNO CORPORATION
50 par common
MOCHIDA PHARMACEUTICAL CO., LTD.
50 par common
MORI SEIKI CO., LTD.
50 par common
MORINAGA AND COMPANY, LTD.
50 par common
MORINAGA MILK INDUSTRY CO., LTD.
50 par common
MURATA MANUFACTURING COMPANY, LTD.
50 par common
MUSASHINO BANK, LTD.
500 par common
MYCAL CORP
50 par common
NACHI-FUJIKOSHI CORP.
50 par common
NAGASAKIYA CO., LTD.
50 par common
NAGASE & COMPANY, LTD.
50 par common
NAGOYA RAILROAD CO., LTD.
50 par common
NAMCO, LTD.
50 par common
NANKAI ELECTRIC RAILWAY CO., LTD.
50 par common
NATIONAL HOUSE INDUSTRIAL CO., LTD.
50 par common
NAVIX LINE, LTD.
50 par common
NCR JAPAN LTD.
50 par common
NEC CORPORATION
50 par common
NEW JAPAN SECURITIES CO., LTD.
50 par common
NEW OJI PAPER CO., LTD.
50 par common
NGK INSULATORS, LTD.
50 par common
NGK SPARK PLUG CO., LTD.
50 par common
NHK SPRING CO., LTD.
50 par common
NICHICON CORP.
50 par common
NICHIDO FIRE & MARINE INSURANCE CO., LTD.
50 par common
NICHIEI CONSTRUCTION CO., LTD.
50 par common
NICHII CO., LTD.
50 par common
NICHIMEN CORP.
50 par common
NICHIREI CORPORATION
50 par common
NICHIRO CORPORATION
50 par common
NIHON CEMENT CO., LTD.
50 par common
NIHON NOSAN KOGYO K.K.
50 par common
NIHON UNISYS, LTD.
50 par common
NIIGATA ENGINEERING CO., LTD.
50 par common
NIKKO KYODO CO., LTD.
50 par common
NIKKO SECURITIES CO., LTD., THE
50 par common
NIKON CORPORATION
50 par common
NINTENDO CO., LTD.
50 par common
NIPPON BEET SUGAR MANUFACTURING CO., LTD.
50 par common
NIPPON COMSYS CORP.
50 par common
NIPPON CREDIT BANK, LTD.
50 par common
NIPPON DENSETSU KOGYO CO., LTD.
50 par common
NIPPON ELECTRIC GLASS CO., LTD.
50 par common
NIPPON EXPRESS CO., LTD.
50 par common
NIPPON FIRE & MARINE INSURANCE CO., LTD.
50 par common
NIPPON FLOUR MILLS CO., LTD.
50 par common
NIPPON HODO CO., LTD.
50 par common
NIPPON KAYAKU CO., LTD.
50 par common
NIPPON LIGHT METAL COMPANY, LTD.
50 par common
NIPPON MEAT PACKERS, INC.
50 par common
NIPPON OIL CO., LTD.
50 par common
NIPPON PAINT CO., LTD.
50 par common
NIPPON PAPER INDUSTRIES CO., LTD.
50 par common
NIPPON ROAD CO., LTD., THE
50 par common
NIPPON SANSO CORPORATION
50 par common
NIPPON SHARYO, LTD.
50 par common
NIPPON SHEET GLASS COMPANY, LIMITED
50 par common
NIPPON SHINPAN CO., LTD.
50 par common
NIPPON SHOKUBAI CO., LTD.
50 par common
NIPPON SIGNAL CO., LTD.
50 par common
NIPPON STEEL CORPORATION
50 par common
NIPPON SUISAN KAISHA, LTD.
50 par common
NIPPON TELEGRAPH & TELEPHONE CORPORATION
50000 par common
NIPPON TELEVISION NETWORK CORP.
500 par common
NIPPON TRUST BANK, LTD.
50 par common
[[Page 39573]]
NIPPON YAKIN KOGYO CO., LTD.
50 par common
NIPPON YUSEN KABUSHIKI KAISHA
50 par common
NIPPON ZEON CO., LTD.
50 par common
NIPPONDENSO CO., LTD.
50 par common
NISHI-NIPPON BANK, LTD.
50 par common
NISHI-NIPPON RAILROAD CO., LTD.
50 par common
NISHIMATSU CONSTRUCTION CO., LTD.
50 par common
NISSAN CHEMICAL INDUSTRIES, LTD.
50 par common
NISSAN DIESEL MOTOR CO., LTD.
50 par common
NISSAN FIRE & MARINE INSURANCE CO., LTD.
50 par common
NISSAN MOTOR CO., LTD.
50 par common
NISSEI SANGYO CO., LTD.
50 par common
NISSHA PRINTING CO., LTD.
50 par common
NISSHIN FLOUR MILLING CO., LTD.
50 par common
NISSHIN OIL MILLS, LTD., THE
50 par common
NISSHIN STEEL CO., LTD.
50 par common
NISSHINBO INDUSTRIES, INC.
50 par common
NISSHO IWAI CORPORATION
50 par common
NISSIN ELECTRIC CO., LTD.
50 par common
NISSIN FOOD PRODUCTS CO., LTD.
50 par common
NITSUKO CORPORATION
50 par common
NITTO BOSEKI CO., LTD.
50 par common
NITTO DENKO CORPORATION
50 par common
NKK CORPORATION
50 par common
NOF CORPORATION
50 par common
NOK CORPORATION
50 par common
NOMURA SECURITIES CO., LTD., THE
50 par common
NORITAKE CO., LIMITED
50 par common
NORITZ CORP.
50 par common
NSK LTD.
50 par common
NTN CORPORATION
50 par common
OBAYASHI CORPORATION
50 par common
ODAKYU ELECTRIC RAILWAY CO., LTD.
50 par common
OGAKI KYORITSU BANK, LTD.
50 par common
OKAMOTO INDUSTRIES, INC.
50 par common
OKASAN SECURITIES CO., LTD.
50 par common
OKI ELECTRIC INDUSTRY COMPANY, LIMITED
50 par common
OKUMA CORPORATION
50 par common
OKUMURA CORPORATION
50 par common
OLYMPUS OPTICAL CO., LTD.
50 par common
OMRON CORPORATION
50 par common
ONO PHARMACEUTICAL CO., LTD.
50 par common
ONWARD KASHIYAMA CO., LTD.
50 par common
ORIENT CORPORATION
50 par common
ORIX CORPORATION
50 par common
OSAKA GAS CO., LTD.
50 par common
PENTA-OCEAN CONSTRUCTION CO., LTD.
50 par common
PIONEER ELECTRONIC CORP.
50 par common
PRIMA MEAT PACKERS, LTD.
50 par common
Q.P. CORP.
50 par common
RAITO KOGYO CO., LTD.
50 par common
RENGO CO., LTD.
50 par common
RENOWN INCORPORATED
50 par common
RICOH COMPANY, LTD.
50 par common
ROHM COMPANY LIMITED
50 par common
ROYAL CO., LTD.
50 par common
RYOBI LIMITED
50 par common
RYOSAN CO., LTD.
50 par common
S X L CORP.
50 par common
SAGAMI RAILWAY CO., LTD.
50 par common
SAIBU GAS CO., LTD.
50 par common
SAKATA SEED CORP.
50 par common
SAKURA BANK LIMITED
50 par common
SANDEN CORPORATION
3/64 3/161/8 3/51/1 3/22/59/49/42/51/5
SANKI ENGINEERING CO., LTD.
50 par common
SANKYO ALUMINIUM INDUSTRY CO., LTD.
50 par common
SANKYO COMPANY, LIMITED
50 par common
SANKYU INC.
50 par common
SANRIO COMPANY, LTD.
50 par common
SANTEN PHARMACEUTICAL CO., LTD.
50 par common
SANWA BANK, LIMITED
50 par common
SANWA SHUTTER CORPORATION
50 par common
SANYO CHEMICAL INDUSTRIES, LTD.
50 par common
SANYO ELECTRIC CO., LTD.
50 par common
SANYO SECURITIES CO., LTD.
50 par common
SAPPORO BREWERIES LIMITED
50 par common
SATO KOGYO CO., LTD.
50 par common
SECOM CO., LTD.
50 par common
SEGA ENTERPRISES, LTD.
50 par common
SEIBU RAILWAY COMPANY, LTD.
50 par common
SEIKO CORPORATION
50 par common
SEINO TRANSPORTATION CO., LTD.
50 par common
SEIYO FOOD SYSTEMS INC.
50 par common
SEIYU, LTD.
50 par common
SEKISUI CHEMICAL CO., LTD.
50 par common
SEKISUI HOUSE, LTD.
50 par common
SENSHUKAI CO., LTD.
50 par common
SETTSU CORPORATION
50 par common
SEVEN-ELEVEN JAPAN CO., LTD.
No par common
SEVENTY-SEVEN BANK LTD.
50 par common
SHARP CORPORATION
50 par common
SHIKOKU ELECTRIC POWER COMPANY, INC.
500 par common
SHIMA SEIKI MFG., LTD.
50 par common
SHIMACHU CO., LTD.
50 par common
SHIMADZU CORP.
50 par common
SHIMAMURA CO., LTD.
50 par common
SHIMANO INC.
50 par common
SHIMIZU CORPORATION
50 par common
SHIN-ETSU CHEMICAL CO., LTD.
50 par common
[[Page 39574]]
SHINMAYWA INDUSTRIES, LTD.
50 par common
SHIONOGI & CO., LTD.
50 par common
SHISEIDO COMPANY, LIMITED
50 par common
SHIZUOKA BANK, LTD., THE
50 par common
SHOCHIKU CO., LTD.
50 par common
SHOKUSAN JUTAKU SOGO CO., LTD.
50 par common
SHOWA ALUMINUM CORPORATION
50 par common
SHOWA DENKO K.K.
50 par common
SHOWA ELECTRIC WIRE & CABLE CO., LTD.
50 par common
SHOWA LINE, LTD.
50 par common
SHOWA SANGYO CO., LTD.
50 par common
SHOWA SHELL SEKIYU K.K.
50 par common
SKYLARK CO., LTD.
50 par common
SMC CORP.
50 par common
SNOW BRAND MILK PRODUCTS CO., LTD.
50 par common
SONY CORPORATION
50 par common
SONY MUSIC ENTERTAINMENT (JAPAN) INC.
50 par common
SS PHARMACEUTICAL CO., LTD.
50 par common
STANLEY ELECTRIC CO., LTD.
50 par common
SUMITOMO BAKELITE COMPANY, LIMITED
50 par common
SUMITOMO BANK, LIMITED
50 par common
SUMITOMO CHEMICAL COMPANY, LIMITED
50 par common
SUMITOMO CONSTRUCTION CO., LTD.
50 par common
SUMITOMO CORPORATION
50 par common
SUMITOMO ELECTRIC INDUSTRIES, LTD.
50 par common
SUMITOMO FORESTRY CO., LTD.
50 par common
SUMITOMO HEAVY INDUSTRIES, LTD.
50 par common
SUMITOMO LIGHT METAL INDUSTRIES, LTD.
50 par common
SUMITOMO MARINE & FIRE INSURANCE CO, LTD
50 par common
SUMITOMO METAL INDUSTRIES, LTD.
50 par common
SUMITOMO METAL MINING CO., LTD.
50 par common
SUMITOMO OSAKA CEMENT CO., LTD.
50 par common
SUMITOMO REALTY & DEVELOPMENT CO., LTD.
50 par common
SUMITOMO RUBBER INDUSTRIES, LTD.
50 par common
SUMITOMO TRUST & BANKING CO., LTD.
50 par common
SUMITOMO WAREHOUSE CO., LTD., THE
50 par common
SURUGA BANK, LTD.
50 par common
SUZUKI MOTOR CORPORATION
50 par common
TADANO, LTD.
50 par common
TAIHEI DENGYO KAISHA, LTD.
50 par common
TAISEI CORPORATION
50 par common
TAISHO PHARMACEUTICAL CO., LTD.
50 par common
TAIYO YUDEN CO., LTD.
50 par common
TAKAOKA ELECTRIC MFG. CO., LTD.
50 par common
TAKARA SHUZO CO., LTD.
50 par common
TAKARA STANDARD CO., LTD.
50 par common
TAKASAGO THERMAL ENGINEERING CO.
50 par common
TAKASHIMAYA COMPANY, LIMITED
50 par common
TAKEDA CHEMICAL INDUSTRIES, LTD.
50 par common
TAKUMA CO., LTD.
50 par common
TANABE SEIYAKU CO., LTD.
50 par common
TDK CORPORATION
50 par common
TEIJIN LIMITED
50 par common
TEIKOKU OIL CO., LTD.
50 par common
TEKKEN CORPORATION
50 par common
TERUMO CORPORATION
50 par common
TOA CORPORATION
50 par common
TOA STEEL CO., LTD.
50 par common
TOAGOSEI CO. LTD.
50 par common
TOBISHIMA CORPORATION
50 par common
TOBU RAILWAY CO., LTD.
50 par common
TODA CONSTRUCTION CO., LTD.
50 par common
TODA CORPORATION
50 par common
TOEI COMPANY, LTD.
50 par common
TOENEC CORP.
50 par common
TOHO BANK, LTD.
50 par common
TOHO CO., LTD.
500 par common
TOHO GAS CO., LTD.
50 par common
TOHOKU ELECTRIC POWER COMPANY, INC.
500 par common
TOKAI BANK, LIMITED
50 par common
TOKAI CARBON CO., LTD.
50 par common
TOKICO, LTD.
50 par common
TOKIO MARINE & FIRE INSURANCE CO
50 par common
TOKUYAMA CORPORATION
50 par common
TOKUYAMA SODA CO., LTD.
50 par common
TOKYO BROADCASTING SYSTEM, INC.
50 par common
TOKYO DOME CORPORATION
50 par common
TOKYO ELECTRIC POWER CO., INC., THE
500 par common
TOKYO ELECTRON LIMITED
50 par common
TOKYO GAS CO., LTD.
50 par common
TOKYO OHKA KOGYO CO., LTD.
50 par common
TOKYO ROPE MFG. CO., LTD.
50 par common
TOKYO SOWA BANK, LTD.
50 par common
TOKYO STEEL MANUFACTURING CO., LTD.
50 par common
TOKYO STYLE CO., LTD.
50 par common
TOKYO TATEMONO CO., LTD.
50 par common
TOKYO TOMIN BANK, LTD.
500 par common
TOKYOTOKEIBA CO., LTD.
20 par common
TOKYU CAR CORPORATION
50 par common
TOKYU CONSTRUCTION CO., LTD.
50 par common
TOKYU CORPORATION
50 par common
TOKYU DEPARTMENT STORE CO. LTD.
[[Page 39575]]
50 par common
TOKYU LAND CORPORATION
50 par common
TOMEN CORPORATION
50 par common
TONEN CORPORATION
50 par common
TOPPAN PRINTING CO., LTD.
50 par common
TORAY INDUSTRIES, INC.
50 par common
TOSHIBA CERAMICS CO., LTD.
50 par common
TOSHIBA CORPORATION
50 par common
TOSHIBA MACHINE CO., LTD.
50 par common
TOSHIBA PLANT KENSETSU CO. LTD.
50 par common
TOSHOKU LTD.
50 par common
TOSOH CORPORATION
50 par common
TOSTEM CORPORATION
50 par common
TOTO LTD.
50 par common
TOYO COMMUNICATION EQUIPMENT CO., LTD.
50 par common
TOYO CONSTRUCTION CO., LTD.
50 par common
TOYO ENGINEERING CORP.
50 par common
TOYO EXTERIOR CO., LTD.
50 par common
TOYO INK MFG. CO., LTD.
50 par common
TOYO KANETSU K.K.
50 par common
TOYO SEIKAN KAISHA, LTD.
50 par common
TOYO SUISAN KAISHA, LTD.
50 par common
TOYO TIRE & RUBBER CO., LTD.
50 par common
TOYO TRUST & BANKING COMPANY, LIMITED
50 par common
TOYOBO CO., LTD.
50 par common
TOYODA AUTOMATIC LOOM WORKS, LTD.
50 par common
TOYOTA AUTO BODY CO., LTD.
50 par common
TOYOTA MOTOR CORPORATION
50 par common
TOYOTA TSUSHO CORPORATION
50 par common
TSUBAKIMOTO CHAIN CO.
50 par common
TSUMURA & CO.
50 par common
UBE INDUSTRIES, LTD.
50 par common
UNI-CHARM CORP.
50 par common
UNIDEN CORP.
50 par common
UNITIKA, LTD.
50 par common
UNY CO., LTD.
50 par common
USHIO, INC.
50 par common
VICTOR COMPANY OF JAPAN, LIMITED
50 par common
WACOAL CORP.
50 par common
WAKO SECURITIES CO., LTD.
50 par common
YAKULT HONSHA CO., LTD.
50 par common
YAMAGUCHI BANK LTD.
50 par common
YAMAHA CORPORATION
50 par common
YAMAHA MOTOR CO., LTD.
50 par common
YAMAICHI SECURITIES CO., LTD.
50 par common
YAMAMURA GLASS CO., LTD.
50 par common
YAMANASHI CHUO BANK, LTD.
50 par common
YAMANOUCHI PHARMACEUTICAL CO., LTD.
50 par common
YAMATAKE-HONEYWELL CO., LTD.
50 par common
YAMATO KOGYO CO., LTD.
50 par common
YAMATO TRANSPORT CO., LTD.
50 par common
YAMAZAKI BAKING CO., LTD.
50 par common
YAOHAN JAPAN CORP.
50 par common
YASKAWA ELECTRIC CORPORATION
50 par common
YASUDA FIRE & MARINE INSURANCE CO.
50 par common
YASUDA TRUST & BANKING COMPANY, LIMITED
50 par common
YODOGAWA STEEL WORKS, LTD.
50 par common
YOKOGAWA ELECTRIC CORPORATION
50 par common
YOKOHAMA RUBBER COMPANY, LIMITED
50 par common
YOMIURI LAND CO., LTD.
50 par common
YORK-BENIMARU CO., LTD.
50 par common
YOSHITOMI PHARMACEUTICAL INDUSTRIES, LTD
50 par common
YUASA CORPORATION
50 par common
YUASA TRADING CO., LTD.
50 par common
YURTEC CORP.
50 par common
ZEXEL CORPORATION
50 par common
MALAYSIA
ADVANCE SYNERGY BERHAD
Ordinary shares, par 1 Malaysian ringgit
AFFIN HOLDINGS BERHAD
Ordinary shares, par 1 Malaysian ringgit
AMMB HOLDINGS BERHAD
Ordinary shares, par 1 Malaysian ringgit
AMSTEEL CORPORATION BERHAD
Ordinary shares, par .50 Malaysian ringgit
AOKAM PERDANA BERHAD
Ordinary shares, par 1 Malaysian ringgit
ARAB MALAYSIAN DEVELOPMENT BERHAD
Ordinary shares, par .50 Malaysian ringgit
ARAB MALAYSIN CORP BERHAD
Ordinary shares, par 1 Malaysian ringgit
ASIA PACIFIC LAND BHD
Ordinary shares, par 1 Malaysian ringgit
BANDAR RAYA DEVELOPMENTS BERHAD
Ordinary shares, par 1 Malaysian ringgit
BERJAYA GROUP BERHAD
Ordinary shares, par 1 Malaysian ringgit
BERJAYA INDUSTRIAL BERHAD
Ordinary shares, par 1 Malaysian ringgit
BERJAYA SINGER BERHAD
Ordinary shares, par 1 Malaysian ringgit
BERJAYA SPORTS TOTO BERHAD
Ordinary shares, par 1 Malaysian ringgit
CEMENT INDUSTRIES OF MALAYSIA BERHAD
Ordinary shares, par 1 Malaysian ringgit
COMMERCE ASSET HOLDING BERHAD
Ordinary shares, par 1 Malaysian ringgit
DATUK KERAMAT HOLDINGS BERHAD
Ordinary shares, par .50 Malaysian ringgit
DCB HOLDINGS BERHAD
Ordinary shares, par 1 Malaysian ringgit
DIVERSIFIED RESOURCES BERHAD
Ordinary shares, par 1 Malaysian ringgit
DMIB BERHAD (MALAYSIA)
Ordinary shares, par .50 Malaysian ringgit
EDARAN OTOMOBIL NASIONAL
Ordinary shares, par 1 Malaysian ringgit
EKRAN BERHAD
Ordinary shares, par 1 Malaysian ringgit
ESSO MALAYSIA BERHAD
Ordinary shares, par .50 Malaysian ringgit
FABER GROUP BERHAD
Ordinary shares, par 1 Malaysian ringgit
GENTING BERHAD
Ordinary shares, par .50 Malaysian ringgit
GOLDEN HOPE PLANTATIONS BERHAD
Ordinary shares, par 1 Malaysian ringgit
GOLDEN PLUS HOLDINGS BERHAD
Ordinary shares, par 1 Malaysian ringgit
[[Page 39576]]
GOPENG BERHAD
Ordinary shares, par .50 Malaysian ringgit
GUINNESS ANCHOR BERHAD
Ordinary shares, par .50 Malaysian ringgit
HIGHLANDS & LOWLANDS BERHAD
Ordinary shares, par .50 Malaysian ringgit
HONG LEONG BANK BERHAD
Ordinary shares, par 1 Malaysian ringgit
HONG LEONG CREDIT BERHAD
Ordinary shares, par 1 Malaysian ringgit
HONG LEONG INDUSTRIES BERHAD
Ordinary shares, par .50 Malaysian ringgit
HONG LEONG PROPERTIES BERHAD
Ordinary shares, par .50 Malaysian ringgit
HUME INDUSTRIES (MALAYSIA) BERHAD
Ordinary shares, par 1 Malaysian ringgit
IDRIS HYDRAULIC (MALAYSIA) BERHAD
Ordinary shares, par .50 Malaysian ringgit
IGB CORPORATION BERHAD
Ordinary shares, par .50 Malaysian ringgit
IJM CORPORATION BERHAD
Ordinary shares, par 1 Malaysian ringgit
IOI CORPORATION BERHAD
Ordinary shares, par .50 Malaysian ringgit
ISLAND & PENINSULAR BERHAD
Ordinary shares, par 1 Malaysian ringgit
KAMUNTING CORP BERHAD
Ordinary shares, par .50 Malaysian ringgit
KEDAH CEMENT HOLDINGS BERHAD
Ordinary shares, par 1 Malaysian ringgit
KELANAMAS INDUSTRIES BHD
Ordinary shares, par 1 Malaysian ringgit
KEMAYAN CORPORATION BHD
Ordinary shares, par .50 Malaysian ringgit
KIM HIN INDUSTRY BERHAD
Ordinary shares, par 1 Malaysian ringgit
KUALA LUMPUR KEPONG BERHAD
Ordinary shares, par 1 Malaysian ringgit
LAND & GENERAL BERHAD
Ordinary shares, par 1 Malaysian ringgit
LANDMARKS BERHAD
Ordinary shares, par 1 Malaysian ringgit
LEADER UNIVERSAL HOLDINGS BHD
Ordinary shares, par 1 Malaysian ringgit
LIEN HOE CORPORATION BERHAD
Ordinary shares, par 1 Malaysian ringgit
LINGUI DEVELOPMENTS BERHAD
Ordinary shares, par .50 Malaysian ringgit
LION LAND BERHAD
Ordinary shares, par 1 Malaysian ringgit
MAGNUM CORPORATION BERHAD
Ordinary shares, par .50 Malaysian ringgit
MALAYAN BANKING BERHAD
Ordinary shares, par 1 Malaysian ringgit
MALAYAN CEMENT BERHAD
Ordinary shares, par .50 Malaysian ringgit
MALAYAN UNITED INDUSTRIES BERHAD
Ordinary shares, par 1 Malaysian ringgit
MALAYAWATA STEEL BERHAD
Ordinary shares, par 1 Malaysian ringgit
MALAYSIA INTERNATIONAL SHIPPING CORP
Ordinary shares, par 1 Malaysian ringgit
MALAYSIA MINING CORPORATION BERHAD
Ordinary shares, par .10 Malaysian ringgit
MALAYSIAN AIRLINE SYSTEM BERHAD
Ordinary shares, par 1 Malaysian ringgit
MALAYSIAN HELICOPTER SERVICES BERHAD
Ordinary shares, par 1 Malaysian ringgit
MALAYSIAN OXYGEN BERHAD
Ordinary shares, par .50 Malaysian ringgit
MALAYSIAN PACIFIC INDUSTRIES BERHAD
Ordinary shares, par .50 Malaysian ringgit
MALAYSIAN RESOURCES CORPORATION BERHAD
Ordinary shares, par 1 Malaysian ringgit
MBF CAPITAL BERHAD
Ordinary shares, par 1 Malaysian ringgit
METROPLEX BERHAD
Ordinary shares, par .50 Malaysian ringgit
MULPHA INTERNATIONAL BHD
Ordinary shares, par .50 Malaysian ringgit
MULTI-PURPOSE HOLDINGS BERHAD
Ordinary shares, par 1 Malaysian ringgit
MYCOM BERHAD
Ordinary shares, par 1 Malaysian ringgit
NESTLE (MALAYSIA) BERHAD
Ordinary shares, par 1 Malaysian ringgit
NEW STRAITS TIMES PRESS (MALAYSIA)
Ordinary shares, par 1 Malaysian ringgit
ORIENTAL HOLDINGS BERHAD
Ordinary shares, par 1 Malaysian ringgit
Pacific Chemical Berhad
Ordinary shares, par 1 Malaysian ringgit
PALMCO HOLDINGS BERHAD
Ordinary shares, par 1 Malaysian ringgit
PAN MALAYSIA CEMENT WORKS BERHAD
Ordinary shares, par .50 Malaysian ringgit
PAN MALAYSIA CEMENT WORKS BERHAD
Ordinary shares, par .50 Malaysian ringgit
PELANGI BERHAD
Ordinary shares, par .50 Malaysian ringgit
PERLIS PLANTATIONS BERHAD
Ordinary shares, par 1 Malaysian ringgit
PERUSAHAAN OTOMOBIL NASIONAL (PROTON)
Ordinary shares, par 1 Malaysian ringgit
PERUSAHAAN SADUR TIMAH MALAYSIA (PERSTIM)
Ordinary shares, par 1 Malaysian ringgit
PETALING GARDEN BERHAD
Ordinary shares, par .50 Malaysian ringgit
PETRONAS GAS BERAD
Ordinary shares, par 1 Malaysian ringgit
PILECON ENGINEERING BERHAD
Ordinary shares, par .50 Malaysian ringgit
PROMET BERHAD
Ordinary shares, par 1 Malaysian ringgit
PUBLIC BANK BERHAD
Foreign registered shares, par .50 Malaysian ringgit
RASHID HUSSAIN BERHAD
Ordinary shares, par 1 Malaysian ringgit
RENONG BERHAD
Ordinary shares, par .50 Malaysian ringgit
RESORTS WORLD BERHAD
Common shares, par .50 Malaysian ringgit
ROTHMANS OF PALL MALL (MALAYSIA) BERHAD
Ordinary shares, par .50 Malaysian ringgit
SCB DEVELOPMENTS BERHAD
Ordinary shares, par 1 Malaysian ringgit
SELANGOR PROPERTIES BERHAD
Ordinary shares, par 1 Malaysian ringgit
SHELL REFINING COMPANY BERHAD
Ordinary shares, par 1 Malaysian
[[Page 39577]]
ringgit
SIME DARBY BERHAD
Ordinary shares, par .50 Malaysian ringgit
SUNGEI WAY HOLDINGS BERHAD
Ordinary shares, par 1 Malaysian ringgit
TA ENTERPRISE BERHAD
Ordinary shares, par 1 Malaysian ringgit
TAN CHONG MOTOR HOLDINGS BERHAD
Ordinary shares, par .50 Malaysian ringgit
TANJONG PUBLIC LTD. COMPANY
Ordinary shares, par 7.50 p
TASEK CEMENT BERHAD
Ordinary shares, par 1 Malaysian ringgit
TECHNOLOGY RESOURCES INDUSTRIES BERHAD
Ordinary shares, par 1 Malaysian ringgit
TELEKOM MALAYSIA BHD
Ordinary shares, par 1 Malaysian ringgit
TENAGA NASIONAL BERHAD
Ordinary shares, par 1 Malaysian ringgit
TIME ENGINEERING BERHAD
Ordinary shares, par 1 Malaysian ringgit
TRACTORS MALAYSIA HOLDINGS BERHAD
Ordinary shares, par .50 Malaysian ringgit
UMW HOLDINGS BERHAD
Ordinary shares, par 1 Malaysian ringgit
UNITED ENGINEERS (MALAYSIA) BERHAD
Ordinary shares, par .50 Malaysian ringgit
UNITED PLANTATIONS BERHAD
Ordinary shares, par 1 Malaysian ringgit
WESTMONT INDUSTRIES BERHAD
Ordinary shares, par 1 Malaysian ringgit
YTL CORP BERHAD
Ordinary shares, par .50 Malaysian ringgit
MEXICO
ALFA S.A. DE C.V.
Series A, No par common
CEMEX S.A.
Series A, No par common
CEMEX S.A.
Series B, No par common
CIFRA, S.A. DE C.V.
Series A Common, par .30 Mexican new peso
CIFRA, S.A. DE C.V.
Series B Common, par .30 Mexican new peso
CIFRA, S.A. DE C.V.
Series C, no par common
EL PUERTO DE LIVERPOOL S.A. DE C.V.
Series I, par .20 Mexican new pesos
EMPRESAS ICA SOCIEDAD CONTROLADORA S.A.
No par common shares
FOMENTO ECO
NOMICO MEXICA
No, S.A. DE C.V.
Series B, no par common
GRUPO CARSO S.A. DE C.V.
Series A1, no par common
GRUPO FINANCIERO BANAMMEX ACCIVAL S.A. BANACCI
Series B, no par common
GRUPO FINANCIERO BANCOMER S.A.
Series A, no par common
GRUPO INDUSTRIAL BIMBO S.A. DE C.V.
Series A, no par common
GRUPO TELEVISA S.A. DE C.V.
Participating Certificates
KIMBERLY CLARK DE MEXICO S.A. DE C.V.
Series A, no par common
TELEFONOS DE MEXICO S.A. DE C.V.
Series A, no par common
TELEFONOS DE MEXICO S.A. DE C.V.
Series L, no par common
VITRO SOCIEDAD A
NOMINA
Common, par 1 Mexican new pesos
NETHERLANDS
ABN AMRO HOLDING N.V.
Registered Shares, par 5 Netherlands guilder
AEGON N.V.
Bearer shares, par 1 Netherlands guilder
AKZO NOBEL N.V.
Bearer shares, par 20 Netherlands guilder
DSM N.V.
Registered Shares, par 20 Netherlands guilder
ELSEVIER N.V.
Bearer shares, par 0.10 Netherlands guilder
HEINEKEN N.V.
Bearer shares, par 25 Netherlands guilder
HUNTER DOUGLAS N.V.
Bearer shares, par 1 Netherlands guilder
ING GROEP N.V.
Registered Shares, par 1 Netherlands guilder
KLM KONINKLIJKE LUCHTVAART MAATSCHAPPIJ
Bearer shares, par 20 Netherlands guilder
KON NEDERLANDSCHE PETROLEUM MAATSCHAPPIJ
Bearer shares, par 5 Netherlands guilder
KONINKLIJKE AHOLD NV
Bearer shares, par 1.25 Netherlands guilder
KONINKLIJKE BOLS WESSANEN N.V.
Certificate par 2 Netherlands guilder
KONINKLIJKE PTT NEDERLAND NV
Registered Shares, par 10 Netherlands guilder
NV KONINKLIJKE KNP BT
Registered Shares, par 2.50 Netherlands guilder
PHILIPS ELECTRONICS N.V.
Bearer shares, par 10 Netherlands guilder
POLYGRAM N.V.
Bearer shares, par 0.50 Netherlands guilder
STORK N.V.
Registered Shares, par 10 Netherlands guilder
UNILEVER N.V.
Certificate par 4 Netherlands guilder
WOLTERS KLUWER N.V.
Registered Shares, par 1 Netherlands guilder
NEW ZEALAND
BRIERLEY INVESTMENTS LIMITED
Ordinary shares, par NZ$0.50
CARTER HOLT HARVEY LTD.
Ordinary shares, par NZ$0.50
CERAMCO CORPORATION LIMITED
Ordinary shares, par NZ$0.50
FERNZ CORPORATION LIMITED
Ordinary shares, par NZ$0.50
FISHER & PAYKEL INDUSTRIES LIMITED
Ordinary shares, par NZ$0.50
FLETCHER BUILDING LTD.
Ordinary shares, par NZ$0.50
FLETCHER CHALLENGE FORESTS DIVISION
Ordinary shares, par NZ$0.4
FLETCHER ENERGY LTD.
Ordinary shares, par NZ$0.50
FLETCHER PAPER LTD.
Ordinary shares, par NZ$0.50
INDEPENDENT NEWSPAPERS LIMITED
Ordinary shares, par NZ$0.50
LION NATHAN LIMITED
Ordinary shares, par NZ$0.25
PROGRESSIVE ENTERPRISES LTD.
Ordinary shares, par NZ$0.50
SANFORD LIMITED
Ordinary shares, par NZ$0.50
TELECOM CORPORATION OF NEW ZEALAND
Ordinary shares, par NZ$1.00
WILSON & HORTON LIMITED
Ordinary shares, par NZ$1.00
NORWAY
AKER ASA
A Free Shares, par 20 Norwegian krone
AKER ASA
B Free Shares, par 20 Norwegian krone
AWILCO ASA
A Common Shares, par 12.50 Norwegian krone
AWILCO ASA
B Common Shares, par 12.50
[[Page 39578]]
Norwegian krone
BERGESEN D.Y. ASA
B Common Shares, par 2.50 Norwegian krone
BERGESEN D.Y. ASA
A Common Shares, par 2.50 Norwegian krone
CHRISTIANA BANK OG KREDITKASSE
Ordinary Free Shares, par 7 Norwegian krone
DEN NORSKE BANK ASA
A Common Shares, par 10 Norwegian krone
DYNO INDUSTRIER ASA
Common Shares, par 20 Norwegian krone
ELKEM A/S
Common Shares, par 20 Norwegian krone
HAFSLUND ASA
A Ordinary Common, par 1 Norwegian krone
HAFSLUND ASA
B Ordinary Common, par 1 Norwegian krone
KVAERNER ASA
A Free Shares, par 12.50 Norwegian krone
KVAERNER ASA
B Common Shares, par 12.50 Norwegian krone
LEIF HOEGH & CO ASA
Common Shares, par 2 Norwegian krone
MYCOMED ASA
B Ordinary Common, par 4 Norwegian krone
NORSK HYDRO A.S
Common Shares, par 20 Norwegian krone
NORSKE SKOGINDUSTRIER ASA
A Ordinary Shares, par 20 Norwegian krone
NORSKE SKOGINDUSTRIER ASA
B Common Shares, par 20 Norwegian krone
NYCOMED ASA
A Ordinary Common, par 4 Norwegian krone
ORKLA ASA
A Free Shares, par 25 Norwegian krone
ORKLA ASA
B Common Shares, par 25 Norwegian krone
PETROLEUM GEO-SERVICES ASA
Free Shares, par 5 Norwegian krone
SAGA PETROLEUM ASA
B Common Shares, par 15 Norwegian krone
SAGA PETROLEUM ASA
A Free Shares, par 15 Norwegian krone
SCHIBSTED ASA
Common Shares, par 1 Norwegian krone
SMEDVIG ASA
Common Shares, par 3 Norwegian krone
STORLI ASA
A Ordinary Common, par 10 Norwegian krone
STORLI ASA
B Ordinary Common, par 10 Norwegian krone
TRANSOCEAN ASA
Common Shares, par 5 Norwegian krone
UNI STOREBRAND A/S
A Ordinary Common, par 5 Norwegian krone
UNI STOREBRAND ASA
Convertible Preferred A Shares, par 5 Norwegian krone
UNITOR ASA
Common Shares, par 12.50 Norwegian krone
WILH. WILHELMSEN LIMITED AS
Common Shares, par 5 Norwegian krone
WILH. WILHELMSEN LIMITED AS
B Common Shares, par Norwegian krone
PHILIPPINES
AYALA CORPORATION
Class B common shares, par 1 Philippine peso
AYALA LAND INC.
Class B Common Shares, par 1 Philippine peso
BACNOTAN CONSD. INC.
Class B Common Shares, par 1 Philippine peso
C & P HOMES INC.
Common, par 1 Philippine peso
FILINVEST LAND INC.
Common, par 1 Philippine peso
FIRST PHILIPPINES HOLDING CORPORATION
Class B Common Shares, par 10 Philippine pesos
INTERNATIONAL CONTAINER TERMINAL SERVICES INC.
Common, par 1 Philippine peso
JG SUMMIT HOLDINGS INC.
Class B Common Shares, par 1 Philippine peso
MANILA ELECTRIC COMPANY
Preferred Series B Shares, par 10 Philippine pesos
MEGAWORLD PROPERTIES & HOLDINGS
Common, par 1 Philippine peso
METRO PACIFIC CORPORATION
Class A Common, par 1 Philippine peso
METROPOLITAN BANK & TRUST COMPANY
Common, par 100 Philippine pesos
PHILIPPINE COMMERCE INTERNATIONAL BANK (PCI)
Common, par 100 Philippine pesos
PHILIPPINE LONG DISTANCE TELEPHONE COMPANY
Common, par 5 Philippine pesos
PHILIPPINE NATIONAL BANK
Class B Common Shares, par 100 Philippine pesos
PILIIPINO TELEPHONE CORPORATION
Common, par 1 Philippine peso
RFM CORPORATION
Common, par 1 Philippine peso
SAN MIGEUEL CORPORATION
Class B Common Shares, par 10 Philippine pesos
SM PRIME HOLDINGS INC.
Common, par 10 Philippine pesos
SOUTHEAST ASIA CEMENT HOLDING
Common, par 10 Philippine pesos
UNIVERSAL ROBINA CORPORATION
Common, par 10 Philippine pesos
ABOITIZ EQUITY VENTURES INC.
Common, par 10 Philippine Pesos
SINGAPORE
ACMA LIMITED
Ordinary shares, par S$0.50
AMCOL HOLDINGS LTD.
Ordinary shares, par S$0.25
AURIC PACIFIC GROUP
Ordinary shares, par S$0.50
CITY DEVELOPMENTS LIMITED
Ordinary shares, par S$0.50
CYCLE & CARRIAGE LTD.
Ordinary shares, par S$1.00
DBS LAND LTD
Ordinary shares, par S$1.00
DEVELOPMENT BANK OF SINGAPORE LTD.
Foreign Registered Shares, par S$1.00
FAR EAST LEVINGSTONE SHIPBUILDING LTD.
Ordinary shares, par S$0.50
FRASER & NEAVE LIMITED
Stock Units, S$1.00
GOLDTRON LIMITED
Ordinary shares, par S$0.20
HAW PAR BROTHERS INTERNATIONAL LTD.
Ordinary shares, par S$1.00
HITACHI ZOSEN SINGAPORE LTD
Ordinary shares, par S$0.20
HOTEL PROPERTIES LIMITED
Ordinary shares, par S$1.00
INCHCAPE BERHAD
Ordinary shares, par S$0.50
JURONG SHIPYARD LIMITED
Ordinary shares, par S$0.50
KEPPEL CORPORATION LIMITED
Ordinary shares, par S$1.00
LUM CHANG HOLDINGS LIMITED
Ordinary shares, par S$0.50
MARCO POLO DEVELOPMENTS LIMITED
Ordinary shares, par S$1.00
METRO HOLDING
Ordinary shares, par S$1.00
NATSTEEL LIMITED
Ordinary shares, par S$0.50
NEPTUNE ORIENT LINES LTD.
Ordinary shares, par S$1.00
OVERSEAS CHINESE BANKING CORP.LTD.
Foreign Registered Shares, par S$1.00
[[Page 39579]]
OVERSEAS UNION BANK LTD.
Foreign Registered Shares, par S$1.00
OVERSEAS UNION ENTERPRISE LTD.
Ordinary shares, par S$1.00
PACIFIC CARRIERS LIMITED
Ordinary shares, par S$0.50
PARKWAY HOLDINGS LIMITED
Ordinary shares, par S$0.50
ROTHMANS INDUSTRIES LIMITED
Ordinary shares, par S$0.50
SEMBAWANG CORPORATION LIMITED
Ordinary shares, par S$1.00
SHANGRI-LA HOTEL LIMITED
Ordinary shares, par S$1.00
SIME SINGAPORE LIMITED
Ordinary shares, par S$0.25
SINGAPORE AIRLINES LIMITED
Foreign Registered Shares, par S$1.00
SINGAPORE LAND LTD.
Ordinary shares, par S$1.00
SINGAPORE PRESS HOLDINGS LIMITED
Foreign Registered Shares, par S$1.00
SINGAPORE TELECOMMUNICATIONS LTD
Ordinary shares, par S$0.15
STRAITS STEAMSHIP LAND LTD
Ordinary shares, par S$0.50
STRAITS TRADING COMPANY LIMITED
Ordinary shares, par S$1.00
TAT LEE BANK LTD.
Ordinary shares, par S$1.00
TIMES PUBLISHING LIMITED
Ordinary shares, par S$1.00
UNITED ENGINEERS LTD.
Ordinary shares, par S$1.00
UNITED INDUSTRIAL CORPORATION LTD.
Ordinary shares, par S$1.00
UNITED OVERSEAS BANK LIMITED
Foreign Registered Shares, par S$1.00
UNITED OVERSEAS LAND LIMITED
Ordinary shares, par S$1.00
WBL CORPORATION LTD.
Ordinary shares, par S$1.00
WING TAI HOLDINGS LTD
Ordinary shares, par S$0.25
SOUTH AFRICA
AMPLATS LTD.
Ordinary shares, par 1 South African rand
ANGLO AMERICAN CORPORATION/SOUTH AFRICA
Ordinary shares, par 0.10 South African rand
ANGLO AMERICAN GOLD INVESTMENT CO LTD
Ordinary shares, par 1 South African rand
ANGLO AMERICAN INDUSTRIAL CORPORATION
Ordinary shares, par 1 South African rand
ANGLOVAAL INDUSTRIES LIMITED
Ordinary shares, par 0.05 South African rand
ANGLOVAAL LIMITED
Ordinary shares, par 0.0001 South African rand
BARLOW LIMITED
Ordinary shares, par 0.05 South African rand
C.G. SMITH LIMITED
Ordinary shares, par 0.10 South African rand
DE BEERS CONSOLIDATED MINES LIMITED
Ordinary shares, par Link Units
DRIEFONTEIN CONSOLIDATED LIMITED
Ordinary shares, par 0.50 South African rand
FIRST NATIONAL BANK HOLDINGS LIMITED
Ordinary shares, par 0.20 South African rand
FREE STATE CONSOLIDATED GOLD MINES LTD.
Ordinary shares, par 0.50 South African rand
GENCOR LIMITED
Ordinary shares, par 0.04 South African rand
GOLD FIELDS OF SOUTH AFRICA LIMITED
Ordinary shares, par 0.05 South African rand
HIGHVELD STEEL & VANADIUM CORP. LIMITED
Ordinary shares, par 1 South African rand
IMPALA PLATINUM HOLDINGS LIMITED
Ordinary shares, par 0.20 South African rand
ISCOR LIMITED
Ordinary shares, par 1 South African rand
JCI Company Limited
Ordinary shares, par 1 South African rand
JOHNNIES INDUSTRIAL CORPORATION LIMITED
Ordinary shares, par 0.10 South African rand
KLOOF GOLD MINING COMPANY LIMITED
Ordinary shares, par 0.25 South African rand
LIBERTY HOLDINGS LIMITED
Ordinary shares, par 0.25 South African rand
LIBERTY LIFE ASSOCIATION OF AFRICA LTD
Ordinary shares, par 0.10 South African rand
MIDDLE WITWATERSRAND (WESTERN AREAS) LTD
Ordinary shares, par 0.01 South African rand
MURRAY & ROBERTS HOLDING LIMITED
Ordinary shares, par 0.10 South African rand
NAMPAK LIMITED
Ordinary shares, par 0.05 South African rand
NEDCOR LIMITED
Ordinary shares, par 1 South African rand
PREMIER GROUP LIMITED
Ordinary shares, par 0.05 South African rand
REMBRANDT CONTROLLING INVESTMENT LIMITED
Ordinary shares, par 0.01 South African rand
REMBRANDT GROUP LIMITED
Ordinary shares, par 0.01 South African rand
REUNERT LIMITED
Ordinary shares, par 0.10 South African rand
RUSTENBURG PLATINUM HOLDINGS LIMITED
Ordinary shares, par 0.10 South African rand
SAFMARINE & RENNIES HOLDINGS LIMITED
Ordinary shares, par 0.50 South African rand
SAMANCOR LIMITED
Ordinary shares, par 0.04 South African rand
SAPPI LIMITED
Ordinary shares, par 1 South African rand
SASOL LIMITED
Ordinary shares, no par
SOUTH AFRICAN BREWERIES LIMITED
Ordinary shares, par 0.20 South African rand
SOUTHERN LIFE ASSOCIATION LIMITED (THE)
Ordinary shares, par 0.50 South African rand
STANDARD BANK INVESTMENT CORP. LTD.
Ordinary shares, par 1 South African rand
THE TONGAAT-HULETT GROUP LIMITED
Ordinary shares, par 1 South African rand
TIGER OATS LIMITED
Ordinary shares, par 0.10 South African rand
VAAL REEFS EXPLORATION & MINING CO LTD
Ordinary shares, par 0.50 South African rand
WESTERN DEEP LEVELS LIMITED
Ordinary shares, par 2 South African rand
WOOLTRU LIMITED
Ordinary shares, par 0.05 South African rand
WOOLTRU LIMITED
Class A Ordinary shares, par 0.05 South African rand
SPAIN
ACERINOX S.A.
[[Page 39580]]
Registered Shares, par 1000 pesetas
AUTOPISTAS CONCESIONARIA ESPANOLA S.A.
Bearer shares, par 500 pesetas
AUTOPISTAS DEL MARE NOSTRUM S.A.
Registered Shares, par 1000 pesetas
BANCO BILBAO VIZCAYA, S.A.
Registered Shares, par 600 pesetas
BANCO CENTRAL HISPANOAMERICANO S.A.
Registered Shares, par 500 pesetas
BANCO ESPANOL DE CREDITO, S.A.
Registered Shares, par 400 pesetas
BANCO POPULAR ESPANOL
Registered Shares, par 500 pesetas
BANCO SANTANDER, S.A.
Registered Shares, par 750 pesetas
BANKINTER S.A.
Registered Shares, par 1500 pesetas
COMPANIA ESPANOLA DE PETROLEOS, S.A.
Bearer shares, par 500 pesetas
COMPANIA SEVILLANA DE ELECTRICIDAD, S.A.
Bearer shares, par 500 pesetas
CORP BANCARIA DE ESPANA, (ARGENTARIA)
Registered Shares, par 500 pesetas
CORPORACION FINANCIERA ALBA S.A.
Bearer shares, par 1000 pesetas
CORPORACION MAPFRE, CIA INTL/REASEGUROS
Bearer shares, par 500 pesetas
CRISTALERIA ESPANOLA, S.A.
Bearer shares, par 1000 pesetas
CUBIERTAS Y MZOV S.A., COMPANIA GENERAL
Bearer shares, par 1000 pesetas
DRAGADOS Y CONSTRUCCIONES, S.A.
Bearer shares, par 500 pesetas
EBRO AGRICOLAS, CIA DE ALIMENTACION SA
Bearer shares, par 100 pesetas
EL AGUILA S.A.
Bearer shares, par 500 pesetas
EMPRESA NACIONAL DE ELECTRICIDAD S.A.
Bearer shares, par 800 pesetas
FOMENTO DE CONSTRUCCIONES Y CONTRATAS
Bearer shares, par 1000 pesetas
FUERZAS ELECTRICAS DE CATALUNA, S.A.
Series A Bearer shares, par 1000 pesetas
GAS NATURAL SDG S.A.
Registered Shares, par 600 pesetas
HIDROELECTRICA DEL CANTABRICO, S.A.
Bearer shares, par 1000 pesetas
IBERDROLA SA
Bearer shares, par 500 pesetas
INMOBILIARIA METROPOLITANA VASCO CENTRAL
Bearer shares, par 500 pesetas
KOIPE, S.A.
Bearer shares, par 1000 pesetas
PORTLAND VALDERRIVAS, S.A.
Bearer shares, par 500 pesetas
REPSOL S.A.
Bearer shares, par 500 pesetas
SARRIO S.A.
Bearer shares, par 500 pesetas
SOCIEDAD ESPANOLA DE CARBUROS METALICOS
Bearer shares, par 1000 pesetas
TABACALERA, S.A.
Series A Registered shares, par 500 pesetas
TELEFONICA DE ESPANA, S.A.
Bearer shares, par 500 pesetas
UNION ELECTRICA-FENOSA, S.A.
Bearer shares, par 500 pesetas
URALITA, S.A.
Bearer shares, par 440 pesetas
VALLEHERMOSO S.A.
Bearer shares, par 500 pesetas
VISCOFAN, S.A.
Bearer shares, par 100 pesetas
SWEDEN
ABB AB
B Free shares, par 50 Swedish krona
ABB AB
A Free shares, par 50 Swedish krona
AGA AB
B Free shares, par 5 Swedish krona
AGA AB
A Free shares, par 5 Swedish krona
ASTRA AB
A Free shares, par 2.50 Swedish krona
ASTRA AB
B Free shares, par 2.50 Swedish krona
ATLAS COPCO AB
A Free shares, par 5 Swedish krona
ATLAS COPCO AB
B Free shares, par 5 Swedish krona
ELECTROLUX AB
B Free shares, par 25 Swedish krona
FASTIGHETS AB HUFVUDSTADEN
A Free shares, par 5 Swedish krona
FORSAKRINGS AB SKANDIA
Free shares, par 5 Swedish krona
H & M HENNES & MAURITZ AB
B Fri Aktie, par 5 Swedish krona
INCENTIVE AB
B Free shares, par 10 Swedish krona
INCENTIVE AB
A Free shares, par 10 Swedish krona
INDUSTRIVARDEN AB
A Free shares, par 20 Swedish krona
INDUSTRIVARDEN AB
C Free shares, par 20 Swedish krona
INVESTOR AB
A Free shares, par 25 Swedish krona
INVESTOR AB
B Free shares, par 25 Swedish krona
MO OCH DOMSJO AB
A Free shares, par 50 Swedish krona
MO OCH DOMSJO AB
B Free shares, par 50 Swedish krona
NCC AB
A Free shares, par 25 Swedish krona
NCC AB
B Free shares, par 25 Swedish krona
NORDBANKEN AB
Restricted shares, par 12.50 Swedish krona
SANDVIK AB
Free shares, par 5 Swedish krona
SANDVIK AB
A Free shares, par 5 Swedish krona
SCANIA AG
A Free shares, par 10 Swedish krona
SCANIA AG
B Free shares, par 10 Swedish krona
SECURITAS AB
B Free shares, par 2 Swedish krona
SKANDINAVISKA ENSKILDA BANKEN
A Free shares, par 10 Swedish krona
SKANSKA AB
B Free shares, par 10 Swedish krona
SKF AB
B Free shares, par 12.50 Swedish krona
SKF AB
A Free shares, par 12.50 Swedish krona
SSAB SVENSKT STAL AB
A Free shares, par 25 Swedish krona
SSAB SVENSKT STAL AB
B Free shares, par 25 Swedish krona
STORA KOPPARBERGS BERGSLAGS AB
A Free shares, par 5 Swedish krona
STORA KOPPARBERGS BERGSLAGS AB
B Free shares, par 5 Swedish krona
SVENSKA CELLULOSA AKTIEBOLAGET SCA
B Free shares, par 10 Swedish krona
SVENSKA CELLULOSA AKTIEBOLAGET SCA
A Free shares, par 10 Swedish krona
SVENSKA HANDELSBANKEN AB
A Free shares, par 10 Swedish krona
SVENSKA HANDELSBANKEN AB
B Free shares, par 10 Swedish krona
SYDKRAFT AB
A Free shares, par 10 Swedish krona
SYDKRAFT AB
C Free shares, par 10 Swedish krona
TELEFONAKTIEBOLAGET LM ERICSSON
B Free shares, par 2.50 Swedish krona
TELEFONAKTIEBOLAGET LM ERICSSON
A Free shares, par 2.50 Swedish krona
TIDNINGS AB MARIEBERG
A Free shares, par 10 Swedish krona
TRELLEBORG AB
B Free shares, par 25 Swedish krona
VOLVO AB
A Free shares, par 5 Swedish krona
VOLVO AB
B Free shares, par 5 Swedish krona
Switzerland
ABB AG
Bearer shares, par 100 Swiss francs
ABB AG
Registered shares, par 20 Swiss francs
ADIA INTERNATIONAL AG
[[Page 39581]]
Bearer shares, par 10 Swiss francs
ALUSUISSE-LONZA HOLDING AG
Bearer shares, par 125 Swiss francs
ALUSUISSE-LONZA HOLDING AG
Registered shares, par 125 Swiss francs
BALOISE-HOLDING
Registered shares, par 100 Swiss francs
CIBA-GEIGY AG
Bearer shares, par 20 Swiss francs
CIBA-GEIGY AG
Registered shares, par 20 Swiss francs
COMPAGNIE FINANCIERE RICHEMONT AG
Bearer shares, par 100 Swiss francs
CS HOLDING
Bearer shares, par 20 Swiss francs
ELEKTROWATT AG
Bearer shares, par 50 Swiss francs
FORBO HOLDING AG
Registered shares, par 50 Swiss francs
GEORG FISCHER AG
Bearer shares, par 500 Swiss francs
HOLDERBANK FINANCIERE GLARUS AG
Bearer shares, par 50 Swiss francs
MOTOR-COLUMBUS AG
Bearer shares, par 500 Swiss francs
NESTLE SA
Registered shares, par 10 Swiss francs
OERLIKON-BUEHRLE HOLDING LTD.
Registered shares, par 20 Swiss francs
PARGESA HOLDING SA
Bearer shares, par 1000 Swiss francs
ROCHE HOLDING AG
Bearer shares, par 100 Swiss francs
ROCHE HOLDING AG
Genussschein No par
S.M.H. (SOCIETE SUISSE POUR LA MICROLECTRONIQUE) A
Registered shares, par 10 Swiss francs
S.M.H. (SOCIETE SUISSE POUR LA MICROLECTRONIQUE) A
Bearer shares, par 50 Swiss francs
SANDOZ AG
Bearer shares, par 20 Swiss francs
SANDOZ AG
Registered shares, par 20 Swiss francs
SCHINDLER HOLDING AG
Participation Certificate, par 100 Swiss francs
SCHINDLER HOLDING AG
Registered shares, par 100 Swiss francs
SCHWEIZERISCHE BANKGESELLSCHAFT
Bearer shares, par 100 Swiss francs
SCHWEIZERISCHE RUECKVERSICHERUNGS-GES.
Registered shares, par 10 Swiss francs
SCHWEIZERISCHER BANKVEREIN
Registered shares, par 50 Swiss francs
SOC. GENERALE DE SURVEILLANCE HOLDING SA
Registered shares, par 20 Swiss francs
SOC. GENERALE DE SURVEILLANCE HOLDING SA
Bearer shares, par 100 Swiss francs
SOCIETE INTERNATIONALE PIRELLI SA
Bearer shares, par 100 Swiss francs
SULZER AG
Participation Certificates, par 100 Swiss francs
SULZER AG
Registered shares, par 100 Swiss francs
SWISSAIR SCHWEIZERISCHE LUFTVERKEHR AG
Registered shares, par 350 Swiss francs
WINTERTHUR SCHWEIZER. VERSICHERUNGS GES.
Bearer shares, par 20 Swiss francs
WINTERTHUR SCHWEIZER. VERSICHERUNGS GES.
Registered shares, par 20 Swiss francs
ZUERICH VERSICHERUNGS-GESELLSCHAFT
Registered shares, par 10 Swiss francs
Thailand
ADVANCED INFORMATION SERVICES PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
ASIA SECURITIES TRADING CO. LTD.
Ordinary shares, par 10 Thai baht
BANGKOK BANK PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
BANGKOK LAND PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
BANGKOK METROPOLITAN BANK PUBLIC CO. LTD.
Common, par 10 Thai baht
BANK OF ASIA PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
BANK OF AYUDHYA PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
BANPU PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
CHAROEN POKPHAND FEEDMILL PUBLIC CO. LTD.
Common, par 10 Thai baht
CHRISTIAN & NIELSEN (THAILAND) PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
CMIC FINANCE & SECURITIES PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
DHANA SIAM FINANCE & SECURITIES PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
FINANCE ONE PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
FIRST BANGKOK CITY BANK PUBLIC CO. LTD.
Ordinary shares, par 15 Thai baht
GENERAL FINANCE & SECURITIES PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
HEMARAJ LAND & DEVELOPMENT PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
INDUSTRIAL FINANCE CORP OF THAILAND PUBLIC CO. LTD.
Common, par 10 Thai baht
INTERNATIONAL BROADCASTING PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
INTERNATIONAL COSMETICS PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
KRISDA MAHANAKORN PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
KRUNG THAI BANK PUBLIC CO. LTD.
Common, par 10 Thai baht
LAND & HOUSES PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
MDX PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
NATURAL PARK PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
NAVA FINANCE & SECURITIES PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
NTS STEEL GROUP PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
PHATRA THANAKIT PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
PROPERTY PERFECT PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
QUALITY HOUSES PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
REGIONAL CONTAINER LINES PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
SAMART CORP PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
SECURITIES ONE PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
SHINAWATRA COMPUTER & COMMUNICATIONS PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
SIAM CEMENT PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
SIAM CITY BANK PUBLIC CO. LTD.
Ordinary shares, par 5 Thai baht
SIAM CITY CEMENT PUBLIC CO. LTD. (THE)
Ordinary shares, par 10 Thai baht
SIAM COMMERCIAL BANK PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
TELECOM ASIA PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
THAI FARMERS BANK PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
THAI GERMAN CERAMIC PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
THAI MILITARY BANK PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
TPI POLENE CO. PUBLIC CO. LTD.
Ordinary shares, par 10 Thai baht
UNION ASIA FINANCE PUBLIC CO. LTD.
Common shares, par 10 Thai baht
UNIVEST LAND PUBLIC CO. LTD.
Common shares, par 10 Thai baht
WATTACHAK CO. LTD.
Ordinary shares, par 10 Thai baht
UNITED KINGDOM
ABBEY NATIONAL PLC
[[Page 39582]]
Ordinary shares, par 10 p
ALBERT FISHER GROUP PLC
Ordinary shares, par 5 p
ALLIED COLLOIDS GROUP PLC
Ordinary shares, par 10 p
ALLIED DOMECQ PLC
Ordinary shares, par 25 p
AMSTRAD PLC
Ordinary shares, par 25 p
ANGLIAN WATER PLC
Ordinary shares, par 1
APV PLC
Ordinary shares, par 10 p
ARGOS PLC
Ordinary shares, par 10 p
ARGYLL GROUP PLC
Ordinary shares, par 25 p
ARJO WIGGINS APPLETON PLC
Ordinary shares, par 25 p
ASDA GROUP PLC
Ordinary shares, par 25 p
ASSOCIATED BRITISH FOODS PLC
Ordinary shares, par 5 p
ASSOCIATED BRITISH PORTS HOLDINGS PLC
Ordinary shares, par 25 p
B.A.T. INDUSTRIES PLC
Ordinary shares, par 25 p
BAA PLC
Ordinary shares, par 1
BANK OF SCOTLAND (GOVERNOR & COMPANY)
Ordinary shares, par 25 p
BARCLAYS PLC
Ordinary shares, par 1
BARRATT DEVELOPMENTS PLC
Ordinary shares, par 10 p
BASS PLC
Ordinary shares, par 25 p
BBA GROUP PLC
Ordinary shares, par 25 p
BET PLC
Ordinary shares, par value 25 p
BICC PLC
Ordinary shares, par 50 p
BILTON PLC
Ordinary shares, par .125 p
BLUE CIRCLE INDUSTRIES PLC
Ordinary shares, par 50 p
BOC GROUP PLC, THE
Ordinary shares, par 25 p
BOOKER PLC
Ordinary shares, par 25 p
BOOTS COMPANY PLC
Ordinary shares, par 25 p
BOWTHORPE PLC
Ordinary shares, par 10 p
BPB INDUSTRIES PLC
Ordinary shares, par 50 p
BRADFORD PROPERTY TRUST PLC
Ordinary shares, par 5 p
BRITISH AEROSPACE PLC
Ordinary shares, par 10 p
BRITISH AIRWAYS PLC
Ordinary shares, par 25 p
BRITISH GAS PLC
Ordinary shares, par 25 p
BRITISH LAND COMPANY PLC
Ordinary shares, par 25 p
BRITISH PETROLEUM COMPANY PLC, THE
Ordinary shares, par 25 p
BRITISH SKY BROADCASTING GROUP PLC
Ordinary shares, par 25 p
BRITISH STEEL PLC
Ordinary shares, par 50 p
BRITISH TELECOMMUNICATIONS PLC
Ordinary shares, par 25 p
BRIXTON ESTATE PLC
Ordinary shares, par 25 p
BRYANT GROUP PLC
Ordinary shares, par 25 p
BTR PLC
Ordinary shares, par 25 p
BUNZL PLC
Ordinary shares, par 25 p
BURMAH CASTROL PLC
Ordinary shares, par 1
BURMAH OIL PLC, THE
Ordinary shares, par value 100 p
BURTON GROUP PLC, THE
Ordinary shares, par 10 p
CABLE AND WIRELESS PLC
Ordinary shares, par 5 p
CADBURY SCHWEPPES PLC
Ordinary shares, par 25 p
CARADON PLC
Ordinary shares, par 25 p
CARLTON COMMUNICATIONS PLC
Ordinary shares, par 5 p
CHARTER PLC
Ordinary Registered 2 p
CHRISTIES INTERNATIONAL PLC
Ordinary shares, par 5 p
CMIC FINANCE & SECURITIES PLC
Foreign Registered 50 p
COATS VIYELLA PLC
Ordinary shares, par 25 p
COMMERCIAL UNION PLC
Ordinary shares, par 25 p
COOKSON GROUP PLC
Ordinary shares, par 50 p
COURTAULDS PLC
Ordinary shares, par 25 p
COURTAULDS TEXTILES PLC
Ordinary shares, par 25 p
DALGETY PLC
Ordinary shares, par 1
DAWSON INTERNATIONAL PLC
Ordinary shares, par 25 p
DE LA RUE PLC
Ordinary shares, par 25 p
DIPLOMA PLC
Ordinary shares, par 5 p
DIXONS GROUP PLC
Ordinary shares, par 10 p
EAST MIDLANDS ELECTRICITY PLC
Ordinary shares, par 50 p
EASTERN GROUP PLC
Ordinary shares, par value 50 p
EDINBURGH INVESTMENT TRUST PLC, THE
Ordinary shares, par 25 p
ELECTRA INVESTMENT TRUST PLC
Ordinary shares, par 25
ELECTROCOMPONENTS PLC
Ordinary shares, par 10 p
ENGLISH CHINA CLAYS PLC
Ordinary shares, par 25 p
ENTERPRISE OIL PLC
Ordinary shares, par 25 p
EUROTUNNEL EPLC ESA
No par Ordinary Units
FIRST LEISURE CORPORATION PLC
Ordinary shares, par 25 p
FISONS PLC
Ordinary shares, par value 25 p
FKI PLC
Ordinary shares, par 10 p
FLEMING MERCANTILE INVESTMENT TRUST PLC
Ordinary shares, par 25 p
FOREIGN & COLONIAL INVESTMENT TRUST PLC
Ordinary shares, par 25 p
FORTE PLC
Ordinary shares, par value 25 p
GENERAL ACCIDENT PLC
Ordinary shares, par 25 p
GENERAL ELECTRIC COMPANY PLC
Ordinary shares, par 5 p
GEORGE WIMPEY PLC
Ordinary shares, par 25 p
GKN PLC
Ordinary shares, par 1
GLAXO HOLDINGS PLC
Ordinary shares, par value 50 p
GLAXO WELLCOME PLC
Ordinary shares, par 25 p
GLYNWED INTERNATIONAL PLC
Ordinary shares, par 25 p
GRANADA GROUP PLC
Ordinary shares, par 25 p
GRAND METROPOLITAN PLC
Ordinary shares, par 25 p
GREAT PORTLAND ESTATES PLC
Ordinary shares, par 50 p
GREAT UNIVERSAL STORES PLC
Ordinary shares, par 25 p
GREENALLS GROUP PLC
Limited voting ordinary shares, par 25 p
GUARDIAN ROYAL EXCHANGE PLC
Ordinary shares, par 5 p
GUINNESS PLC
Ordinary shares, par 25 p
HALMA PLC
Ordinary shares, par 10 p
HAMBROS PLC
Ordinary shares, par 20 p
HAMMERSON PLC
Ordinary shares, par 25 p
HANSON PLC
Ordinary shares, par 25 p
HARRISONS & CROSFIELD PLC
Ordinary shares, par 25 p
HEPWORTH PLC
Ordinary shares, par 25 p
HIGHLAND DISTILLERIES COMPANY PLC
Ordinary shares, par 20 p
HILLSDOWN HOLDINGS PLC
Ordinary shares, par 10 p
HSBC HOLDINGS PLC
HK$10.00 par ordinary shares
[[Page 39583]]
HSBC HOLDINGS PLC
Ordinary shares, par 75 p
IMI PLC
Ordinary shares, par 25 p
IMPERIAL CHEMICAL INDUSTRIES PLC
Ordinary shares, par 1
INCHCAPE PLC
Ordinary shares, par 25 p
INVESCO PLC
Ordinary shares, par 25 p
J SAINSBURY PLC
Ordinary shares, par 25 p
JOHNSON MATTHEY PLC
Ordinary shares, par 1
KINGFISHER PLC
Ordinary shares, par 25 p
KWIK SAVE GROUP PLC
Ordinary shares, par 10 p
LADBROKE GROUP PLC
Ordinary shares, par 10 p
LAING (JOHN) PLC
Ordinary shares, par 25 p
LAING (JOHN) PLC
A Ordinary Non-voting 25 p
LAND SECURITIES PLC
Ordinary shares, par 1
LAPORTE PLC
Ordinary shares, par 50 p
LASMO PLC
Ordinary shares, par 25 p
LEGAL & GENERAL GROUP PLC
Ordinary shares, par 25 p
LLOYDS ABBEY LIFE PLC
Ordinary shares, par 5 p
LLOYDS BANK PLC
Ordinary shares, par 25 p
LONDON ELECTRICITY PLC
Ordinary shares, par 50 p
LONRHO PLC
Ordinary shares, par 25 p
LUCAS INDUSTRIES PLC
Ordinary shares, par 25 p
M & G GROUP PLC
Ordinary shares, par 25 p
MARKS AND SPENCER PLC
Ordinary shares, par 25 p
MARLEY PLC
Ordinary shares, par 25 p
MCKECHNIE PLC
Ordinary shares, par 25 p
MEPC PLC
Ordinary shares, par 25 p
MERCHANTS TRUST PLC, THE
Ordinary shares, par 25 p
MERCURY ASSET MANAGEMENT GROUP PLC
Ordinary shares, par 5 p
MEYER INTERNATIONAL PLC
Ordinary shares, par 25 p
MORGAN CRUCIBLE COMPANY PLC, THE
Ordinary shares, par 25 p
NATIONAL GRID GROUP PLC
Ordinary shares, par 50 p
NATIONAL POWER PLC
Ordinary shares, par 50 p
NATIONAL WESTMINSTER BANK PLC
Ordinary shares, par 1
NEXT PLC
Ordinary shares, par 10 p
NFC PLC
Ordinary shares, par 5 p
NORTHERN FOODS PLC
Ordinary shares, par 25 p
PEARSON PLC
Ordinary shares, par 25 p
PENINSULAR & ORIENTAL STEAM NAVIGATION
Defer Unit 1
PILKINGTON PLC
Ordinary shares, par 50 p
POWERGEN PLC
Ordinary shares, par 50 p
PREMIER FARNELL PLC
Ordinary shares, par 5 p
PROVIDENT FINANCIAL PLC
Ordinary shares, par 10 p
PRUDENTIAL CORPORATION PLC
Ordinary shares, par 5 p
RACAL ELECTRONICS PLC
Ordinary shares, par value 25 p
RANK ORGANISATION PLC
Ordinary shares, par 10 p
RECKITT & COLMAN PLC
Ordinary shares, par 10 p
REDLAND PLC
Ordinary shares, par 25 p
REED INTERNATIONAL PLC
Ordinary shares, par 25 p
RENTOKIL GROUP PLC
Ordinary shares, par 2 p
REUTERS HOLDINGS PLC
B Ordinary, par 2.5 p
REXAM PLC
Ordinary shares, par 50 p
RMC GROUP PLC
Ordinary shares, par 25 p
ROLLS-ROYCE PLC
Ordinary shares, par 20 p
ROYAL BANK OF SCOTLAND GROUP PLC
Ordinary shares, par 25 p
ROYAL INSURANCE HOLDINGS PLC
Ordinary shares, par 25 p
RTZ CORPORATION PLC
Ordinary shares, par 10 p
RUGBY GROUP PLC, THE
Ordinary shares, par 25 p
SCAPA GROUP PLC
Ordinary shares, par 25 p
SCHRODERS PLC
Ordinary shares, par 1
SCHRODERS PLC
Non-voting Ordinary shares, par 1
SCOTTISH & NEWCASTLE PLC
Ordinary shares, par 20 p
SCOTTISH HYDRO-ELECTRIC PLC
Ordinary shares, par 50 p
SCOTTISH POWER PLC
Ordinary shares, par 50 p
SEARS PLC
Ordinary shares, par 25 p
SEDGWICK GROUP PLC
Ordinary shares, par 10 p
SEVERN TRENT PLC
Ordinary shares, par 1
SHELL TRANSPORT & TRADING COMPANY, THE
Ordinary Registered 25 p
SIEBE PLC
Ordinary shares, par 25 p
SLOUGH ESTATES PLC
Ordinary shares, par 25 p
SMITH & NEPHEW PLC
Ordinary shares, par 10 p
SMITH (W.H.) GROUP PLC
A Ordinary, par 50 p
SMITHKLINE BEECHAM PLC
A Ordinary, par 12.5 p
SMITHS INDUSTRIES PLC
Ordinary shares, par 25 p
SOUTHERN ELECTRIC PLC
Ordinary shares, par 53 p
SPIRAX-SARCO ENGINEERING PLC
Ordinary shares, par 25 p
STANDARD CHARTERED PLC
Ordinary shares, par 25 p
STOREHOUSE PLC
Ordinary shares, par 10 p
SUN ALLIANCE GROUP PLC
Ordinary shares, par 25 p
T & N PLC
Ordinary shares, par 1
T.I. GROUP PLC
Ordinary shares, par 25 p
TARMAC PLC
Ordinary shares, par 50 p
TATE & LYLE PLC
Ordinary shares, par 25 p
TAYLOR WOODROW PLC
Ordinary shares, par 25 p
TELEWEST COMMUNICATIONS PLC
Ordinary shares, par 10 p
TESCO PLC
Ordinary shares, par 5 p
THAMES WATER PLC
Ordinary shares, par 1
THORN EMI PLC
Ordinary shares, par 25 p
TOMKINS PLC
Ordinary shares, par 5 p
TR CITY OF LONDON TRUST PLC
Ordinary shares, par 25 p
TR SMALLER COMPANIES INVESTMENT TRUST
Ordinary shares, par 25 p
TSB GROUP PLC
Ordinary shares, par value 25 p
UNIGATE PLC
Ordinary shares, par 25 p
UNILEVER PLC
Ordinary shares, par 5 p
UNITED BISCUITS (HOLDINGS) PLC
Ordinary shares, par 25 p
UNITED NEWS & MEDIA PLC
Ordinary shares, par 25 p
UNITED UTILITIES PLC
Ordinary shares, par 1
VAUX GROUP PLC
Ordinary shares, par 10 p
VENDOME LUXURY GROUP PLC
Ordinary shares, par 10 p
VICKERS PLC
Ordinary shares, par 50 p
VODAFONE GROUP PLC
Ordinary shares, par 5 p
WHITBREAD PLC
[[Page 39584]]
A Ordinary, par 25 p
WILLIAM BAIRD PLC
Ordinary shares, par 50 p
WILLIAMS HOLDINGS PLC
Ordinary shares, par 25 p
WILLIS CORROON GROUP PLC
Ordinary shares, par 12.5 p
WILSON (CONNOLLY) HOLDINGS PLC
Ordinary shares, par 25 p
WITAN INVESTMENT COMPANY PLC
Ordinary shares, par 25 p
WOLSELEY PLC
Ordinary shares, par 25 p
YORKSHIRE ELECTRICITY GROUP PLC
Ordinary shares, par .5682 p
ZENECA GROUP PLC
Ordinary shares, par 25 p
By order of the Board of Governors of the Federal Reserve System,
acting by its Director of the Division of Banking Supervision and
Regulation pursuant to delegated authority (12 CFR 265.7(f)(10)), July
23, 1996.
William W. Wiles,
Secretary of the Board.
[FR Doc. 96-19163 Filed 7-29-96; 8:45 am]
BILLING CODE 6210-01-P
Complete official Federal Register PDF
FR Doc. 96-18988 Bureau of Administration; Certificates of Authentication
[Federal Register Volume 61, Number 147 (Tuesday, July 30, 1996)]
[Rules and Regulations]
[Pages 39584-39585]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-18988]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF STATE
22 CFR Part 131
[Public Notice 2413]
Bureau of Administration; Certificates of Authentication
AGENCY: Department of State.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This rule amends Department of State regulations on issuance
of certificates of authentication to provide for Assistant
Authentication Officers, in addition to the Authentication Officer and
Acting Authentication Officer, to authenticate documents on behalf of
the Secretary of State.
EFFECTIVE DATES: July 31, 1996.
FOR FURTHER INFORMATION CONTACT: K.E. Malmborg, Attorney Adviser,
Officer of the Legal Adviser, Department of State, 22d and C Street
N.W., Washington D.C. 20520, Telephone (202) 647-5154.
SUPPLEMENTARY INFORMATION: 22 CFR part 131 was issued in 1957. At that
time, the volume of authentications of legal documents for use outside
the United States and of foreign legal documents for use within the
United States was such that the Department of State Authentication
Officer, or Acting Authentication Officer, could perform the
authentication function. The volume of such authentications is now such
that, even with the entry into force for the United States of the
Convention abolishing the requirement of legalisation for foreign
public documents of October 5, 1961 (33 UST 883), it is no longer
practical for a single officer to perform this function. In order to
enable the Department to respond more effectively to the needs of the
public, this rule provides for additional officers to exercise
authority to authenticate documents.
This rule relates to internal agency management. Therefore,
pursuant to 5 USC 553, notice of proposed rulemaking and opportunity
for comment are not required, and this rule may be made effective less
than 30-days after publication in the Federal Register. Further, since
this rule relates to internal agency management, it is exempt from the
provisions of Executive Orders 12778 and 12866. Also, this rule is not
a major rule and will not cause a significant economic impact or other
substantial effect on small entities. Therefore, the requirements of
the Regulatory Flexibility Act, 5 USC 601 et seq., do not apply. Nor
does the rule impose unfunded mandates requiring analysis under the
Unfunded Mandates Reform Act. Because this is a rule of
[[Page 39585]]
agency organization, it is not required to be submitted to the Congress
and the General Accounting Officer under the Small Business Regulatory
Enforcement Fairness Act of 1996; however, it is anticipated that
having additional authentication officers will expedite the processing
of authentication requests by small entities.
List of Subjects in 22 CFR Part 131
Seals and insignia.
Accordingly, under the authority of 5 USC 301 and 553 and 22 USC
2651a, Sec. 131.1 is revised to read as follows:
The Authentication Officer, Acting Authentication Officer, or
any Assistant Authentication Officer designated by either of the
former officers may, and is hereby authorized to, sign and issue
certificates of authentication under the seal of the Department of
State for and in the name of the Secretary of State or the Acting
Secretary of State. The form of authentication shall be as follows:
In testimony whereof, I, ____________________, Secretary of
State have hereunto caused the seal of the Department of State to be
affixed and my name subscribed by the Authentication Officer, Acting
Authentication Officer, or an Assistant Authentication Officer, of
the said Department, at________. in ____________, this ________ day
of ________________ 19______
----------------------------------------------------------------------
(Secretary of State)
By---------------------------------------------------------------------
(____________________ Authentication Officer, Department of State)
(22 U.S.C. 2651a)
Dated: July 12, 1996.
Patrick F. Kennedy,
Assistant Secretary for Administration.
[FR Doc. 96-18988 Filed 7-29-96; 8:45 am]
BILLING CODE 4710-24-M
Complete official Federal Register PDF
FR Doc. 96-18097 Subsistence Management Regulations for Public Lands in Alaska, Subpart C and Subpart D1996-1997 Subsistence Taking of Fish and Wildlife Regulations
[Federal Register Volume 61, Number 147 (Tuesday, July 30, 1996)]
[Rules and Regulations]
[Pages 39698-39753]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-18097]
[[Page 39697]]
_______________________________________________________________________
Part II
Department of Agriculture
Forest Service
36 CFR Part 242
Department of the Interior
Fish and Wildlife Service
50 CFR Part 100
_______________________________________________________________________
Subsistence Management Regulations for Public Lands in Alaska, Subparts
C and D--1996-97 Subsistence Taking of Fish and Wildlife Regulations;
Final Rule
Federal Register / Vol. 61, No. 147 / Tuesday, July 30, 1996 / Rules
and Regulations
[[Page 39698]]
DEPARTMENT OF AGRICULTURE
Forest Service
36 CFR Part 242
DEPARTMENT OF THE INTERIOR
Fish and Wildlife Service
50 CFR Part 100
RIN 1018-AD42
Subsistence Management Regulations for Public Lands in Alaska,
Subpart C and Subpart D--1996-1997 Subsistence Taking of Fish and
Wildlife Regulations
AGENCY: Forest Service, Agriculture; and Fish and Wildlife Service,
Interior.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This final rule establishes regulations for seasons, bag
limits, methods, and means related to taking of wildlife for
subsistence uses during the 1996-1997 regulatory year. The rulemaking
is necessary because Subpart D is subject to an annual public review
cycle. This rulemaking replaces the wildlife regulations included in
the ``Subsistence Management Regulations for Public Lands in Alaska,
Subpart D--1995-1996 Subsistence Taking of Fish and Wildlife
Regulations'', which expire on July 31, 1996. This rule also amends the
Customary and Traditional Use Determinations of the Federal Subsistence
Board (Section ____.24 of Subpart C). This rule also restates and
extends Sections ____.26, Subsistence Taking of Fish and ____.27,
Subsistence Taking of Shellfish.
EFFECTIVE DATE: Section ____.24 is effective August 1, 1996. Section
____.25 is effective August 1, 1996, through June 30, 1997. Sections
____.26 and ____.27 are effective January 1, 1997, through December 31,
1997.
FOR FURTHER INFORMATION CONTACT: Chair, Federal Subsistence Board, c/o
U.S. Fish and Wildlife Service, Attention: Thomas H. Boyd, Office of
Subsistence Management, 1011 E. Tudor Road, Anchorage, Alaska 99503;
telephone (907) 786-3864. For questions specific to National Forest
System lands, contact Ken Thompson, Regional Subsistence Program
Manager, USDA, Forest Service, Alaska Region, P.O. Box 21628, Juneau,
Alaska 99802-1628, telephone (907) 586-7921.
SUPPLEMENTARY INFORMATION:
Background
Title VIII of the Alaska National Interest Lands Conservation Act
(ANILCA) (16 U.S.C. 3111-3126) requires that the Secretary of the
Interior and the Secretary of Agriculture (Secretaries) implement a
joint program to grant a preference for subsistence uses of fish and
wildlife resources on public lands, unless the State of Alaska enacts
and implements laws of general applicability which are consistent with
ANILCA, and which provide for the subsistence definition, preference,
and participation specified in Sections 803, 804, and 805 of ANILCA.
The State implemented a program that the Department of the Interior
previously found to be consistent with ANILCA. However, in December
1989, the Alaska Supreme Court ruled in McDowell v. State of Alaska
that the rural preference in the State subsistence statute violated the
Alaska Constitution. The Court's ruling in McDowell required the State
to delete the rural preference from the subsistence statute, and
therefore, negated State compliance with ANILCA. The Court stayed the
effect of the decision until July 1, 1990.
As a result of the McDowell decision, the Department of the
Interior and the Department of Agriculture (Departments) assumed, on
July 1, 1990, responsibility for implementation of Title VIII of ANILCA
on public lands. On June 29, 1990, the Temporary Subsistence Management
Regulations for Public Lands in Alaska were published in the Federal
Register (55 FR 27114-27170). Consistent with Subparts A, B, and C of
these regulations, a Federal Subsistence Board was established to
administer the Federal subsistence management program. The Board's
composition includes a Chair appointed by the Secretary of the Interior
with concurrence of the Secretary of Agriculture; the Alaska Regional
Director, U.S. Fish and Wildlife Service; the Alaska Regional Director,
U.S. National Park Service; the Alaska State Director, U.S. Bureau of
Land Management; the Alaska Area Director, U.S. Bureau of Indian
Affairs; and the Alaska Regional Forester, USDA Forest Service. Through
the Board, these agencies have participated in development of
regulations for Subparts A, B, and C, and the annual Subpart D
regulations. All Board members have reviewed this rule and agree with
its substance. Because this rule relates to public lands managed by an
agency or agencies in both the Departments of Agriculture and the
Interior, identical text would be incorporated into 36 CFR Part 242 and
50 CFR Part 100.
Applicability of Subparts A, B, and C
Subparts A, B, and C (unless otherwise amended) of the Subsistence
Management Regulations for Public Lands in Alaska, 50 CFR Secs. 100.1
to 100.23 and 36 CFR Secs. 242.1 to 242.23, remain effective and apply
to this rule for Secs. ____.23-____.25. Therefore, all definitions
located at 50 CFR Sec. 100.4 and 36 CFR Sec. 242.4 apply to regulations
found in this subpart. The identified sections include definitions for
the following terms:
``Federal lands means lands and waters and interests therein title
to which is in the United States''; and
``public land or public lands means lands situated in Alaska which
are Federal lands, except--
(1) land selections of the State of Alaska which have been
tentatively approved or validly selected under the Alaska Statehood Act
and lands which have been confirmed to, validly selected by, or granted
to the Territory of Alaska or the State under any other provision of
Federal Law;
(2) land selections of a Native Corporation made under the Alaska
Native Claims Settlement Act which have not been conveyed to a Native
Corporation, unless any such selection is determined to be invalid or
is relinquished; and
(3) lands referred to in Section 19(b) of the Alaska Native Claims
Settlement Act.''
Navigable Waters
At this time, Federal subsistence management program regulations
apply to all non-navigable waters located on public lands and to
navigable waters located on the public lands identified at 50 CFR
Sec. 100.3(b) and 36 CFR Sec. 242.3(b) of the Subsistence Management
Regulations for Public Lands in Alaska, Subparts A, B, and C (57 FR
22940-22964) published May 29, 1992. Nothing in these regulations is
intended to enlarge or diminish authorities of the Departments to
manage submerged lands, title to which is held by the United States
government.
The Board recognizes Judge Holland's order granting preliminary
relief to the plaintiffs in the case of the Native Village of Quinhagak
et al. v. United States of America et al. Therefore, to the extent that
the proposed regulations would continue any existing restrictions on
the taking of rainbow trout by the residents of Quinhagak and Goodnews
Bay in the Kanektok, Arolik, and Goodnews Rivers, those regulations
will not be enforced pending completion of proceedings in that case.
However, in light of the continuation of the
[[Page 39699]]
proceedings in the consolidated ``Katie John'' litigation and a
petition to the Secretaries of the Interior and Agriculture addressing
jurisdiction in navigable waters, no attempt is being made to alter the
fish and shellfish portions of the regulations (Sections ____.26 and
____.27) until final guidance has been received regarding the
jurisdictional authority of the Federal government over navigable
waters in general, and specifically with respect to the waters at issue
in Native Village of Quinhagak et al. v. United States of America et
al.
Federal Subsistence Regional Advisory Councils
Pursuant to the Record of Decision, Subsistence Management
Regulations for Federal Public Lands in Alaska, April 6, 1992, and the
Subsistence Management Regulations for Federal Public Lands in Alaska,
36 CFR Sec. 242.11 (1992) and 50 CFR 100 Sec. 242.11 (1992), and for
the purposes identified therein, Alaska has been divided into ten
subsistence resource regions, each of which is represented by a Federal
Subsistence Regional Advisory Council (Regional Council). The Regional
Councils provide a forum for rural residents with personal knowledge of
local conditions and resource requirements to have a meaningful role in
the subsistence management of fish and wildlife on Alaska pubic lands.
The Regional Council members represent varied geographical, cultural,
and user diversity within each region.
The Regional Councils have had a substantial role in reviewing the
proposed rule and making recommendations for the final rule. Moreover,
the Council Chairs, or their designated representatives, presented
their Council's recommendations at the Board meeting in April 1996.
Summary of Changes
Section ____.24 (Customary and traditional use determinations) was
published in the Federal Register (57 FR 22940) on May 29, 1992. Since
that time, the Board has made a number of Customary and Traditional Use
Determinations at the request of affected subsistence users. Those
modifications, along with some administrative corrections, were
published in the Federal Register (59 FR 27462, published May 27, 1994;
59 FR 51855, published October 13, 1994; and 60 FR 10317, published
February 24, 1995.) During its April 29-May 3, 1996, meeting, the Board
made additional determinations in addition to various annual season and
harvest limit changes. The public has had extensive opportunity to
review and comment on all changes. Additional details on the recent
Board modifications are contained in the section on Analysis of
Proposals Adopted by the Board.
Section ____.25 (Subpart D) regulations are subject to an annual
cycle and require development of an entire new rule each year. Proposed
Subpart D regulations for the 1996-1997 seasons and bag limits, and
methods and means were published on August 15, 1995, in the Federal
Register (60 FR 42085-42118). A 60-day comment period providing for
public review of the proposed rule and calling for proposals was
advertised by mail, radio, and newspaper. During that period the
Regional Councils met and, in addition to other Regional Council
business, received suggestions for proposals from the public. Overall,
the Board received a total of 101 proposals for change to Customary and
Traditional Use Determinations or to Subpart D. Because of the large
number of proposals submitted or contained in the agency files from
previous years, the Regional Councils were asked to prioritize for
Board action, those proposals relating to Customary and Traditional Use
Determinations. Subsequent to the 60-day review period, the Board
prepared a booklet describing the 67 proposals for analysis and Board
action and distributed it to the public. The public then had an
additional 30 days in which to comment on the proposals for changes to
the regulations. The ten Regional Councils met again, received public
comments, and formulated their recommendations to the Board on
proposals for their respective regions. These final regulations reflect
Board review and consideration of Regional Council recommendations and
public comments submitted to the Board. The final comment period, the
dates of the later Regional Council meetings, the date of the Board
meeting and the August 1 versus July 1 effective date of these
regulations reflect the impact of the Federal furloughs that occurred
in November, December, and January.
Section ____.26 (Subsistence taking of fish) and Section ____.27
(Subsistence taking of shellfish) were last published on June 15, 1995
(60 FR 31542). Fish and shellfish regulations are effective from
January 1 through December 31 each year. Due to litigation and
petitions to the Secretaries of the Interior and Agriculture, both
relating to extended jurisdiction to navigable waters, the fish and
shellfish regulations were not revised for 1997 but, rather, are
extended through December 31, 1997.
Analysis of Proposals Rejected by the Board
The Board rejected twelve proposals and parts of two others based
on recommendations from the respective Regional Council and additional
factors. Except in four instances, the Board action to reject the
proposals reflect Regional Council recommendations. Two of the rejected
proposals were rendered moot by adoption of other proposals.
Three proposals requested that public lands be closed to hunting or
fishing by non-Federally qualified users. The Board determined that the
biological and harvest data did not support a need to close the areas
in order to protect the subsistence user's opportunity to harvest
wildlife. In at least one instance, the proposal area encompassed non-
Federal lands.
Two proposals requested opening a moose season in an area; one
proposal asked that a spike/fork-50 inch antler restriction be removed;
one proposal asked for a cow moose season; and two proposals asked for
longer goat seasons. In all of those cases, examination of the
biological data indicated that the target population could not
withstand the proposed harvest.
The Board also rejected three proposals requesting that customary
and traditional use determinations be revised for sheep, moose and
goats in certain areas. In each case, either the cultural resource data
did not substantiate the request or the use did not occur on Federal
lands.
The Board also deferred action on 13 proposals in order to collect
additional data, or allow communities or Regional Councils additional
time to review the issues and provide additional information.
Analysis of Proposals Adopted by the Board
The Board adopted 36 proposals and parts of 2 others. Some of these
proposals were adopted as submitted and others were adopted with
modifications suggested by the respective Regional Council or developed
during the Board's public deliberations.
All of the adopted proposals were recommended for adoption by the
respective Regional Councils except one and were based on meeting
customary and traditional uses, harvest practices, or protecting
wildlife populations. Detailed information relating to justification on
each proposal may be found in the Board meeting transcripts, available
for review at the Office of Subsistence Management at the address
listed previously.
[[Page 39700]]
Statewide Proposals
One proposal affecting the entire State was acted on by the Board
resulting in changes to the regulations found in Sec. ____.25. The
change relaxed regulations relating to use of motorized vehicles and
brought Federal and State regulations into more agreement.
Southeast Region
Thirteen proposals affecting the Southeast Region were acted on by
the Board resulting in changes to the regulations found in Sec. ____.24
and Sec. ____.25. The following Board actions affect the Southeast
Region and have been incorporated in this final rule:
Revised the customary and traditional use determination
for brown bear for Unit 1.
Revised the customary and traditional use determination
for deer for Unit 4.
Provided for the taking of wildlife for ceremonial
purposes in Units 1--5.
Revised the customary and traditional use determination
for goat for Unit 4.
Revised the season for goat in Unit 5.
Removed the moose hunting closure of Federal public lands
in a portion of Unit 1(B) and opened a season in Unit 1(C).
Revised the season for goat in Unit 3.
Opened a season for moose in a portion of Unit 5(A) and
changed season dates in another part of Unit 5(A).
Southcentral Region
Eleven proposals affecting the Southcentral Region were acted on by
the Board resulting in changes to the regulations found in Sec. ____.24
and Sec. ____.25. The following Board actions affect the Southcentral
Region and have been incorporated in this final rule:
Provided for a customary and traditional use determination
for black bear in Unit 15(C).
Clarified the closure of Fort Richardson and Elmendorf Air
Force Base to subsistence hunting.
Revised the customary and traditional use determination
for black bear in Unit 6.
Provided for a hunt for Mentasta herd caribou in Unit 11.
Revised the customary and traditional use determination
for moose and caribou in Units 13 and 20.
Kodiak/Aleutians Region
Three proposals affecting the Kodiak/Aleutians Region were acted on
by the Board resulting in changes to the regulations found in
Sec. ____.24 and Sec. ____.25. The following Board action affects the
Kodiak/Aleutians Region and has been incorporated in this final rule:
Changed the customary and traditional use determination
for brown bear in Unit 8.
Bristol Bay Region
Eleven proposals affecting the Bristol Bay Region were acted on by
the Board resulting in changes to the regulations found in Sec. ____.24
and Sec. ____.25. The following Board actions affect the Bristol Bay
Region and have been incorporated in this final rule:
Provided for a limited number of permits for brown bears
in Unit 9(B).
Opened a season for Mulchatna herd caribou in Unit 17(A).
Continued and lengthened the season for Nushagak herd
caribou in Unit 17(A).
Revised the customary and traditional use determination
for sheep in Unit 9(B).
Yukon-Kuskokwim Delta Region
Two proposals affecting the Yukon-Kuskokwim Delta Region were acted
on by the Board resulting in changes to the regulations found in
Sec. ____.24. The following Board action affects the Yukon-Kuskokwim
Delta Region and has been incorporated in this final rule:
Revised the customary and traditional use determinations
for black bear in Unit 18.
Western Interior Region
Six proposals affecting the Western Interior Region were acted on
by the Board resulting in changes to the regulations found in
Sec. ____.25. The following Board actions affect the Western Interior
Region and have been incorporated in this final rule:
Extends the boundaries of the Northwest Alaska Brown Bear
Management Area to include all of Unit 24.
Closed to non-qualified Federal subsistence users, Federal
lands within one-half mile along a portion of the Koyukuk River during
a September moose season.
Extended the moose season in a portion of Unit 24.
Seward Peninsula Region
Five proposals affecting the Seward Peninsula Region were acted on
by the Board resulting in changes to the regulations found in
Sec. ____.24 and Sec. ____.25. The following Board actions affect the
Seward Peninsula Region and have been incorporated in this final rule:
Expanded the harvest limits for brown bears in Unit 22.
Revised a customary and traditional use determination for
caribou in Unit 22.
Increased the harvest quota for muskox in Unit 22(D) to
eight bulls.
Created a hunting season for various furbearers.
Northwest Arctic Region
One proposal affecting the Northwest Arctic Region was acted on by
the Board; it did not result in any changes to the regulations found in
Sec. ____.24 and Sec. ____.25. The following Board action affects the
Northwest Arctic:
Defers for one year any changes to the Noatak Controlled
Use Area.
Eastern Interior Region
Nine proposals affecting the Eastern Interior Region were acted on
by the Board resulting in changes to the regulations found in
Sec. ____.24 and Sec. ____.25. The following Board actions affect the
Eastern Interior Region and have been incorporated in this final rule:
Add a winter season for caribou in Units 20(F) and 25(D).
Add an additional moose season for Unit 12.
Revised the customary and traditional use determination
for moose for Unit 25(A).
North Slope Region
Three proposals affecting the North Slope Region were acted on by
the Board resulting in changes to the regulations found in Sec. ____.24
and Sec. ____.25. One Request for Reconsideration from the 1995-96
regulatory cycle was also deliberated by the Board. The following Board
actions affect the North Slope Region and have been incorporated in
this final rule:
Revised the season for brown bear for Subunits A and B and
eliminated the requirement for a Federal registration permit in Subunit
26(A).
Revised and clarified the customary and traditional use
determination for caribou in Unit 26.
Revised the moose season and harvest limit in Unit 26.
Lengthened the season and harvest quota for muskox in Unit
26.
Conformance With Statutory and Regulatory Authorities
National Environmental Policy Act Compliance.--A Draft
Environmental Impact Statement (DEIS) that described four alternatives
for developing a Federal Subsistence Management Program was distributed
for public comment on October 7, 1991. That document described the
major issues associated with Federal subsistence
[[Page 39701]]
management as identified through public meetings, written comments and
staff analysis and examined the environmental consequences of the four
alternatives. Proposed regulations (Subparts A, B, and C) that would
implement the preferred alternative were included in the DEIS as an
appendix. The DEIS and the proposed administrative regulations
presented a framework for an annual regulatory cycle regarding
subsistence hunting and fishing regulations (Subpart D). The Final
Environmental Impact Statement (FEIS) was published on February 28,
1992.
Based on the public comment received, the analysis contained in the
FEIS, and the recommendations of the Federal Subsistence Board and the
Department of the Interior's Subsistence Policy Group, it was the
decision of the Secretary of the Interior, with the concurrence of the
Secretary of Agriculture, through the U.S. Department of Agriculture-
Forest Service, to implement Alternative IV as identified in the DEIS
and FEIS (Record of Decision on Subsistence Management for Federal
Public Lands in Alaska (ROD), signed April 6, 1992). The DEIS and the
selected alternative in the FEIS defined the administrative framework
of an annual regulatory cycle for subsistence hunting and fishing
regulations. The final rule for Subsistence Management Regulations for
Public Lands in Alaska, Subparts A, B, and C (57 FR 22940-22964,
published May 29, 1992) implements the Federal Subsistence Management
Program and includes a framework for an annual cycle for subsistence
hunting and fishing regulations.
Compliance with Section 810 of ANILCA.--The intent of all Federal
subsistence regulations is to accord subsistence uses of fish and
wildlife on public lands a priority over the taking of fish and
wildlife on such lands for other purposes, unless restriction is
necessary to conserve healthy fish and wildlife populations. A Section
810 analysis was completed as part of the FEIS process. The final
Section 810 analysis determination appears in the April 6, 1992, ROD
which concluded that the Federal Subsistence Management Program, under
Alternative IV with an annual process for setting hunting and fishing
regulations, may have some local impacts on subsistence uses, but it
does not appear that the program may significantly restrict subsistence
uses.
Paperwork Reduction Act--These rules contain information collection
requirements subject to Office of Management and Budget (OMB) approval
under the Paperwork Reduction Act of 1995. They apply to the use of
public lands in Alaska. The information collection requirements
described below have been submitted to OMB for extension approval. This
collection of information will not be required until it has been
approved by OMB.
The collection of information will be achieved through the use of
the Federal Subsistence Hunt Permit Application. This collection
information will establish whether the applicant qualifies to
participate in a Federal subsistence hunt on public land in Alaska and
will provide a report of harvest and location of harvest.
The likely respondents to this collection of information are rural
Alaska residents who wish to participate in specific subsistence hunts
on Federal land. The collected information is necessary to determine
harvest success and harvest location in order to make management
decisions relative to the conservation of healthy wildlife populations.
The annual burden of reporting and recordkeeping is estimated to
average 0.25 hours per response, including time for reviewing
instructions, gathering and maintaining data, and completing and
reviewing the form. The estimated number of likely respondents under
this rule is less than 5,000, yielding a total annual reporting and
recordkeeping burden of 1,250 hours or less.
Direct comments on the burden estimate or any other aspect of this
form to: Information Collection Officer, U.S. Fish and Wildlife
Service, 1849 C Street, NW, MS 224 ARLSQ, Washington, DC 20240; and the
Office of Management and Budget, Paperwork Reduction Project
(Subsistence), Washington, DC 20503. Additional information collection
requirements may be imposed if Local Advisory Committees subject to the
Federal Advisory Committee Act are established under Subpart B.
The Board finds that additional public notice and comment
requirements under the Administrative Procedures Act (APA) for this
final rule are impracticable, unnecessary, and contrary to the public
interest. A lapse in regulatory control could seriously affect the
continued viability of wildlife populations, adversely impact future
subsistence opportunities for rural Alaskans, and would generally fail
to serve the overall public interest. Therefore, the Board finds good
cause pursuant to 5 U.S.C.553(b)(B) to waive the public notice and
comment procedures prior to publication of this rule. The Board finds
good cause under 5 U.S.C.553(d)(3) to make this rule effective August
1, 1996.
Economic Effects--This rule was not subject to OMB review under
Executive Order 12866. The Regulatory Flexibility Act of 1980 (5 U.S.C.
601 et seq.) requires preparation of flexibility analyses for rules
that will have a significant effect on a substantial number of small
entities, which include small businesses, organizations or governmental
jurisdictions. The Departments have determined that this rulemaking
will not have a significant economic effect on a substantial number of
small entities within the meaning of the Regulatory Flexibility Act.
This rulemaking will impose no significant costs on small entities;
the exact number of businesses and the amount of trade that will result
from this Federal land-related activity is unknown. The aggregate
effect is an insignificant positive economic effect on a number of
small entities, such as ammunition, snowmachine, and gasoline dealers.
The number of small entities affected is unknown; but, the fact that
the positive effects will be seasonal in nature and will, in most
cases, merely continue preexisting uses of public lands indicates that
they will not be significant.
In general, the resources harvested under this rule will be
consumed by the local harvester and do not result in a dollar benefit
to the economy. However, it is estimated that 2 million pounds of meat
are harvested by the local subsistence users annually and, if given a
dollar value of $3.00 per pound, would equate to $6 million State wide.
Title VIII of ANILCA requires the Secretaries to administer a
subsistence preference on public lands. The scope of this program is
limited by definition to certain public lands. Likewise, these
regulations have no potential takings of private property implications
as defined by Executive Order 12630.
The Service has determined and certifies pursuant to the Unfunded
Mandates Act, 2 U.S.C. 1502 et seq., that this rulemaking will not
impose a cost of $100 million or more in any given year on local or
state governments or private entities.
The Service has determined that these final regulations meet the
applicable standards provided in Sections 3(a) and 3(b)(2) of Executive
Order 12988.
Drafting Information--These regulations were drafted by William
Knauer under the guidance of Thomas H. Boyd, of the Office of
Subsistence Management, Alaska Regional Office, U.S. Fish and Wildlife
Service, Anchorage, Alaska. Additional guidance was provided by Peggy
Fox, Alaska
[[Page 39702]]
State Office, Bureau of Land Management; Sandy Rabinowitch, Alaska
Regional Office, National Park Service; John Borbridge, Alaska Area
Office, Bureau of Indian Affairs; and Ken Thompson, USDA-Forest
Service.
List of Subjects
36 CFR Part 242
Administrative practice and procedure, Alaska, Fish, National
Forests, Public lands, Reporting and recordkeeping requirements,
Wildlife.
50 CFR Part 100
Administrative practice and procedure, Alaska, Fish, Public lands,
Reporting and recordkeeping requirements, Wildlife.
For the reasons set out in the preamble, Title 36, Part 242, and
Title 50, Part 100, of the Code of Federal Regulations, are amended as
set forth below.
PART ____ --SUBSISTENCE MANAGEMENT REGULATIONS FOR PUBLIC LANDS IN
ALASKA
1. The authority citation for both 36 CFR Part 242 and 50 CFR Part
100 continues to read as follows:
Authority: 16 U.S.C. 3, 472, 551, 668dd, 3101-3126; 18 U.S.C.
3551-3586; 43 U.S.C. 1733.
Subpart C--Board Determinations
2. In Subpart C of 36 CFR part 242 and 50 CFR part 100,
Sec. ____.24 is revised to read as follows:
Sec. ____.24 Customary and Traditional Use Determinations
(a) Rural Alaska residents of the listed communities and areas have
been determined to have customary and traditional subsistence use of
the specified species on Federal public lands in the specified areas.
When there is a determination for specific communities or areas of
residence in a Unit, all other communities not listed for that species
in that Unit have no Federal subsistence for that species in that Unit.
If no determination has been made for a species in a Unit, all rural
Alaska residents are eligible to harvest fish or wildlife under this
Part.
----------------------------------------------------------------------------------------------------------------
Area Species Determination
----------------------------------------------------------------------------------------------------------------
(1) Wildlife Determinations
----------------------------------------------------------------------------------------------------------------
Unit 1(C)............................... Black Bear................. Rural residents of Unit 1(C) and Haines,
Gustavus, Klukwan, and Hoonah.
1(A).................................... Brown Bear................. Rural residents of Unit 1(A) except no
subsistence for residents of Hyder.
1(B).................................... Brown Bear................. Rural residents of Unit 1(A), Petersburg,
and Wrangell, except no subsistence for
residents of Hyder.
1(C).................................... Brown Bear................. Rural residents of Unit 1(C), Haines,
Hoonah, Klukwan, Skagway, and Wrangell,
except no subsistence for residents of
Gustavus.
1(D).................................... Brown Bear................. Residents of 1(D).
1(A).................................... Deer....................... Rural residents of 1(A) and 2.
1(B).................................... Deer....................... Rural residents of Unit 1(A), residents
of 1(B), 2 and 3.
1(C).................................... Deer....................... Rural residents of 1(C) and (D), and
residents of Hoonah and Gustavus.
1(D).................................... Deer....................... No subsistence.
1(B).................................... Goat....................... No determination, except no subsistence
for residents of Petersburg, Kupreanof
and outlying areas.
1(C).................................... Goat....................... Residents of Haines, Klukwan, and Hoonah.
1(B) The Stikine River drainages only... Moose...................... No determination.
1(B) North of the LeConte Glacier and Moose...................... No subsistence.
1(C) Berner's Bay.
1(D).................................... Moose...................... Residents of Unit 1(D).
Unit 2.................................. Brown Bear................. No subsistence.
2....................................... Deer....................... Rural residents of Unit 1(A) and
residents of Units 2 and 3.
Unit 3.................................. Deer....................... Residents of Unit 1(B) and 3, and
residents of Port Alexander, Port
Protection, Pt. Baker, and Meyer's
Chuck.
Unit 4.................................. Brown Bear................. Residents of Unit 4 and Kake.
4....................................... Deer....................... Residents of Unit 4 and residents of
Kake, Gustavus, Haines, Petersburg, Pt.
Baker, Klukwan, Port Protection,
Wrangell, and Yakutat.
4....................................... Goat....................... Residents of Sitka, Hoonah, Tenakee,
Pelican, Funter Bay, Angoon, Port
Alexander, and Elfin Cove.
Unit 5.................................. Brown Bear................. Residents of Yakutat.
5....................................... Deer....................... Residents of Yakutat.
5....................................... Moose...................... Residents of Unit 5(A).
Unit 6(A)............................... Black Bear................. Residents of Yakutat and residents of
6(C) and 6(D), except no subsistence for
Whittier.
6, Remainder............................ Black Bear................. Residents of Unit 6(C) and 6(D), except
no subsistence for Whittier.
6....................................... Brown Bear................. No subsistence.
6(C) and (D)............................ Goat....................... Rural residents of Unit 6(C) and (D).
6....................................... Moose...................... No subsistence.
6....................................... Wolf....................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon and 16-26.
Unit 7.................................. Brown Bear................. No subsistence.
7....................................... Caribou.................... No subsistence.
7, Brown Mountain hunt area............. Goat....................... Residents of Port Graham and English Bay.
7....................................... Moose...................... No subsistence.
[[Page 39703]]
7....................................... Sheep...................... No subsistence.
Unit 8.................................. Brown Bear................. Residents of Old Harbor, Akhiok, Larsen
Bay, Karluk, Ouzinkie, and Port Lions.
8....................................... Deer....................... Residents of Unit 8.
8....................................... Elk........................ No subsistence.
8....................................... Goat....................... No subsistence.
Unit 9(D)............................... Bison...................... No subsistence.
9(A), (C) and (D)....................... Brown Bear................. No subsistence.
9(B).................................... Brown Bear................. Residents of Unit 9(B).
9(E).................................... Brown Bear................. Residents of Chignik Lake, Ivanof Bay and
Perryville.
9(A) and (B)............................ Caribou.................... Residents of Units 9(B), 9(C) and 17.
9(C).................................... Caribou.................... Residents of Unit 9(B), 9(C), 17 and
residents of Egegik.
9(D).................................... Caribou.................... Residents of Unit 9(D), and residents of
False Pass.
9(E).................................... Caribou.................... Residents of Units 9(B), (C), (E), 17,
and residents of Nelson Lagoon and Sand
Point.
9(A), (B), (C) and (E).................. Moose...................... Residents of Unit 9(A), (B), (C) and (E).
9(D).................................... Moose...................... No subsistence.
9(B).................................... Sheep...................... Residents of Iliamna, Newhalen,
Nondalton, Pedro Bay, and Port Alsworth.
9 Remainder............................. Sheep...................... No determination.
9....................................... Wolf....................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon and 16-26.
Unit 10 Unimak Island................... Caribou.................... Residents of False Pass.
10 Remainder............................ Caribou.................... No determination.
10...................................... Wolf....................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon and 16-26.
Unit 11................................. Bison...................... No subsistence.
11...................................... Brown Bear................. No subsistence.
11...................................... Caribou.................... Mentasta Herd--residents of Units 11, 12
(along Nabesna Road) and 13 (A)-(D) and
the residents of Chickaloon.
11...................................... Goat....................... No subsistence.
11...................................... Moose...................... Residents of Unit 11, residents of Unit
12 (along Nabesna Road) and Unit 13 (A)-
(D) and the residents of Chickaloon.
11...................................... Sheep...................... Residents of the communities and areas of
Chisana, Chistochina, Chitina, Copper
Center, Gakona, Glennallen, Gulkana,
Kenny Lake, Mentasta Lake, Slana,
McCarthy/South Wrangell/South Park,
Tazlina and Tonsina; Residents along the
Tok Cuttoff--Milepost 79-110 (Mentasta
Pass), residents along the Nabesna Road--
Milepost 0-46 (Nabesna Road), and
residents along the McCarthy Road--
Milepost 0-62 (McCarthy Road). However,
no subsistence for the communities and
areas of Cantwell, Lake Louise, Paxson,
North Slana Homestead, South Slana
Homestead, Sourdough, Tanacross, Tok;
residents along the Lake Louise Road--
Milepost 0-14; residents on the Glenn
Highway--Milepost 78-180 (east Glenn
Highway and west Glenn Highway).
11...................................... Wolf....................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon and 16-26.
11...................................... Grouse (Spruce, Blue, Residents of Units 11, 13 and the
Ruffed and Sharp-tailed). residents of Chickaloon, 15, 16, 20(D),
22 and 23.
11...................................... Ptarmigan (Rock, Willow and Residents of Units 11, 13 and the
White-tailed). residents of Chickaloon, 15, 16, 20(D),
22 and 23.
Unit 12................................. Brown Bear................. No subsistence.
12...................................... Caribou-Nelchina Herd...... Residents of Northway and Tetlin.
12...................................... Caribou-40 Mile Herd....... Residents of Unit 12, north of Wrangell-
St. Elias National Park and Preserve and
rural residents of Unit 20(D) and (E).
12 South of a line from Noyes Mountain, Moose...................... Residents of Unit 11 north of 62nd
southeast of the confluence of parallel (excluding North Slana
Tatschunda Creek to Nabesna River. Homestead and South Slana Homestead);
and residents of Unit 12, 13(A)-(D) and
the residents of Chickaloon and
residents of Dot Lake.
12 East of the Nabesna River, south of Moose...................... Residents of Unit 12.
the Winter Trail from Pickerel Lake to
the Canadian Border.
12 Remainder of Unit 12................. Moose...................... Residents of Unit 12 and residents of Dot
Lake and Mentasta Lake.
12, Tok Management area................. Sheep...................... No subsistence.
12 Remainder of Unit 12................. Sheep...................... No determination.
12...................................... Wolf....................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon and 16-26.
Unit 13................................. Brown Bear................. No subsistence.
13...................................... Caribou Nelchina Herd...... Residents of Units 11, 13 and the
residents of Chickaloon, and 12 (along
Nabesna Road).
[[Page 39704]]
13(E)................................... Caribou.................... Residents of McKinley Village, and the
area along the Parks Highway between
milepost 216 and 239 (except no
subsistence for residents of Denali
National Park headquarters).
13(D)................................... Goat....................... No subsistence.
13...................................... Moose...................... Residents of Unit 13 and the residents of
Chickaloon.
13(E)................................... Moose...................... Residents of McKinley Village, and the
area along the Parks Highway between
milepost 216 and 239 (except no
subsistence for residents of Denali
National Park headquarters).
13 Tok and Delta Management Areas....... Sheep...................... No subsistence.
13(D)................................... Sheep...................... No subsistence.
13...................................... Wolf....................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon, and 16-26.
13...................................... Grouse (Spruce, Blue, Residents of Units 11, 13 and the
Ruffed & Sharp-tailed). residents of Chickaloon, 15, 16, 20(D),
22 & 23.
13...................................... Ptarmigan (Rock, Willow and Residents of Units 11, 13 and the
White-tailed). residents of Chickaloon, 15, 16, 20(D),
22 & 23.
Unit 14(B) and (C)...................... Brown Bear................. No subsistence.
14...................................... Goat....................... No subsistence.
14...................................... Moose...................... No subsistence.
14(A) and (C)........................... Sheep...................... No subsistence.
Unit 15(C).............................. Black Bear................. Residents of Port Graham and Nanwalek
only.
15 Remainder............................ Black Bear................. No subsistence.
15...................................... Brown Bear................. No subsistence.
15(C), Port Graham and English Bay hunt Goat....................... Residents of Port Graham and English Bay.
areas.
15(C), Seldovia hunt area............... Goat....................... Residents Seldovia area.
15(A)................................... Moose...................... No subsistence.
15(B) and (C)........................... Moose...................... Residents of Ninilchik, Nanwalek, Port
Graham, and Seldovia.
15...................................... Sheep...................... No subsistence.
15...................................... Ptarmigan (Rock, Willow and Residents of Units 11, 13 and the
White-tailed). residents of Chickaloon, 15, 16, 20(D),
22 and 23.
15...................................... Grouse (Spruce, Blue, Residents of Units 11, 13 and the
Ruffed and Sharp-tailed). residents of Chickaloon, 15, 16, 20(D),
22 and 23.
Unit 16................................. Brown Bear................. No subsistence.
16(A)................................... Moose...................... No subsistence.
16(B)................................... Moose...................... Residents of Unit 16(B).
16...................................... Sheep...................... No subsistence.
16...................................... Wolf....................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon, and 16-26.
16...................................... Grouse (Spruce, Blue, Residents of Units 11, 13 and the
Ruffed and Sharp-tailed). residents of Chickaloon, 15, 16, 20(D),
22 and 23.
16...................................... Ptarmigan (Rock, Willow and Residents of Units 11, 13 and the
White-tailed). residents of Chickaloon, 15, 16, 20(D),
22 and 23.
Unit 17(A).............................. Brown Bear................. Residents of Unit 17, and residents of
Goodnews Bay and Platinum.
17(A) and (B) Those portions north and Brown Bear................. Residents of Kwethluk.
west of a line beginning from the Unit
18 boundary at the northwest end of
Nenevok Lake, to the southern point of
upper Togiak Lake, and northeast to the
northern point of Nuyakuk Lake,
northeast to the point where the Unit
17 boundary intersects the Shotgun
Hills.
17(B) and (C)........................... Brown Bear................. Residents of Unit 17.
17...................................... Caribou.................... Residents of Units 9(B), 17 and residents
of Lime Village and Stony River.
17(A) and (B) Those portions north and Caribou.................... Residents of Kwethluk.
west of a line beginning from the Unit
18 boundary at the northwest end of
Nenevok Lake, to the southern point of
upper Togiak Lake, and northeast to the
northern point of Nuyakuk Lake,
northeast to the point where the Unit
17 boundary intersects the Shotgun
Hills..
17(A) and (B) Those portions north and Moose...................... Residents of Kwethluk.
west of a line beginning from the Unit
18 boundary at the northwest end of
Nenevok Lake, to the southern point of
upper Togiak Lake, and northeast to the
northern point of Nuyakuk Lake,.
17(A)................................... Moose...................... Residents of Unit 17, and residents of
Goodnews Bay and Platinum.
17(B) and (C)........................... Moose...................... Residents of Unit 17, and residents of
Nondalton, Levelock, Goodnews Bay and
Platinum.
[[Page 39705]]
17...................................... Wolf....................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon, and 16-26.
Unit 18................................. Black Bear................. Residents of Unit 18, residents of Unit
19(A) living downstream of the Holokuk
River, and residents of Chuathbaluk,
Aniak, Lower Kalskag, Holy Cross,
Stebbins, St. Michael, and Togiak.
18...................................... Brown Bear................. Residents of Akiachak, Akiak, Eek,
Goodnews Bay, Kwethluk, Mt. Village,
Napaskiak, Platinum, Quinhagak, St.
Mary's, and Tuluksak.
18...................................... Caribou (Kilbuck caribou INTERIM DETERMINATION BY FEDERAL
herd only). SUBSISTENCE BOARD (12/18/91): residents
of Tuluksak, Akiak, Akiachak, Kwethluk,
Bethel, Oscarville, Napaskiak, Napakiak,
Kasigluk, Atmanthluak, Nunapitchuk,
Tuntutliak, Eek, Quinhagak, Goodnews
Bay, Platinum, Togiak, and Twin Hills.
18 North of the Yukon River............. Caribou (except Kilbuck Residents of Alakanuk, Andreafsky,
caribou herd). Chevak, Emmonak, Hooper Bay, Kotlik,
Kwethluk, Marshall, Mountain Village,
Pilot Station, Pitka's Point, Russian
Mission, St. Mary's, St. Michael,
Scammon Bay, Sheldon Point, and
Stebbins.
18 Remainder............................ Caribou (except Kilbuck Residents of Kwethluk.
caribou herd).
18...................................... Moose...................... Residents of Unit 18 and residents of
Upper Kalskag.
18...................................... Muskox..................... No subsistence.
18...................................... Wolf....................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon and 16-26.
Unit 19(C),(D).......................... Bison...................... No subsistence.
19(A)................................... Brown Bear................. Residents of Unit 19(A), (D), and
Residents of Tuluksak, Lower Kalskag and
Kwethluk.
19(B)................................... Brown Bear................. Residents of Kwethluk.
19(C)................................... Brown Bear................. No subsistence.
19(D)................................... Brown Bear................. Residents of Unit 19(A) and (D), and
residents of Tulusak and Lower Kalskag.
19(A) and (B)........................... Caribou.................... Residents of Unit 19(A) and (B) and
Kwethluk; and residents of Unit 18 in
Kuskokwim Drainage and Kuskokwim Bay
during the winter season.
19(C)................................... Caribou.................... Residents of Unit 19(C), and residents of
Lime Village, McGrath, Nikolai, and
Telida.
19(D)................................... Caribou.................... Residents of Unit 19(D), and residents of
Lime Village, Sleetmute and Stony River.
19(A) and (B)........................... Moose...................... Residents of Unit 18 within Kuskokwim
River drainage upstream from and
including the Johnson River, and Unit
19.
19(C)................................... Moose...................... Residents of Unit 19.
19(D)................................... Moose...................... Residents of Unit 19 and residents of
Lake Minchumina.
19...................................... Wolf....................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon and 16-26.
Unit 20(D).............................. Bison...................... No subsistence.
20(E)................................... Brown Bear................. No subsistence.
20(A), (C) (Delta, Yanert, and 20(C) Caribou.................... No determination, except no subsistence
herds) and (D). for residents of households of the
Denali National Park Headquarters.
20(D) and 20(E)......................... Caribou 40-Mile Herd....... Residents of Unit 12 north of Wrangell
Park-Preserve, rural residents of 20(D)
and residents of 20(E).
20(A)................................... Moose...................... Residents of Cantwell, Minto, and Nenana,
McKinley Village, the area along the
Parks Highway between mileposts 216 and
239, except no subsistence for residents
of households of the Denali National
Park Headquarters.
20(B)................................... Moose...................... Minto Flats Management Area--residents of
Minto and Nenana.
20(B)................................... Moose...................... Remainder--rural residents of Unit 20(B),
and residents of Nenana and Tanana.
20(C)................................... Moose...................... Rural residents of Unit 20(C) (except
that portion within Denali National Park
and Preserve and that portion east of
the Teklanika River), and residents of
Cantwell, Manley, Minto, Nenana, the
Parks Highway from milepost 300-309,
Nikolai, Tanana, Telida, McKinley
Village, and the area along the Parks
Highway between mileposts 216 and 239.
No subsistence for residents of
households of the Denali National Park
Headquarters.
20(D)................................... Moose...................... Rural residents of Unit 20(D) and
residents of Tanacross.
20(F)................................... Moose...................... Residents of Unit 20(F), Manley, Minto
and Stevens Village.
20 Tok and Delta Management Areas....... Sheep...................... No subsistence.
20...................................... Wolf....................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon, and 16-26.
20(D)................................... Grouse, (Spruce, Blue, Residents of Units 11, 13 and the
Ruffed and Sharp-tailed). residents of Chickaloon, 15, 16, 20(D),
22 and 23.
20(D)................................... Ptarmigan (Rock, Willow and Residents of Units 11, 13 and the
White-tailed). residents of Chickaloon, 15, 16, 20(D),
22 and 23.
[[Page 39706]]
Unit 21................................. Brown Bear................. Rural residents of Unit 21 and 23.
21...................................... Caribou, Western Arctic Residents of Unit 21(D) west of the
Caribou Herd only. Koyukuk and Yukon Rivers, and residents
of 23 and 24.
21(A) and (E)........................... Caribou.................... Residents of Unit 21(A) and Aniak,
Chuathbaluk, Crooked Creek, Grayling,
Holy Cross, McGrath, Shageluk and
Takotna.
21(A)................................... Moose...................... Residents of Unit 21(A), (E), Takotna,
McGrath, Aniak and Crooked Creek.
21(B) and (C)........................... Moose...................... Residents of Unit 21(B) and (C),
residents of Tanana and Galena.
21(D)................................... Moose...................... Residents of Unit 21(D), and residents of
Huslia and Ruby.
21(E)................................... Moose...................... Residents of Unit 21(E) and residents of
Russian Mission.
21...................................... Wolf....................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon, and 16-26.
Unit 22................................. Brown Bear................. Residents of Unit 22
22(A)................................... Caribou,................... Residents of Unit 21(D) west of the
Koyukuk and Yukon Rivers, and residents
of Units 22 (except residents of St.
Lawrence Island), 23, 24, and residents
of Kotlik, Emmonak, Marshall, Mountain
Village, Pilot Station, Pitka's Point,
Russian Mission, St. Mary's, Sheldon
Point, and Alakanuk.
22 Remainder............................ Caribou.................... Residents of Unit 21(D) west of the
Koyukuk and Yuk
FR Doc. 96-18097 Subsistence Management Regulations for Public Lands in Alaska, Subpart C and Subpart D1996-1997 Subsistence Taking of Fish and Wildlife Regulations
on Rivers, and residents
of Units 22 (except residents of St.
Lawrence Island), 23, 24.
22...................................... Moose...................... Residents of Unit 22.
22(B)................................... Muskox..................... Residents of Unit 22(B).
22(C)................................... Muskox..................... Residents of Unit 22(C).
22(D)................................... Muskox..................... Residents of Unit 22(D) excluding St.
Lawrence Island.
22(E)................................... Muskox..................... Residents of Unit 22(E) excluding Little
Diomede Island.
22...................................... Wolf....................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon and 16-26.
22...................................... Grouse (Spruce, Blue, Residents of Units 11, 13 and the
Ruffed and Sharp-tailed). residents of Chickaloon, 15, 16, 20(D),
22 and 23.
22...................................... Ptarmigan (Rock, Willow and Residents of Units 11, 13 and the
White-tailed). residents of Chickaloon, 15, 16, 20(D),
22 and 23.
Unit 23................................. Brown Bear................. Rural residents of Units 21 and 23.
23...................................... Caribou Western Arctic Residents of Unit 21(D) west of the
Caribou Herd only. Koyukuk and Yukon Rivers, and residents
of Unit 23, 24, and 26(A).
23 South of Kotzebue Sound and west of, Caribou Western Arctic Residents of Unit 21(D) west of the
and including, the Buckland River Caribou Herd only. Koyukuk and Yukon Rivers, and residents
drainage. of Unit 22 (except residents of St.
Lawrence Island), 23, 24, and 26(A).
23 Remainder............................ Caribou other than the No determination
Western Arctic Caribou
Herd.
23...................................... Moose...................... Residents of Unit 23.
23 South of Kotzebue Sound and west of Muskox..................... Residents of Unit 23 South of Kotzebue
and including the Buckland River Sound and west of and including the
drainage. Buckland River drainage.
23 Remainder............................ Muskox..................... No subsistence.
23...................................... Sheep...................... Residents of Unit 23 north of the Arctic
Circle.
23...................................... Wolf....................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon, and 16-26.
23...................................... Grouse (Spruce, Blue, Residents of Units 11, 13 and the
Ruffed and Sharp-tailed). residents of Chickaloon, 15, 16, 20(D),
22 and 23.
23...................................... Ptarmigan (Rock, Willow and Residents of Units 11, 13 and the
White-tailed). residents of Chickaloon, 15, 16, 20(D),
22 and 23.
Unit 24................................. Brown Bear................. Residents of Unit 24 and Wiseman, but not
including any other residents of the
Dalton Highway Corridor Management Area.
24...................................... Moose...................... Residents of Unit 24, and residents of
Anaktuvuk Pass, Koyukuk and Galena.
24...................................... Sheep...................... Residents of Unit 24 residing north of
the Arctic Circle and residents of
Allakaket, Alatna and Anaktuvuk Pass.
24...................................... Wolf....................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon and 16-26.
Unit 25................................. Brown Bear................. No subsistence.
25(A)................................... Moose...................... Residents of Unit 25(A) and 25(D).
25(D) West.............................. Moose...................... Residents of Beaver, Birch Creek and
Stevens Village.
25(D) Remainder......................... Moose...................... Residents of Remainder of Unit 25.
25(A)................................... Sheep...................... Residents of Arctic Village, Chalkytsik,
Fort Yukon, Kaktovik and Venetie.
25(B) and (C)........................... Sheep...................... No subsistence.
25...................................... Wolf...................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon and 16-26.
Unit 26................................. Brown Bear................. Residents of Unit 26 (except the Prudhoe
Bay-Deadhorse Industrial Complex) and
residents of Anaktuvuk Pass and Point
Hope.
[[Page 39707]]
26(A)................................... Caribou.................... Residents of Unit 26 and the residents of
Anaktuvuk Pass and Point Hope.
26(B)................................... Caribou.................... Residents of Unit 26 and the residents of
Anaktuvuk Pass, Point Hope, and Wiseman.
26(C)................................... Caribou.................... Residents of Unit 26 and the residents of
Anaktuvuk Pass and Point Hope.
26...................................... Moose...................... Residents of Unit 26, (except the Prudhoe
Bay-Deadhorse Industrial Complex), and
residents of Point Hope and Anaktuvuk
Pass.
26(A)................................... Muskox..................... Residents of Anaktuvuk Pass, Atqasuk,
Barrow, Nuiqsut, Point Hope, Point Lay,
and Wainwright.
26(B)................................... Musk Oxen.................. Residents of Anaktuvuk Pass, Nuiqsut, and
Kaktovik.
26(C)................................... Musk Oxen.................. Residents of Kaktovik.
26 (A) and (B).......................... Sheep...................... Residents of Anaktuvuk Pass, Kaktovik,
Nuiqsut and Wiseman.
26(C)................................... Sheep...................... Residents of Arctic Village, Chalkytsik,
Fort Yukon, Kaktovik, Nuiqsut and
Venetie.
26...................................... Wolf....................... Residents of Units 6, 9, 10 (Unimak
Island only), 11-13 and the residents of
Chickaloon and 16-26.
----------------------------------------------------------------------------------------------------------------
(2) Fish and Shellfish Determinations
----------------------------------------------------------------------------------------------------------------
KOTZEBUE-NORTHERN AREA-Northern District All finfish................ Residents of the Northern District,
except for those domiciled in State of
Alaska Unit 26-B.
Kotzebue District....................... Salmon, sheefish, char..... Residents of the Kotzebue District.
NORTON SOUND-PORT CLARENCE AREA......... Salmon..................... Residents of the Norton Sound-Port
Clarence Area.
YUKON AREA.............................. Salmon..................... Residents of the Yukon Area, including
the communities of Stebbins.
Yukon River Fall chum Residents of the Yukon River drainage,
salmon. including the communities of Stebbins,
Scammon Bay, and Chevak.
Freshwater fish species, Residents of the Yukon Area.
including sheefish,
whitefish, lamprey,
burbot, sucker, grayling,
pike, char, and blackfish.
KUSKOKWIM AREA.......................... Salmon..................... Residents of the Kuskokwim Area, except
those persons residing on the United
States military installation located on
Cape Newenham, Sparevohn USAFB, and
Tatalina USAFB.
Rainbow trout.............. Residents of the communities of
Quinhagak, Goodnews Bay, Kwethluk, Eek,
Akiak, and Platinum.
Pacific cod................ Residents of the communities of Chevak,
Newtok, Tununak, Toksook Bay, Nightmute,
Chefornak, Kipnuk, Mekoryuk,
Kwigillingok, Kongiganak, Eek, and
Tuntutuliak.
Waters adjacent to the western-most tip Herring and herring roe.... Residents within 20 miles of the coast
of the Naskonant Peninsula and the between the westernmost tip of the
terminus of the Ishowik River and Naskonant Peninsula and the terminus of
around Nunivak Island. the Ishowik River and on Nunivak Island.
BRISTOL BAY AREA--Nushagak District, Salmon..................... Residents of the Nushagak District and
including drainages flowing into the freshwater drainages flowing into the
district. district.
Naknek-Kvichek District--Naknek River Salmon..................... Residents of the Naknek and Kvichak River
drainage. drainages.
Naknek-Kvichek District--Iliamna-Lake Salmon..................... Residents of the Iliamna-Lake Clark
Clark drainage. drainage.
Togiak District, including drainages Salmon and other freshwater Residents of the Togiak District,
flowing into the district. finfish. freshwater drainages flowing into the
district, and the community of
Manokotak.
KODIAK AREA--except the Mainland Salmon..................... Residents of the Kodiak Island Borough,
District, all waters along the except those residing on the Kodiak
southside of the Alaska Peninsula Coast Guard Base.
bounded by the latitude of Cape Douglas
(58 deg.52' North latitude) mid-stream
Shelikof Strait, and west of the
longitude of the southern entrance of
Kmuya Bay near Kilokak Rocks (57
deg.11'22'' North latitude, 156
deg.20'30'' W longitude).
KODIAK AREA--except the Semidi Island, King crab.................. Residents of the Kodiak Island Borough
the North Mainland, and the South except those residents on the Kodiak
Mainland Sections. Coast Guard base.
COOK INLET AREA--Port Graham Subdistrict Dolly Varden............... Residents of Port Graham and English Bay.
Port Graham Subdistrict and Koyuktolik Salmon..................... Residents of Port Graham and English Bay.
Subdistrict.
Tyonek Subdistrict...................... Salmon..................... Residents of the village of Tyonek.
[[Page 39708]]
PRINCE WILLIAM SOUND AREA--South-Western Salmon..................... Residents of the Southwestern District
District and Green Island. which is mainland waters from the outer
point on the north shore of Granite Bay
to Cape Fairfield, and Knight Island,
Chenega Island, Bainbridge Island, Evans
Island, Elrington Island, Latouche
Island and adjacent islands.
PRINCE WILLIAM SOUND AREA--North of a Salmon..................... Residents of the villages of Tatitlek and
line from Porcupine Point to Granite Ellamar.
Point, and south of a line from Point
Lowe to Tongue Point.
YAKUTAT AREA--Freshwater upstream from Salmon..................... Residents of the area east of Yakutat
the terminus of streams and rivers of Bay, including the islands within
the Yakutat Area from the Doame River Yakutat Bay, west of the Situk River
to the Tsiu River. drainage, and south of and including
Knight Island.
Freshwater upstream from the terminus of Dolly Varden char, Residents of the area east of Yakutat
streams and rivers of the Yakutat Area steelhead trout, and smelt. Bay, including the islands within
from the Doame River to Point Manby. Yakutat Bay, west of the Situk River
drainage, and south of and including
Knight Island.
SOUTH-EASTERN ALASKA AREA--District 1-- Salmon and Dolly Varden Residents of the City of Saxman.
Section 1-E in waters of the Naha River char.
and Roosevelt Lagoon.
District 1--Section 1-F in Boca de Salmon and Dolly Varden Residents of the City of Saxman.
Quadra in waters of Sockeye Creek and char.
Hugh Smith Lake within 500 yards of the
terminus of Sockeye Creek.
District 2--North of the latitude of the Salmon and Dolly Varden Residents of the City of Kasaan and in
northern-most tip of Chasina Point and char. the drainage of the southeastern shore
west of a line from the northern-most of the Kasaan Peninsula west of 132
tip of Chasina Point to the eastern- deg.20' W. long. and east of 132 deg.25'
most tip of Grindall Island to the W. long.
eastern-most tip of the Kasaan
Peninsula.
District 3--Section 3-A................. Salmon and Dolly Varden Residents of the townsite of Hydaburg.
char.
District 3--Section 3-B in waters east Salmon, Dolly Varden char, Residents of the City of Klawock and on
of a line from Point Ildefonso to and steelhead trout. Prince of Wales Island within the
Tranquil Point. boundaries of the Klawock Heenya
Corporation land holdings as they exist
in January 1989, and those residents of
the City of Craig and on Prince of Wales
Island within the boundaries of the Shan
Seet Corporation land holdings as they
exist in January 1989.
District 3--Section 3-C in waters of Salmon, Dolly Varden char, Residents of the City of Klawock and on
Sarkar Lakes. and steelhead trout. Prince of Wales Island within the
boundaries of the Klawock Heenya
Corporation land holdings as they exist
in January 1989, and those residents of
the City of Craig and on Prince of Wales
Island within the boundaries of the Shan
Seet Corporation land holdings as they
exist in January 1989.
District 5--North of a line from Point Salmon and Dolly Varden Residents of the City of Kake and in
Barrie to Boulder Point. char. Kupreanof Island drainages emptying into
Keku Strait south of Point White and
north of Portage Bay boat harbor.
District 9--Section 9-A................. Salmon and Dolly Varden Residents of the City of Kake and in
char. Kupreanof Island drainages emptying into
Keku Strait south of Point White and
north of the Portage Bay boat harbor.
District 9--Section 9-B north of the Salmon and Dolly Varden Residents of the City of Kake and in
latitude of Swain Point. char. Kupreanof Island drainages emptying into
Keku Strait south of Point White and
north of the Portage Bay boat harbor.
District 10--West of a line from Pinta Salmon and Dolly Varden Residents of the City of Kake and in
Point to False Point Pybus. char. Kupreanof Island drainages emptying into
Keku Strait south of Point White and
north of the Portage Bay boat harbor.
District 12--South of a line from Salmon and Dolly Varden Residents of the City of Angoon and along
Fishery Point to south Passage Point char. the western shore of Admiralty Island
and north of the latitude of Point north of the latitude of Sand Island,
Caution. south of the latitude of Thayer Creek,
and west of 134 deg.30' W. long.,
including Killisnoo Island.
District 13--Section 13-A south of the Sockeye salmon............. Residents of the City and Borough of
latitude of Cape Edward. Sitka in drainages which empty into
Section 13-B north of the latitude of
Dorothy Narrows.
District 13--Section 13-B north of the Sockeye salmon............. Residents of the City and Borough of
latitude of Redfish Cape. Sitka in drainages which empty into
Section 13-B north of the latitude of
Dorothy Narrows.
District 13--Section 13-C............... Sockeye salmon............. Residents of the City and Borough of
Sitka in drainages which empty into
Section 13-B north of the latitude of
Dorothy Narrows.
District 13--Section 13-C east of the Salmon and Dolly Varden Residents of the City of Angoon and along
longitude of Point Elizabeth. char. the western shore of Admiralty Island
north of the latitude of Sand Island,
south of the latitude of Thayer Creek,
and west of 134 deg.30' W. long.,
including Killisnoo Island.
[[Page 39709]]
District 14--Section 14-B and 14-C...... Salmon, smelt and Dolly Residents of the City of Hoonah and in
Varden char. Chichagof Island drainages on the
eastern shore of Port Frederick from
Gartina Creek to Point Sophia.
District 15--Chilkat and Chilkoot Rivers Salmon and smelt........... Residents west of the Haines highway
between Mile 20 and Mile 24 and east of
the Chilkat River, Haines, excluding
residents in the drainage of Excursion
Inlet.
----------------------------------------------------------------------------------------------------------------
(b) [Reserved]
Subpart D--Subsistence Taking of Fish and Wildlife
3. In Subpart D of 36 CFR 36 part 242 and 50 CFR part 100,
Sec. ____.25 is added effective August 1, 1996, through June 30, 1997,
to read as follows:
Sec. ____.25 Subsistence taking of wildlife.
(a) Definitions. The following definitions shall apply to all
regulations contained in this section.
ADF&G means the Alaska Department of Fish and Game.
Aircraft means any kind of airplane, glider, or other device used
to transport people or equipment through the air, excluding
helicopters.
Airport means an airport listed in the Federal Aviation
Administration, Alaska Airman's Guide and chart supplement.
Animal means those species with a vertebral column (backbone).
Antler means one or more solid, horn-like appendages protruding
from the head of a caribou, deer, or moose.
Antlered means any caribou, deer, or moose having at least one
visible antler.
Antlerless means any caribou, deer, or moose not having visible
antlers attached to the skull.
Bear means black bear, or brown or grizzly bear.
Bow means a longbow, recurve bow, or compound bow, excluding a
crossbow, or any bow equipped with a mechanical device that holds
arrows at full draw.
Broadhead means an arrowhead that is not barbed and has two or more
steel cutting edges having a minimum cutting diameter of not less than
seven-eighths inch.
Brow tine means a tine on the front portion of a moose antler,
typically projecting forward from the base of the antler toward the
nose.
Buck means any male deer.
Bull means any male moose, caribou, or musk oxen.
Closed season means the time when wildlife may not be taken.
Cub bear means a brown or grizzly bear in its first or second year
of life, or a black bear (including cinnamon and blue phases) in its
first year of life.
Designated hunter means a Federally qualified, licensed hunter who
may take all or a portion of another Federally qualified, licensed
hunter's harvest limit(s) only under situations approved by the Board.
Edible meat means the breast meat of ptarmigan and grouse, and,
those parts of black bear, brown and grizzly bear, caribou, deer,
mountain goat, moose, musk oxen, and Dall sheep that are typically used
for human consumption which are: the meat of the ribs, neck, brisket,
front quarters as far as the juncture of the humerus and radius-ulna
(elbow), hindquarters as far as the distal joint (bottom) of the tibia-
fibula (hock) and that portion of the animal between the front and
hindquarters; however, edible meat of species listed above does not
include: meat of the head, meat that has been damaged and made inedible
by the method of taking, bones, sinew, and incidental meat reasonably
lost as a result of boning or close trimming of the bones, or viscera.
Federally-qualified subsistence user means a rural Alaska resident
qualified to harvest fish or wildlife on Federal public lands in
accordance with the Federal Subsistence Management Regulations in this
part.
Fifty-inch (50-inch) moose means a bull moose with an antler spread
of 50 inches or more.
Full curl horn means the horn of a Dall sheep ram; the tip of which
has grown through 360 degrees of a circle described by the outer
surface of the horn, as viewed from the side, or that both horns are
broken, or that the sheep is at least 8 years of age as determined by
horn growth annuli.
Furbearer means a beaver, coyote, arctic fox, red fox, lynx,
marten, mink, weasel, muskrat, river (land) otter, red squirrel, flying
squirrel, ground squirrel, marmot, wolf or wolverine.
Grouse collectively refers to all species found in Alaska,
including spruce grouse, ruffed grouse, blue grouse and sharp-tailed
grouse.
Hare or hares collectively refers to all species of hares (commonly
called rabbits) in Alaska and includes snowshoe hare and tundra hare.
Harvest limit means the number of any one species permitted to be
taken by any one person in a Unit or portion of a Unit in which the
taking occurs.
Highway means the driveable surface of any constructed road.
Household means that group of people residing in the same
residence. Hunting means the taking of wildlife within established
hunting seasons with archery equipment or firearms, and as authorized
by a required hunting license.
Marmot collectively refers to all species of marmot that occur in
Alaska including the hoary marmot, Alaska marmot, and the woodchuck.
Motorized vehicle means a motor-driven land, air or water
conveyance.
Open season means the time when wildlife may be taken by hunting or
trapping; an open season includes the first and last days of the
prescribed season period.
Otter means river or land otter only, excluding sea otter.
Permit hunt means a hunt for which State or Federal permits are
issued by registration or other means.
Poison means any substance which is toxic, or poisonous upon
contact or ingestion.
Possession means having direct physical control of wildlife at a
given time or having both the power and intention to exercise dominion
or control of wildlife either directly or through another person or
persons.
Ptarmigan collectively refers to all species found in Alaska,
including white-tailed ptarmigan, rock ptarmigan, and willow ptarmigan.
Ram means a male Dall sheep.
Registration permit means a permit which authorizes hunting and is
issued to a person who agrees to the specified hunting conditions.
Hunting permitted by a registration permit begins on an announced date
and continues throughout the open season, or until the season is closed
by Board action. Registration permits are issued in the order
applications are received and/or are based on priorities as determined
by 50 CFR 100.17 and 36 CFR 242.17.
Sealing means placing a mark or tag on a portion of a harvested
animal by an authorized representative of the ADF&G; sealing includes
collecting and recording information about the conditions under which
the animal was
[[Page 39710]]
harvested, and measurements of the specimen submitted for sealing, or
surrendering a specific portion of the animal for biological
information.
Seven-eighths curl horn means the horn of a male Dall sheep, the
tip of which has grown through seven-eights (315 degrees) of a circle,
described by the outer surface of the horn, as viewed from the side, or
with both horns broken.
Skin, hide, pelt or fur mean any tanned or untanned external
covering of an animal's body; excluding bear. The skin, hide, fur or
pelt of a bear shall mean the entire external covering with claws
attached.
Spike-fork moose means a bull moose with only one or two tines on
either antler; male calves are not spike-fork bulls.
Take or Taking means to pursue, hunt, shoot, trap, net, capture,
collect, kill, harm, or attempt to engage in any such conduct.
Tine or antler point refers to any point on an antler, the length
of which is greater than its width and is at least one inch.
Transportation means to ship, convey, carry or transport by any
means whatever, and deliver or receive for such shipment, conveyance,
carriage, or transportation.
Trapping means the taking of furbearers within established trapping
seasons and with a required trapping license.
Unclassified wildlife or unclassified species means all species of
animals not otherwise classified by the definitions herein, or
regulated under other Federal law as listed in paragraph (i) of this
section.
Ungulate means any species of hoofed mammal, including deer,
caribou, moose, mountain goat, Dall sheep, and musk oxen.
Unit means one of the 26 geographical areas in the State of Alaska
known as Game Management Units, or GMU, and collectively listed in this
section as Units.
Wildlife means any hare (rabbit), ptarmigan, grouse, ungulate,
bear, furbearer, or unclassified species and includes any part,
product, egg, or offspring thereof, or carcass or part thereof.
(b) Wildlife may be taken for subsistence uses by any method,
except as prohibited in this section or by other Federal statute.
Taking wildlife for subsistence uses by a prohibited method is a
violation of this part. Seasons are closed unless opened by Federal
regulation. Hunting or trapping during a closed season or in an area
closed by this part is prohibited.
(1) Except for special provisions found at paragraphs (k)(1)
through (26) of this section, the following methods and means of taking
wildlife for subsistence uses are prohibited:
(i) Shooting from, on, or across a highway;
(ii) Using any poison;
(iii) Using a helicopter in any manner, including transportation of
individuals, equipment or wildlife; however, this prohibition does not
apply to transportation of an individual, gear, or wildlife during an
emergency rescue operation in a life threatening situation;
(iv) Taking wildlife from a motorized land or air vehicle, when
that vehicle is in motion or from a motor-driven boat when the boat's
progress from the motor's power has not ceased;
(v) Using a motorized vehicle to drive, herd, or molest wildlife;
(vi) Using or being aided by use of a machine gun, set gun, or a
shotgun larger than 10 gauge;
(vii) Using a firearm other than a shotgun, muzzle-loaded rifle,
rifle or pistol using center-firing cartridges, for the taking of
ungulates, bear, wolves or wolverine, except that--
(A) An individual in possession of a valid trapping license may use
a firearm that shoots rimfire cartridges to take wolves and wolverine;
(B) A muzzle-loading rifle of .54-caliber or larger, or a .45-
caliber muzzle-loading rifle with a 250-grain, or larger, elongated
slug may be used to take brown bear, black bear, moose, musk oxen and
mountain goat;
(viii) Using or being aided by use of a pit, fire, artificial
light, radio communication, artificial salt lick, explosive, barbed
arrow, bomb, smoke, chemical, conventional steel trap with a jaw spread
over nine inches, or conibear style trap with a jaw spread over 11
inches;
(ix) Using a snare, except that an individual in possession of a
valid hunting license may use nets and snares to take unclassified
wildlife, ptarmigan, grouse, or hares; and, individuals in possession
of a valid trapping license may use snares to take furbearers;
(x) Using a trap to take ungulates or bear;
(xi) Using hooks to physically snag, impale or otherwise take
wildlife; however, hooks may be used as a trap drag;
(xii) Using a crossbow in any area restricted to hunting by bow and
arrow only to take ungulates, bear, wolf or wolverine;
(xiii) Taking of ungulates, bear, wolf, or wolverine with a bow,
unless the bow is capable of casting a 7/8 inch wide broadhead-tipped
arrow at least 175 yards horizontally, and the arrow and broadhead
together weigh at least one ounce (437.5 grains);
(xiv) Using bait for taking ungulates, bear, wolf, or wolverine;
except, bait may be used to take wolves and wolverine with a trapping
license, and, bait may be used to take black bears with a hunting
license as authorized in Unit-specific regulations at paragraphs (k)(1)
through (26) of this section. Baiting of black bears is subject to the
following restrictions:
(A) No person may establish a black bear bait station unless he or
she first registers the site with ADF&G;
(B) A person using bait shall clearly mark the site with a sign
reading ``black bear bait station'' that also displays the person's
hunting license number and ADF&G assigned number;
(C) Only biodegradable materials may be used for bait; only the
head, bones, viscera, or skin of legally harvested fish and wildlife
may be used for bait;
(D) No person may use bait within one-quarter mile of a publicly
maintained road or trail;
(E) No person may use bait within one mile of a house or other
permanent dwelling, or within one mile of a developed campground, or
developed recreational facility;
(F) A person using bait shall remove litter and equipment from the
bait station site when hunting is completed;
(G) No person may give or receive remuneration for the use of a
bait station, including barter or exchange of goods;
(H) No person may have more than two bait stations with bait
present at any one time;
(xv) Taking swimming ungulates, bear, wolves or wolverine;
(xvi) Taking or assisting in the taking of ungulates, bear, wolves,
wolverine, or other furbearers before 3:00 a.m. following the day in
which airborne travel occurred (except for flights in regularly
scheduled commercial aircraft); however this restriction does not apply
to subsistence taking of deer;
(xvii) Taking a bear cub or a sow accompanied by cub(s).
(2) Wildlife taken in defense of life or property is not a
subsistence use; wildlife so taken is subject to State regulations.
(3) The following methods and means of trapping furbearers, for
subsistence uses pursuant to the requirements of a trapping license are
prohibited, in addition to the prohibitions listed at paragraph (b)(1)
of this section:
(i) Disturbing or destroying a den, except that any muskrat pushup
or feeding house may be disturbed in the course of trapping;
[[Page 39711]]
(ii) Disturbing or destroying any beaver house;
(iii) Taking beaver by any means other than a steel trap or snare,
except that firearms may be used in certain Units with established
seasons as identified in Unit-specific regulations found in this
subpart;
(iv) Taking otter with a steel trap having a jaw spread of less
than five and seven-eighths inches during any closed mink and marten
season in the same Unit;
(v) Using a net, or fish trap (except a blackfish or fyke trap);
(vi) Taking beaver in the Minto Flats Management Area with the use
of an aircraft for ground transportation, or by landing within one mile
of a beaver trap or set used by the transported person;
(vii) Taking or assisting in the taking of furbearers by firearm
before 3:00 a.m. on the day following the day on which airborne travel
occurred; however, this does not apply to a trapper using a firearm to
dispatch furbearers caught in a trap or snare.
(c) Possession and Transportation of Wildlife.
(1) Except as specified in paragraph (c)(3)(ii) or (c)(4) of this
section, or as otherwise provided, no person may take a species of
wildlife in any Unit, or portion of a Unit, if that person's total
statewide take of that species has already been obtained under Federal
and State regulations in other Units, or portions of other Units.
(2) An animal taken under Federal or State regulations by any
member of a community with an established community harvest limit for
that species counts toward the community harvest limit for that
species. Except for wildlife taken pursuant to Sec. ____.6(f)(3) or as
otherwise provided for by this Part, an animal taken as part of a
community harvest limit counts toward every community member's harvest
limit for that species taken under Federal or State of Alaska
regulations.
(3) Harvest limits.
(i) Harvest limits, including those related to ceremonial uses,
authorized by this section and bag limits established in State
regulations may not be accumulated.
(ii) Wildlife taken by a designated hunter for another person
pursuant to Sec. ____.6(f)(2), counts toward the individual harvest
limit of the person for whom the wildlife is taken.
(4) The harvest limit specified for a trapping season for a species
and the harvest limit set for a hunting season for the same species are
separate and distinct. This means that a person who has taken a harvest
limit for a particular species under a trapping season may take
additional animals under the harvest limit specified for a hunting
season or vice versa.
(5) A brown/grizzly bear taken in a Unit or portion of a Unit
having a harvest limit of one brown/grizzly bear per year counts
against a one brown/grizzly bear every four regulatory years harvest
limit in other Units; an individual may not take more than one brown/
grizzly bear in a regulatory year.
(6) A harvest limit applies to the number of animals that can be
taken during a regulatory year; however, harvest limits for grouse,
ptarmigan, and caribou (in some Units) are regulated by the number that
may be taken per day. Harvest limits of grouse and ptarmigan are also
regulated by the number that can be held in possession.
(7) Unless otherwise provided, any person who gives or receives
wildlife shall furnish, upon a request made by a Federal or State
agent, a signed statement describing the following: names and addresses
of persons who gave and received wildlife, the time and place that the
wildlife was taken, and identification of species transferred. Where a
qualified subsistence user has designated another qualified subsistence
user to take wildlife on his or her behalf in accordance with
Sec. ____.6, the permit shall be furnished in place of a signed
statement.
(8) A rural Alaska resident who has been designated to take
wildlife on behalf of another rural Alaska resident in accordance with
Sec. ____.6, shall promptly deliver the wildlife to that rural Alaska
resident.
(9) No person may possess, transport, give, receive or barter
wildlife that was taken in violation of Federal or State statutes or a
regulation promulgated thereunder.
(10) Evidence of sex and identity.
(i) If subsistence take of Dall sheep is restricted to a ram, no
person may possess or transport a harvested sheep unless both horns
accompany the animal.
(ii) If the subsistence taking of an ungulate, except sheep, is
restricted to one sex in the local area, no person may possess or
transport the carcass of an animal taken in that area unless sufficient
portions of the external sex organs remain attached to indicate
conclusively the sex of the animal; however, this paragraph (c)(10)(ii)
does not apply to the carcass of an ungulate that has been butchered
and placed in storage or otherwise prepared for consumption upon
arrival at the location where it is to be consumed.
(iii) If a moose harvest limit includes an antler size or
configuration restriction, no person may possess or transport the moose
carcass or its parts unless both antlers accompany the carcass or its
parts. A person possessing a set of antlers with less than the required
number of brow tines on one antler shall leave the antlers naturally
attached to the unbroken, uncut skull plate; however, this paragraph
(c)(10)(iii) does not apply to a moose carcass or its parts that have
been butchered and placed in storage or otherwise prepared for
consumption after arrival at the place where it is to be stored or
consumed.
(d) A person who takes an animal that has been marked or tagged for
scientific studies must, within a reasonable time, notify the ADF&G or
the agency identified on the collar or marker, when and where the
animal was taken. Any ear tag, collar, radio, tattoo, or other
identification must be retained with the hide until it is sealed, if
sealing is required; in all cases, any identification equipment must be
returned to the ADF&G or to an agency identified on such equipment.
(e) Sealing of bear skins and skulls.
(1) Sealing requirements for bear shall apply to brown bears taken
in all Units, except as specified below, and black bears of all color
phases taken in Units 1-7, 11-16, and 20.
(2) No person may possess or transport from Alaska, the untanned
skin or skull of a bear unless the skin and skull have been sealed by
an authorized representative of ADF&G in accordance with State or
Federal regulations, except that the skin and skull of a brown bear
taken under a registration permit in the Western Alaska Brown Bear
Management Area, the Northwest Alaska Brown Bear Management Area, Unit
5, or Unit 9(B) need not be sealed unless removed from the area.
(3) A person who possesses a bear shall keep the skin and skull
together until a representative of the ADF&G has removed a rudimentary
premolar tooth from the skull and sealed both the skull and the skin;
however, this provision shall not apply to brown bears taken within the
Western Alaska Brown Bear Management Area, the Northwest Alaska Brown
Bear Management Area, Unit 5, or Unit 9(B) which are not removed from
the Management Area or Unit.
(i) In areas where sealing is required by Federal regulations, no
person may possess or transport the hide of a bear which does not have
the penis sheath or vaginal orifice naturally attached to indicate
conclusively the sex of the bear.
(ii) If the skin or skull of a bear taken in the Western Alaska
Brown Bear
[[Page 39712]]
Management Area is removed from the area, it must first be sealed by an
ADF&G representative in Bethel, Dillingham, or McGrath; at the time of
sealing, the ADF&G representative shall remove and retain the skin of
the skull and front claws of the bear.
(iii) If the skin or skull of a bear taken in the Northwestern
Alaska Brown Bear Management Area is removed from the area, it must
first be sealed by an ADF&G representative in Barrow, Fairbanks,
Galena, or Kotzebue; at the time of sealing, the ADF&G representative
shall remove and retain the skin of the skull and front claws of the
bear.
(iv) If the skin or skull of a bear taken in Unit 5 is removed from
the area, it must first be sealed by an ADF&G representative in
Yakutat; at the time of sealing, the ADF&G representative shall remove
and retain the skin of the skull and front claws of the bear.
(v) If the skin or skull of a bear taken in Unit 9(B) is removed
from the area, it must first be sealed by an ADF&G representative in
Port Alsworth or King Salmon; at the time of sealing, the ADF&G
representative shall remove and retain the skin of the skull and front
claws of the bear.
(4) No person may falsify any information required on the sealing
certificate or temporary sealing form provided by the ADF&G in
accordance with State regulations.
(f) Sealing of beaver, lynx, marten, otter, wolf, and wolverine. No
person may possess or transport from Alaska the untanned skin of a
marten taken in Units 1-5, 7, 13(E), and 14-16 or the untanned skin of
a beaver, lynx, otter, wolf, or wolverine, whether taken inside or
outside the state, unless the skin has been sealed by an authorized
representative of ADF&G in accordance with State regulations.
(g) A person who takes a species listed in paragraph (f) of this
section but who is unable to present the skin in person, must complete
and sign a temporary sealing form and ensure that the completed
temporary sealing form and skin are presented to an authorized
representative of ADF&G for sealing consistent with requirements listed
in paragraph (f) of this section.
(h) Utilization of Wildlife.
(1) No person may use wildlife as food for a dog or furbearer, or
as bait, except for the following:
(i) The hide, skin, viscera, head, or bones of wildlife;
(ii) The skinned carcass of a furbearer;
(iii) Squirrels, hares (rabbits), grouse and ptarmigan; however,
the breast meat of grouse and ptarmigan may not be used as animal food
or bait;
(iv) Unclassified wildlife.
(2) A person taking wildlife for subsistence shall salvage the
following parts for human use:
(i) The hide of a wolf, wolverine, coyote, fox, lynx, marten, mink,
weasel or otter;
(ii) The hide and edible meat of a brown bear, except that the hide
of brown bears taken in the Western and Northwestern Alaska Brown Bear
Management Areas and Units 5 and 9(B) need not be salvaged;
(iii) The hide and edible meat of a black bear;
(iv) The hide or meat of squirrels, hares (rabbits), marmots,
beaver, muskrats, or unclassified wildlife.
(3) Failure to salvage edible meat of ungulates, bear, or grouse
and ptarmigan is prohibited.
(4) Failure to salvage the edible meat may not be a violation if
such failure is caused by circumstances beyond the control of a person,
including theft of the harvested wildlife, unanticipated weather
conditions, or unavoidable loss to another animal.
(i) The regulations found in this section do not apply to the
subsistence taking and use of wildlife regulated pursuant to the Fur
Seal Act of 1966 (80 Stat. 927, 16 U.S.C. 1187), the Endangered Species
Act of 1973 (87 Stat. 884, 16 U.S.C. 1531-1543), the Marine Mammal
Protection Act of 1972 (86 Stat. 1027; 16 U.S.C. 1361-1407), and the
Migratory Bird Treaty Act (40 Stat. 755; 16 U.S.C. 703-711), or any
amendments to these Acts. The taking and use of wildlife, covered by
these Acts, will conform to the specific provisions contained in these
Acts, as amended, and any implementing regulations.
(j) Rural residents, non-rural residents, and nonresidents not
specifically prohibited by Federal regulations from hunting or trapping
on public lands in an area, may hunt or trap on public lands in
accordance with the appropriate State regulations.
(k) Unit Regulations. Subsistence taking of unclassified wildlife,
all squirrel species, and marmots is allowed in all Units, without
harvest limits, for the period of July 1-June 30. Subsistence taking of
wildlife outside established Unit seasons, or in excess of the
established Unit harvest limits, is prohibited unless otherwise
modified by subsequent regulation. Taking of wildlife under State
regulations on public lands is permitted, except as otherwise
restricted at paragraphs (k)(1) through (26) of this section.
Additional Unit-specific restrictions or allowances for subsistence
taking of wildlife are identified at paragraphs (k)(1) through (26) of
this section.
(1) Unit 1. Unit 1 consists of all mainland drainages from Dixon
Entrance to Cape Fairweather, and those islands east of the center line
of Clarence Strait from Dixon Entrance to Caamano Point, and all
islands in Stephens Passage and Lynn Canal north of Taku Inlet:
(i) Unit 1(A) consists of all drainages south of the latitude of
Lemesurier Point including all drainages into Behm Canal, excluding all
drainages of Ernest Sound;
(ii) Unit 1(B) consists of all drainages between the latitude of
Lemesurier Point and the latitude of Cape Fanshaw including all
drainages of Ernest Sound and Farragut Bay, and including the islands
east of the center lines of Frederick Sound, Dry Strait (between
Sergief and Kadin Islands), Eastern Passage, Blake Channel (excluding
Blake Island), Ernest Sound and Seward Passage;
(iii) Unit 1(C) consists of that portion of Unit 1 draining into
Stephens Passage and Lynn Canal north of Cape Fanshaw and south of the
latitude of Eldred Rock including Berners Bay, Sullivan Island, and all
mainland portions north of Chichagof Island and south of the latitude
of Eldred Rock, excluding drainages into Farragut Bay;
(iv) Unit 1(D) consists of that portion of Unit 1 north of the
latitude of Eldred Rock, excluding Sullivan Island and the drainages of
Berners Bay;
(v) In the following areas, the taking of wildlife for subsistence
uses is prohibited or restricted on public lands:
(A) Public lands within Glacier Bay National Park are closed to all
taking of wildlife for subsistence uses;
(B) Unit 1(A)--in the Hyder area, the Salmon River drainage
downstream from the Riverside Mine, excluding the Thumb Creek drainage,
is closed to the taking of bear;
(C) Unit 1(B)--the Anan Creek drainage is closed to the taking of
black bear;
(D) Unit 1(C):
(1) The area within one-fourth mile of Mendenhall Lake, the U.S.
Forest Service Mendenhall Glacier Visitor's Center, and the Center's
parking area, is closed to hunting;
(2) The area of Mt. Bullard bounded by the Mendenhall Glacier,
Nugget Creek from its mouth to its confluence with Goat Creek, and a
line from the mouth of Goat Creek north to the Mendenhall Glacier, is
closed to the taking of mountain goat;
(vi) In Unit 1(C), Juneau area, the trapping of furbearers for
subsistence
[[Page 39713]]
uses is prohibited on the following public lands:
(A) A strip within one-quarter mile of the mainland coast between
the end of Thane Road and the end of Glacier Highway at Echo Cove;
(B) That area of the Mendenhall Valley bounded on the south by the
Glacier Highway, on the west by the Mendenhall Loop Road and Montana
Creek Road and Spur Road to Mendenhall Lake, on the north by Mendenhall
Lake, and on the east by the Mendenhall Loop Road and Forest Service
Glacier Spur Road to the Forest Service Visitor Center;
(C) That area within the U.S. Forest Service Mendenhall Glacier
Recreation Area;
(D) A strip within one-quarter mile of the following trails as
designated on U.S. Geological Survey maps: Herbert Glacier Trail,
Windfall Lake Trail, Peterson Lake Trail, Spaulding Meadows Trail
(including the loop trail), Nugget Creek Trail, Outer Point Trail, Dan
Moller Trail, Perseverance Trail, Granite Creek Trail, Mt. Roberts
Trail and Nelson Water Supply Trail, Sheep Creek Trail, and Point
Bishop Trail;
(vii) Unit-specific regulations:
(A) Bait may be used to hunt black bear in Units 1(A), 1(B), and
1(D) between April 15 and June 15;
(B) Boats may not be used to take ungulates, bear, wolves, or
wolverine, except for persons certified as disabled;
(C) The taking of wildlife outside the seasons or harvest limits
provided in this part for food in traditional religious ceremonies
which are part of a funerary or mortuary cycle, including memorial
potlatches, is authorized in Units 1-5 provided that:
(1) The person organizing the religious ceremony, or designee,
contact the appropriate Federal land management agency prior to taking
or attempting to take game and provides to the appropriate Federal land
managing agency the name of the decedent, the nature of the ceremony,
the species and number to be taken, the Unit(s) in which the taking
will occur;
(2) The taking does not violate recognized principles of fish and
wildlife conservation;
(3) Each person who takes wildlife under this section must, as soon
as practicable, and not more than 15 days after the harvest, submit a
written report to the appropriate Federal land managing agency,
specifying the harvester's name and address, the number, sex and
species of wildlife taken, the date and locations of the taking, and
the name of the decedent for whom the ceremony was held;
(4) No permit or harvest ticket is required for taking under this
section; however, the harvester must be an Alaska rural resident with
customary and traditional use in that area where the harvesting will
occur;
(D) A Federally-qualified subsistence user (recipient) may
designate another Federally-qualified subsistence user to take deer on
his or her behalf unless the recipient is a member of a community
operating under a community harvest system. The designated hunter must
obtain a designated hunter permit and must return a completed harvest
report. The designated hunter may hunt for any number of recipients but
may have no more than two harvest limits in his/her possession at any
one time.
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
2 bears, no more than one may be Sept. 1-June 30.
a blue or glacier bear.
Brown Bear:
1 bear every four regulatory Sept. 15-Dec. 31.
years by State registration Mar. 15-May 31.
permit only.
Deer:
Unit 1(A)--4 antlered deer....... Aug. 1--Dec. 31.
Unit 1(B)--2 antlered deer....... Aug. 1-Dec. 31.
Unit 1(C)--4 deer; however, Aug. 1-Dec. 31.
antlerless deer may be taken
only from Sept. 15-Dec. 31.
Goat:
Unit 1(A)--Revillagigedo Island No open season.
only.
Unit 1(B)--that portion north of Aug. 1-Dec. 31.
the Bradfield Canal and the
North Fork of the Bradfield
River, excluding that portion
between LeConte Bay and the
North Fork of Bradfield River/
Canal. 1 goat by State
registration permit only; the
taking of kids or nannies
accompanied by kids is
prohibited.
Unit 1(B)--that portion between Aug. 1-Dec. 31.
LeConte Bay and the North Fork
of Bradfield River/Canal. 2
goats; a State registration
permit will be required for the
taking of the first goat and a
Federal registration permit for
the taking of a second goat; the
taking of kids or nannies
accompanied by kids is
prohibited.
Unit 1(A) and Unit 1(B)-- Aug. 1-Dec. 31.
Remainder--2 goats by State
registration permit only.
Unit 1(C)--that portion draining
into Lynn Canal and Stephens
Passage between Antler River and
Eagle Glacier and River--1 goat
by State registration permit
only.
Unit 1(C)--that portion draining No open season.
into Stephens Passage and Taku
Inlet between Eagle Glacier and
River and Taku Glacier, and all
drainages of the Chilkat Range
south of the Endicott River.
Remainder of Unit 1(C)--1 goat by Aug. 1-Nov. 30.
State registration permit only.
Unit 1(D)--that portion lying Sept. 15-Nov. 30.
north of the Katzehin River and
northeast of the Haines highway--
1 goat by State registration
permit only.
Unit 1(D)--that portion lying No open season.
between Taiya Inlet and River
and the White Pass and Yukon
Railroad.
Remainder of Unit 1(D)--1 goat by Aug. 1-Dec. 31.
State registration permit only.
Moose:
Unit 1(A)--1 antlered bull....... Sept. 15-Oct. 15.
Unit 1(B)--south and east of Sept. 15-Oct. 15.
LeConte Bay and Glacier--1
antlered bull with spike-fork or
50-inch antlers or 3 or more
brow tines on either antler, by
State registration permit.
Remainder of Unit 1(B)........... No open season.
Unit 1(C), that portion south of Sept. 15-Oct. 15.
Point Hobart including all Port
Houghton drainages--1 antlered
bull with spike-fork or 50-inch
antlers or 3 or more brow tines
on either antler, by State
registration permit.
Remainder of Unit 1(C)--excluding Sept. 15-Oct. 15.
drainages of Berners Bay--1
antlered bull by State
registration permit only.
Unit 1(D)........................ No open season.
[[Page 39714]]
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Red (including Cross, Black, and
Silver Phases):
2 foxes.......................... Nov. 1-Feb. 15.
Hare (Snowshoe and Tundra):
5 hares per day.................. Sept. 1-Apr. 30.
Lynx:
2 lynx........................... Dec. 1-Feb. 15.
Wolf:
5 wolves......................... Aug 1-Apr. 30.
Wolverine:
1 wolverine...................... Nov. 10-Feb. 15.
Grouse (Spruce, Blue Ruffed, and
Sharp-tailed):
5 per day, 10 in possession...... Aug. 1-May 15.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 1-May 15.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
Unit 1(A), (B), and (C)--No limit Dec. 1-May 15.
Coyote:
No limit......................... Dec. 1-Feb. 15.
Fox, Red (including Cross, Black, and
Silver Phases):
No limit......................... Dec. 1-Feb. 15.
Lynx:
No limit......................... Dec. 1-Feb. 15.
Marten:
No limit......................... Dec. 1-Feb. 15.
Mink and Weasel:
No limit......................... Dec. 1-Feb. 15.
Muskrat:
No limit......................... Dec. 1-Feb. 15.
Otter:
No limit......................... Dec. 1-Feb. 15.
Wolf:
No limit......................... Nov. 10-Apr. 30.
Wolverine:
No limit......................... Nov. 10-Apr. 30.
------------------------------------------------------------------------
(2) Unit 2. Unit 2 consists of Prince of Wales Island and all
islands west of the center lines of Clarence Strait and Kashevarof
Passage, south and east of the center lines of Sumner Strait, and east
of the longitude of the western most point on Warren Island.
(i) Unit-specific regulations:
(A) Bait may be used to hunt black bear between April 15 and June
15;
(B) Boats may not be used to take ungulates, bear, wolves, or
wolverine, except for persons certified as disabled;
(C) The taking of wildlife outside the seasons or harvest limits
provided in this part for food in traditional religious ceremonies
which are part of a funerary or mortuary cycle, including memorial
potlatches, is authorized in Units 1-5 provided that:
(1) The person organizing the religious ceremony, or designee,
contact the appropriate Federal land management agency prior to taking
or attempting to take game and provides to the appropriate Federal land
managing agency the name of the decedent, the nature of the ceremony,
the species and number to be taken, the Unit(s) in which the taking
will occur;
(2) The taking does not violate recognized principles of fish and
wildlife conservation;
(3) Each person who takes wildlife under this section must, as soon
as practicable, and not more than 15 days after the harvest, submit a
written report to the appropriate Federal land managing agency,
specifying the harvester's name and address, the number, sex and
species of wildlife taken, the date and locations of the taking, and
the name of the decedent for whom the ceremony was held;
(4) No permit or harvest ticket is required for taking under this
section; however, the harvester must be an Alaska rural resident with
customary and traditional use in that area where the harvesting will
occur;
(D) A Federally-qualified subsistence user (recipient) may
designate another Federally-qualified subsistence user to take deer on
his or her behalf unless the recipient is a member of a community
operating under a community harvest system. The designated hunter must
obtain a designated hunter permit and must return a completed harvest
report. The designated hunter may hunt for any number of recipients but
may have no more than two harvest limits in his/her possession at any
one time.
(ii) [Reserved]
[[Page 39715]]
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
FR Doc. 96-18097 Subsistence Management Regulations for Public Lands in Alaska, Subpart C and Subpart D1996-1997 Subsistence Taking of Fish and Wildlife Regulations
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Black Bear:
2 bears, no more than one may be Sept. 1-June 30.
a blue or glacier bear.
Deer:
4 deer; however, no more than one Aug. 1-Dec. 31.
may be an antlerless deer.
Antlerless deer may be taken
only during the period Oct. 15-
Dec. 31.
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Red (including Cross, Black, and
Silver Phases):
2 foxes.......................... Nov. 1-Feb. 15.
Hare (Snowshoe and Tundra):
5 hares per day.................. Sept. 1-Apr. 30.
Lynx:
2 lynx........................... Dec. 1-Feb. 15.
Wolf:
5 wolves......................... Aug. 1-Apr. 30.
Wolverine:
1 wolverine...................... Nov. 10-Feb. 15.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
5 per day, 10 in possession...... Aug. 1-May 15.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 1-May 15.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
No limit......................... Dec. 1-May 15.
Coyote:
No limit......................... Dec. 1-Feb. 15.
Fox, Red (including Cross, Black, and
Silver Phases):
No limit......................... Dec. 1-Feb. 15.
Lynx:
No limit......................... Dec. 1-Feb. 15.
Marten:
No limit......................... Dec. 1-Feb. 15.
Mink and Weasel:
No limit......................... Dec. 1-Feb. 15.
Muskrat:
No limit......................... Dec. 1-Feb. 15.
Otter:
No limit......................... Dec. 1-Feb. 15.
Wolf:
No limit......................... Nov. 10-Apr. 30.
Wolverine:
No limit......................... Nov. 10-Apr. 30.
------------------------------------------------------------------------
(3) Unit 3. (i) Unit 3 consists of all islands west of Unit 1(B),
north of Unit 2, south of the center line of Frederick Sound, and east
of the center line of Chatham Strait including Coronation, Kuiu,
Kupreanof, Mitkof, Zarembo, Kashevarof, Woronkofski, Etolin, Wrangell,
and Deer Islands.
(ii) In the following areas, the taking of wildlife for subsistence
uses is prohibited or restricted on public lands:
(A) In the Petersburg vicinity, a strip one-fourth mile wide on
each side of the Mitkof Highway from Milepost 0 to Crystal Lake
campground is closed to the taking of ungulates, bear, wolves and
wolverine;
(B) The Petersburg Creek drainage on Kupreanof Island is closed to
the taking of black bears;
(C) Blind Slough draining into Wrangell Narrows and a strip one-
fourth mile wide on each side of Blind Slough, from the hunting closure
markers at the southernmost portion of Blind Island to the hunting
closure markers one mile south of the Blind Slough bridge, are closed
to all hunting.
(iii) Unit-specific regulations:
(A) Bait may be used to hunt black bear between April 15 and June
15;
(B) Boats may not be used to take ungulates, bear, wolves, or
wolverine, except for persons certified as disabled;
(C) The taking of wildlife outside the seasons or harvest limits
provided in this part for food in traditional religious ceremonies
which are part of a funerary or mortuary cycle, including memorial
potlatches, is authorized in Units 1-5 provided that:
(1) The person organizing the religious ceremony, or designee,
contact the appropriate Federal land management agency prior to taking
or attempting to take game and provides to the appropriate Federal land
managing agency the name of the decedent, the nature of the ceremony,
the species and number to be taken, the Unit(s) in which the taking
will occur;
(2) The taking does not violate recognized principles of fish and
wildlife conservation;
(3) Each person who takes wildlife under this section must, as soon
as practicable, and not more than 15 days after the harvest, submit a
written report to the appropriate Federal land managing agency,
specifying the harvester's name and address, the number, sex and
species of wildlife taken, the date and locations of the taking, and
the name of the decedent for whom the ceremony was held;
[[Page 39716]]
(4) No permit or harvest ticket is required for taking under this
section; however, the harvester must be an Alaska rural resident with
customary and traditional use in that area where the harvesting will
occur;
(D) A Federally-qualified subsistence user (recipient) may
designate another Federally-qualified subsistence user to take deer on
his or her behalf unless the recipient is a member of a community
operating under a community harvest system. The designated hunter must
obtain a designated hunter permit and must return a completed harvest
report. The designated hunter may hunt for any number of recipients but
may have no more than two harvest limits in his/her possession at any
one time.
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
2 bears, no more than one may be Sept. 1-June 30.
a blue or glacier bear.
Deer:
Unit 3--Mitkof Island, Woewodski Oct. 15-Oct. 31.
Island, Butterworth Islands, and
that portion of Kupreanof Island
which includes Lindenburg
Peninsula east of the Portage
Bay/Duncan Canal Portage--1
antlered deer by State
registration permit only;
however, the city limits of
Petersburg and Kupreanof are
closed to hunting.
Remainder of Unit 3--2 antlered Aug. 1-Nov. 30.
deer.
Moose:
Unit 3--Mitkof and Wrangell Sept. 15-Oct. 15.
Islands--1 antlered bull with
spike-fork or 50-inch antlers or
3 or more brow tines on either
antler by State registration
permit only.
Remainder of Unit 3.............. No open season.
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Red (including Cross, Black, and
Silver Phases):
2 foxes.......................... Nov. 1-Feb. 15.
Hare (Snowshoe and Tundra):
5 hares per day.................. Sept. 1-Apr. 30.
Lynx:
2 lynx........................... Dec. 1-Feb. 15.
Wolf:
5 wolves......................... Aug. 1-Apr. 30.
Wolverine:
1 wolverine...................... Nov. 10-Feb. 15.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
5 per day, 10 in possession...... Aug. 1-May 15.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 1-May 15.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
Unit 3--Mitkof Island............ Dec. 1-Apr. 15.
No limit.........................
Unit 3--except Mitkof Island.....
No limit......................... Dec. 1-May 15.
Coyote:
No limit......................... Dec. 1-Feb. 15.
Fox, Red (including Cross, Black, and
Silver Phases):
No limit......................... Dec. 1-Feb. 15.
Lynx:
No limit......................... Dec. 1-Feb. 15.
Marten:
No limit......................... Dec. 1-Feb. 15.
Mink and Weasel:
No limit......................... Dec. 1-Feb. 15.
Muskrat:
No limit......................... Dec. 1-Feb. 15.
Otter:
No limit......................... Dec. 1-Feb. 15.
Wolf:
No limit......................... Nov. 10-Apr. 30.
Wolverine:
No limit......................... Nov. 10.-Apr. 30.
------------------------------------------------------------------------
(4) Unit 4. (i) Unit 4 consists of all islands south and west of
Unit 1(C) and north of Unit 3 including Admiralty, Baranof, Chichagof,
Yakobi, Inian, Lemesurier, and Pleasant Islands.
(ii) In the following areas, the taking of wildlife for subsistence
uses is prohibited or restricted on public lands:
(A) The Seymour Canal Closed Area (Admiralty Island) including all
drainages into northwestern Seymour Canal between Staunch Point and the
southernmost tip of the unnamed peninsula separating Swan Cove and King
Salmon Bay including Swan and
[[Page 39717]]
Windfall Islands, is closed to the taking of bears;
(B) The Salt Lake Bay Closed Area (Admiralty Island) including all
lands within one-fourth mile of Salt Lake above Klutchman Rock at the
head of Mitchell Bay, is closed to the taking of bears;
(C) Port Althorp (Chichagof Island), that area within the Port
Althorp watershed south of a line from Point Lucan to Salt Chuck Point
(Trap Rock), is closed to the taking of brown bears;
(D) Northeast Chichagof Controlled Use Area (NECCUA) consisting of
all portions of Unit 4 on Chichagof Island north of Tenakee Inlet and
east of the drainage divide from the northwest point of Gull Cove to
Port Frederick Portage, including all drainages into Port Frederick and
Mud Bay, is closed to the use of any motorized land vehicle for brown
bear hunting, or for the taking of marten, mink, or weasel.
(iii) Unit-specific regulations:
(A) Boats may not be used to take bear, wolves, or wolverine,
except for persons certified as disabled;
(B) A Federally-qualified subsistence user (recipient) may
designate another Federally-qualified subsistence user to take deer on
his or her behalf unless the recipient is a member of a community
operating under a community harvest system. The designated hunter must
obtain a designated hunter permit and must return a completed harvest
report. The designated hunter may hunt for any number of recipients but
may have no more than two harvest limits in his/her possession at any
one time;
(C) The taking of wildlife outside the seasons or harvest limits
provided in this part for food in traditional religious ceremonies
which are part of a funerary or mortuary cycle, including memorial
potlatches, is authorized in Units 1--5 provided that:
(1) The person organizing the religious ceremony, or designee,
contact the appropriate Federal land management agency prior to taking
or attempting to take game and provides to the appropriate Federal land
managing agency the name of the decedent, the nature of the ceremony,
the species and number to be taken, the Unit(s) in which the taking
will occur;
(2) The taking does not violate recognized principles of fish and
wildlife conservation;
(3) Each person who takes wildlife under this section must, as soon
as practicable, and not more than 15 days after the harvest, submit a
written report to the appropriate Federal land managing agency,
specifying the harvester's name and address, the number, sex and
species of wildlife taken, the date and locations of the taking, and
the name of the decedent for whom the ceremony was held;
(4) No permit or harvest ticket is required for taking under this
section; however, the harvester must be an Alaska rural resident with
customary and traditional use in that area where the harvesting will
occur;
(D) Chichagof Island is closed to the use of any motorized land
vehicle for the taking of marten, mink, and weasel.
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Brown Bear:
Unit 4--Chichagof Island south Sept. 15-Dec. 31.
and west of a line that follows Mar. 15-May 31.
the crest of the island from
Rock Point (58 deg. N. lat., 136
deg.21' W. long.), to Rodgers
Point (57 deg.35' N. lat., 135
deg.33' W. long.) including
Yakobi and other adjacent
islands; Baranof Island south
and west of a line which follows
the crest of the island from
Nismeni Point (57 deg.34' N.
lat., 135 deg.25' W. long.), to
the entrance of Gut Bay (56
deg.44' N. lat. 134 deg.38' W.
long.) including the drainages
into Gut Bay and including
Kruzof and other adjacent
islands--1 bear every four
regulatory years by State
registration permit only.
Unit 4--that portion in the Mar. 15-May 20.
Northeast Chichagof Controlled
Use Area--1 bear every four
regulatory years by State
registration permit only.
Remainder of Unit 4--1 bear every Sept. 15-Dec. 31.
four regulatory years by State Mar. 15-May 20.
registration permit only.
Deer:
6 deer; however, antlerless deer Aug. 1-Jan. 31.
may be taken only from Sept. 15-
Jan. 31.
Goat:
1 goat by State registration Aug. 1-Dec. 31.
permit only.
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Red (including Cross, Black, and
Silver Phases):
2 foxes.......................... Nov. 1-Feb. 15.
Hare (Snowshoe and Tundra).......
5 hares per day.................. Sept. 1-Apr. 30.
Lynx:
2 lynx........................... Dec. 1-Feb. 15.
Wolf:
5 wolves......................... Aug. 1-Apr. 30.
Wolverine:
1 wolverine...................... Nov. 10-Feb. 15.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
5 per day, 10 in possession..... Aug. 1-May 15.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 1.-May 15.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
Unit 4--that portion east of Dec. 1-May 15.
Chatham Strait--No limit.
Remainder of Unit 4.............. No open season.
Coyote:
No limit......................... Dec. 1-Feb. 15.
[[Page 39718]]
Fox, Red (including Cross, Black, and
Silver Phases):
No limit......................... Dec. 1-Feb. 15.
Lynx:
No limit........................ Dec. 1-Feb. 15.
Marten:
Unit 4--Chichagof Island--No Dec. 1-Dec. 31.
limit.
Remainder of Unit 4--No limit.... Dec. 1-Feb. 15.
Mink and Weasel:
Unit 4--Chichagof Island--No Dec. 1-Dec. 31.
limit.
Remainder of Unit 4--No limit.... Dec. 1-Feb. 15.
Muskrat:
No limit......................... Dec. 1-Feb. 15.
Otter:
No limit......................... Dec. 1-Feb. 15.
Wolf:
No limit......................... Nov. 10-Apr. 30.
Wolverine:
No limit......................... Nov. 10-Apr. 30.
------------------------------------------------------------------------
(5) Unit 5. (i) Unit 5 consists of all Gulf of Alaska drainages and
islands between Cape Fairweather and the center line of Icy Bay,
including the Guyot Hills:
(A) Unit 5(A) consists of all drainages east of Yakutat Bay,
Disenchantment Bay, and the eastern edge of Hubbard Glacier, and
includes the islands of Yakutat and Disenchantment Bays;
(B) Unit 5(B) consists of the remainder of Unit 5.
(ii) Public lands within Glacier Bay National Park are closed to
all taking of wildlife for subsistence uses.
(iii) Unit-specific regulations:
(A) Bait may be used to hunt black bear between April 15 and June
15;
(B) Boats may not be used to take ungulates, bear, wolves, or
wolverine, except for persons certified as disabled;
(C) Unit 5 is open to brown bear hunting by Federal registration
permit in lieu of a State metal locking tag; no State metal locking tag
is required for taking a brown bear in Unit 5, provided that the hunter
has obtained a Federal registration permit prior to hunting;
(D) The taking of wildlife outside the seasons or harvest limits
provided in this part for food in traditional religious ceremonies
which are part of a funerary or mortuary cycle, including memorial
potlatches, is authorized in Units 1-5 provided that:
(1) The person organizing the religious ceremony, or designee,
contact the appropriate Federal land management agency prior to taking
or attempting to take game and provides to the appropriate Federal land
managing agency the name of the decedent, the nature of the ceremony,
the species and number to be taken, the Unit(s) in which the taking
will occur;
(2) The taking does not violate recognized principles of fish and
wildlife conservation;
(3) Each person who takes wildlife under this section must, as soon
as practicable, and not more than 15 days after the harvest, submit a
written report to the appropriate Federal land managing agency,
specifying the harvester's name and address, the number, sex and
species of wildlife taken, the date and locations of the taking, and
the name of the decedent for whom the ceremony was held;
(4) No permit or harvest ticket is required for taking under this
section; however, the harvester must be an Alaska rural resident with
customary and traditional use in that area where the harvesting will
occur;
(E) A Federally-qualified subsistence user (recipient) may
designate another Federally-qualified subsistence user to take deer or
moose on his or her behalf unless the recipient is a member of a
community operating under a community harvest system. The designated
hunter must obtain a designated hunter permit and must return a
completed harvest report. The designated hunter may hunt for any number
of recipients but may have no more than two harvest limits in his/her
possession at any one time.
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
2 bears, no more than one may be Sept. 1-June 30.
a blue or glacier bear.
Brown Bear:
1 bear by Federal registration Sept. 1-May 31.
permit only.
Deer:
Unit 5(A)--1 buck................ Nov.1-Nov. 30.
Unit 5(B)........................ No open season.
Goat:
1 goat by Federal registration Aug. 1-Jan. 31.
permit only.
Moose:
Unit 5(A), Nunatak Bench--1 moose Nov. 15-Feb. 15.
by State registration permit
only. The season will be closed
when 5 moose have been taken
from the Nunatak Bench.
Unit 5(A), except Nunatak Bench-- Oct. 8-Nov. 15.
1 antlered bull by Federal
registration permit only. The
season will be closed when 60
antlered bulls have been taken
from the Unit. The season will
be closed in that portion west
of the Dangerous River when 30
antlered bulls have been taken
in that area. From Oct. 15-Oct.
21, public lands will be closed
to taking of moose, except by
rural Alaska residents of Unit
5(A).
[[Page 39719]]
Unit 5(B)--1 antlered bull by Sept. 1-Dec. 15.
State registration permit only.
The season will be closed when
25 antlered bulls have been
taken from the entirety of Unit
5(B).
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Red (including Cross, Black and
Silver Phases):
2 foxes.......................... Nov. 1-Feb. 15.
Hare (Snowshoe and Tundra):
5 hares per day.................. Sept. 1-Apr. 30.
Lynx:
2 lynx........................... Dec. 1-Feb. 15.
Wolf:
5 wolves......................... Aug. 1-Apr. 30.
Wolverine:
1 wolverine...................... Nov. 10-Feb. 15.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
5 per day, 10 in possession...... Aug. 1-May 15.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 1-May 15.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
No limit......................... Nov. 10-May 15.
Coyote:
No limit......................... Dec. 1-Feb. 15.
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Dec. 1-Feb. 15.
Lynx:
No limit......................... Dec. 1-Feb. 15.
Marten:
No limit......................... Nov. 10-Feb. 15.
Mink and Weasel:
No limit......................... Nov. 10-Feb. 15.
Muskrat:
No limit......................... Dec. 1-Feb. 15.
Otter:
No limit......................... Nov. 10-Feb. 15.
Wolf:
No limit......................... Nov. 10-Apr. 30.
Wolverine:
No limit......................... Nov. 10-Apr. 30.
------------------------------------------------------------------------
(6) Unit 6. (i) Unit 6 consists of all Gulf of Alaska and Prince
William Sound drainages from the center line of Icy Bay (excluding the
Guyot Hills) to Cape Fairfield including Kayak, Hinchinbrook, Montague,
and adjacent islands, and Middleton Island, but excluding the Copper
River drainage upstream from Miles Glacier, and excluding the Nellie
Juan and Kings River drainages:
(A) Unit 6(A) consists of Gulf of Alaska drainages east of Palm
Point near Katalla including Kanak, Wingham, and Kayak Islands;
(B) Unit 6(B) consists of Gulf of Alaska and Copper River Basin
drainages west of Palm Point near Katalla, east of the west bank of the
Copper River, and east of a line from Flag Point to Cottonwood Point;
(C) Unit 6(C) consists of drainages west of the west bank of the
Copper River, and west of a line from Flag Point to Cottonwood Point,
and drainages east of the east bank of Rude River and drainages into
the eastern shore of Nelson Bay and Orca Inlet;
(D) Unit 6(D) consists of the remainder of Unit 6.
(ii) For the following areas, the taking of wildlife for
subsistence uses is prohibited or restricted on public lands:
(A) The Goat Mountain goat observation area, which consists of that
portion of Unit 6(B) bounded on the north by Miles Lake and Miles
Glacier, on the south and east by Pleasant Valley River and Pleasant
Glacier, and on the west by the Copper River, is closed to the taking
of mountain goat;
(B) The Heney Range goat observation area, which consists of that
portion of Unit 6(C) south of the Copper River Highway and west of the
Eyak River, is closed to the taking of mountain goat.
(iii) Unit-specific regulations:
(A) Bait may be used to hunt black bear between April 15 and June
15;
(B) Coyotes may be taken in Units 6(B) and 6(C) with the aid of
artificial lights.
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
1 bear........................... Sept. 1-June 30.
Deer:
4 deer; however, antlerless deer Aug. 1-Dec. 31.
may be taken only from Oct. 1-
Dec. 31.
[[Page 39720]]
Goats:
Unit 6(A), (B)-1 goat by State Aug. 20-Jan. 31.
registration permit only.
Unit 6(C)........................ No open season.
Unit 6(D) (subareas RG242,RG244, Aug. 20-Jan. 31.
RG249, RG266 and RG252 only)--1
goat by Federal registration
permit only.
In each of the Unit 6(D) .................................
subareas, goat seasons will be
closed when harvest limits for
that subarea are reached.
Harvest quotas are as follows:
RG242--2 goats, RG244--2 goats,
RG249--2 goats, RG266--4 goats,
RG252--1 goat.
Unit 6(D) (subareas RG243 and No open season.
RG245)--The taking of goats is
prohibited on all public lands.
Coyote:
Unit 6(A) and (D)--2 coyotes..... Sept. 1-Apr. 30.
Unit 6(B)--No limit.............. July 1-June 30.
Unit 6(C)--South of the Copper July 1-June 30.
River Highway and east of the
Heney Range--No limit.
Remainder of Unit 6(C)--No limit. July 1-June 30.
Fox, Red (including Cross, Black and No open season.
Silver Phases).
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
Lynx No open season.
Wolf:
5 wolves......................... Aug. 10-Apr. 30.
Wolverine:
1 wolverine...................... Sept. 1--Mar. 31.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
5 per day, 10 in possession...... Aug. 1-May 15.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 1-May 15.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
Trapping--20 beaver per season... Dec. 1-Mar. 31.
Coyote:
Unit 6(A), (B) and (D)--No limit. Nov. 10-Mar. 31.
Unit 6(C)--South of the Copper Nov. 10-Apr. 30.
River Highway and east of the
Heney Range--No limit.
Remainder of Unit 6(C)--No limit. Nov. 10-Mar. 31.
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 10-Feb. 28.
Marten:
No limit......................... Nov. 10-Jan. 31.
Mink and Weasel:
No limit......................... Nov. 10-Jan. 31.
Muskrat:
No limit......................... Nov. 10-June 10.
Otter:
No limit......................... Nov. 10-Mar. 31.
Wolf:
No limit......................... Nov. 10-Mar. 31.
Wolverine:
No limit......................... Nov. 10-Feb. 28.
------------------------------------------------------------------------
(7) Unit 7. (i) Unit 7 consists of Gulf of Alaska drainages between
Gore Point and Cape Fairfield including the Nellie Juan and Kings River
drainages, and including the Kenai River drainage upstream from the
Russian River, the drainages into the south side of Turnagain Arm west
of and including the Portage Creek drainage, and east of 150 deg. W.
long., and all Kenai Peninsula drainages east of 150 deg. W. long.,
from Turnagain Arm to the Kenai River.
(ii) In the following areas, the taking of wildlife for subsistence
uses is prohibited or restricted on public lands:
(A) Kenai Fjords National Park is closed to all subsistence uses;
(B) The Portage Glacier Closed Area in Unit 7, which consists of
Portage Creek drainages between the Anchorage-Seward Railroad and
Placer Creek in Bear Valley, Portage Lake, the mouth of Byron Creek,
Glacier Creek and Byron Glacier, is closed to hunting; however, grouse,
ptarmigan, hares, and squirrels may be hunted with shotguns after
September 1.
(iii) Unit-specific regulations:
(A) Bait may be used to hunt black bear between April 15 and June
15; except Resurrection Creek and its tributaries.
(B) [Reserved]
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
Unit 7--3 bears.................. July 1-June 30.
Coyote:
No limit......................... Sept. 1-Apr. 30.
Fox, Red (including Cross, Black and
Silver Phases):
2 foxes.......................... Nov. 1-Feb. 15.
[[Page 39721]]
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
Wolf:
Unit 7--that portion within the Aug. 10-Apr. 30.
Kenai National Wildlife Refuge--
2 wolves.
Unit 7--Remainder--5 wolves...... Aug. 10-Apr. 30.
Wolverine:
1 wolverine...................... Sept. 1-Mar. 31.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
15 per day, 30 in possession..... Aug. 10-Mar. 31.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 10-Mar. 31.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
20 Beaver per season............. Dec. 1-Mar. 31.
Coyote:
No limit......................... Nov. 10-Feb. 28.
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 10-Feb. 28.
Marten:
No limit......................... Nov. 10-Jan. 31.
Mink and Weasel:
No limit......................... Nov. 10-Jan. 31.
Muskrat:
No limit......................... Nov. 10-May 15.
Otter:
No limit......................... Nov. 10-Feb. 28.
Wolf:
No limit......................... Nov. 10-Feb. 28.
Wolverine:
No limit......................... Nov. 10-Feb. 28.
------------------------------------------------------------------------
(8) Unit 8. Unit 8 consists of all islands southeast of the
centerline of Shelikof Strait including Kodiak, Afognak, Whale,
Raspberry, Shuyak, Spruce, Marmot, Sitkalidak, Amook, Uganik, and
Chirikof Islands, the Trinity Islands, the Semidi Islands, and other
adjacent islands.
(i) A firearm may be used to take beaver with a trapping license in
Unit 8 from Nov. 10-Apr. 30.
(ii) A Federally-qualified subsistence user (recipient) may
designate another Federally-qualified subsistence user to take deer on
his or her behalf unless the recipient is a member of a community
operating under a community harvest system. The designated hunter must
obtain a designated hunter permit and must return a completed harvest
report. The designated hunter may hunt for any number of recipients but
may have no more than two harvest limits in his/her possession at any
one time.
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Deer:
Unit 8--that portion of Kodiak Aug. 1-Oct. 31.
Island north of a line from the
head of Settlers Cove to
Crescent Lake (57 deg.52' N.
lat., 152 deg.58' W. long.), and
east of a line from the outlet
of Crescent Lake to Mount
Ellison Peak and from Mount
Ellison Peak to Pokati Point at
Whale Passage, and that portion
of Kodiak Island east of a line
from the mouth of Saltery Creek
to the mouth at Elbow Creek, and
adjacent small islands in
Chiniak Bay--1 deer; however,
antlerless deer may be taken
only from Oct. 25-Oct. 31.
Unit 8--that portion of Kodiak Aug. 1-Dec. 31.
Island and adjacent islands
south and west of a line from
the head of Terror Bay to the
head of the south-western most
arm of Ugak Bay--5 deer;
however, antlerless deer may be
taken only from Oct. 1-Dec. 31.
Remainder of Unit 8--5 deer; Aug. 1-Dec. 31.
however, antlerless deer may be
taken only from Oct. 1-Dec. 31;
no more than 1 antlerless deer
may be taken from Oct. 1-Nov. 30.
Fox, Red (including Cross, Black and
Silver Phases):
2 foxes.......................... Sept. 1-Feb. 15.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 10-Apr. 30.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
30 beaver per season............. Nov. 10-Apr. 30.
[[Page 39722]]
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 10-Mar. 31.
Marten:
No limit......................... Nov. 10-Jan. 31.
Mink and Weasel:
No limit......................... Nov. 10-Jan. 31.
Muskrat:
No limit......................... Nov. 10-June 10.
Otter:
No limit......................... Nov. 10-Jan. 31.
------------------------------------------------------------------------
(9) Unit 9. (i) Unit 9 consists of the Alaska Peninsula and
adjacent islands including drainages east of False Pass, Pacific Ocean
drainages west of and excluding the Redoubt Creek drainage; drainages
into the south side of Bristol Bay, drainages into the north side of
Bristol Bay east of Etolin Point, and including the Sanak and Shumagin
Islands:
(A) Unit 9(A) consists of that portion of Unit 9 draining into
Shelikof Strait and Cook Inlet between the southern boundary of Unit 16
(Redoubt Creek) and the northern boundary of Katmai National Park and
Preserve;
(B) Unit 9(B) consists of the Kvichak River drainage;
(C) Unit 9(C) consists of the Alagnak (Branch) River drainage, the
Naknek River drainage, and all land and water within Katmai National
Park and Preserve;
(D) Unit 9(D) consists of all Alaska Peninsula drainages west of a
line from the southernmost head of Port Moller to the head of American
Bay including the Shumagin Islands and other islands of Unit 9 west of
the Shumagin Islands;
(E) Unit 9(E) consists of the remainder of Unit 9.
(ii) In the following areas, the taking of wildlife for subsistence
uses is prohibited or restricted on public lands:
(A) Katmai National Park is closed to all subsistence uses;
(B) The use of motorized vehicles, excluding aircraft, boats, or
snowmobiles used for hunting and transporting a hunter or harvested
animal parts, is prohibited from Aug. 1-Nov. 30 in the Naknek
Controlled Use Area, which includes all of Unit 9(C) within the Naknek
River drainage upstream from and including the King Salmon Creek
drainage; however, this restriction does not apply to a motorized
vehicle on the Naknek-King Salmon, Lake Camp, and Rapids Camp roads and
on the King Salmon Creek trail, and on frozen surfaces of the Naknek
River and Big Creek;
(C) A firearm may be used under a trapping license to take beaver
in Unit 9(B) from April 1-May 31 and in the remainder of Unit 9 from
April 1-April 30;
(D) In Unit 9(B), Lake Clark National Park and Preserve only,
residents of Nondalton, Iliamna, Newhalen, Pedro Bay, and Port Alsworth
only, may hunt brown bear by Federal registration permit in lieu of a
resident tag; the season will be closed when four females or ten bears
have been taken, whichever occurs first;
(E) The taking in Unit 9(B) by residents of Newhalen, Nondalton,
Iliamna, Pedro Bay, and Port Alsworth of up to a total per regulatory
year of 10 bull moose among the communities is allowed for ceremonial
purposes, under the terms of a Federal registration permit. Bull moose
may be taken from July 1 through June 30. Permits, available to all 5
communities, will be issued until all 10 permits are used to
individuals only at the request of a local organization. This 10 moose
limit is not cumulative with that permitted for potlatches by the
State.
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
3 bears.......................... July 1-June 30.
Brown Bear:
Unit 9(B)--Rural residents of Oct. 1-Oct. 21.
Nondalton, Iliamna, Newhalen, May 10-May 25.
Pedro Bay, and Port Alsworth
only--1 bear by Federal
registration permit only.
Unit 9(B)--1 bear every four Oct. 1-Oct. 21. (odd years only);
regulatory years. May 10-May 25 (even years only).
Unit 9(E)--1 bear by Federal Oct. 1-Dec. 31.
registration permit or State May 10-May 25.
harvest tag.
Caribou:
Unit 9(A)--4 caribou; however, no Aug. 10-Mar. 31.
more than 2 caribou may be taken
Aug. 10-Sept. 30 and no more
than 1 caribou may be taken Oct.
1-Nov. 30.
Unit 9(C)--4 caribou; however, no Aug. 10-Mar. 31.
more than 1 may be a cow, no
more than 2 caribou may be taken
Aug. 10-Nov. 30, and no more
than 1 caribou may be taken per
calendar month between Dec. 1-
Mar. 31.
Unit 9(B)--5 caribou; however no Aug. 1-Apr. 15.
more than 2 may be bulls.
Unit 9(D)--closed to all hunting No open season.
of caribou.
Unit 9(E)--that portion southwest No open season.
of the headwaters of Fireweed
and Blueberry Creeks (north of
Mt. Veniaminof) to and including
the Sandy River drainage on the
Bristol Bay side of the Alaska
Peninsula; and that portion
south of Seal Cape to Ramsey Bay
on the Pacific side of the
Alaska Peninsula divide is
closed to all hunting of caribou.
Remainder of Unit 9(E)--4 caribou Aug. 10-Apr. 30.
Sheep:
Unit 9(B)--Residents of Iliamna, Aug. 10-Oct. 10.
Newhalen, Nondalton, Pedro Bay,
and Port Alsworth only--1 ram
with \7/8\ curl horn by Federal
registration permit only.
[[Page 39723]]
Remainder of Unit 9--1 ram with Aug. 10-Sept. 20.
\7/8\ curl horn.
Moose:
Unit 9(A)--1 antlered bull....... Sept. 1-Sept. 15.
Unit 9(B)--1 antlered bull....... Aug. 20-Sept. 15.
Dec. 1-Dec. 31.
Unit 9(C)--that portion draining Sept. 1-Sept. 15.
into the Naknek River from the Dec. 1-Dec. 31.
north-1 antlered bull.
Unit 9(C)--that portion draining Aug. 20-Sept. 15.
into the Naknek River from the Dec. 1-Dec. 31.
south--1 antlered bull. However,
during the period Aug. 20-Aug.
31, bull moose may be taken by
Federal registration permit
only. During the December hunt,
antlerless moose may be taken by
Federal registration permit
only. The antlerless season will
be closed when 5 antlerless
moose have been taken. Public
lands are closed during December
for the hunting of moose, except
by eligible rural Alaska
residents during seasons
identified above.
Remainder of Unit 9(C)--1 moose; Sept. 1-Sept. 15.
however, antlerless moose may be Dec. 1-Dec. 31.
taken only from Dec. 1-Dec. 31.
Unit 9(E)--1 antlered bull....... Sept. 1-Sept. 20.
Dec. 1-Dec. 31.
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Arctic (Blue and White):
No limit......................... Dec. 1-Mar. 15.
Fox, Red (including Cross, Black and
Silver Phases):
2 foxes.......................... Sept. 1-Feb. 15.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
Lynx:
2 lynx........................... Nov. 10-Feb. 28.
Wolf:
5 wolves......................... Aug. 10-Apr. 30.
Wolverine:
1 wolverine...................... Sept. 1-Mar. 31.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
15 per day, 30 in possession..... Aug. 10-Apr. 30.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 10-Apr. 30.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
Unit 9(B)--40 beaver per season; Jan. 1-May 31.
however, no more than 20 may be
taken between Apr. 1-May 31.
Remainder of Unit 9--40 beaver Jan. 1-Apr. 30.
per season; however, no more
than 20 may be taken between
Apr. 1-Apr. 30.
Coyote:
No limit......................... Nov. 10-Mar. 31.
Fox, Arctic (Blue and White):
No limit......................... Nov. 10-Feb. 28.
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 10-Feb. 28.
Lynx:
No limit......................... Nov. 10-Feb. 28.
Marten:
No limit......................... Nov. 10-Feb. 28.
Mink and Weasel:
No limit......................... Nov. 10-Feb. 28.
Muskrat:
No limit......................... Nov. 10-June 10.
Otter:
No limit......................... Nov. 10-Mar. 31.
Wolf:
No limit......................... Nov. 10-Mar. 31.
Wolverine:
No limit......................... Nov. 10-Feb. 28.
------------------------------------------------------------------------
(10) Unit 10. (i) Unit 10 consists of the Aleutian Islands, Unimak
Island and the Pribilof Islands.
(ii) On Otter Island in the Pribilof Islands the taking of any
wildlife species for subsistence uses is prohibited.
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Caribou:
Unit 10--Unimak Island only...... No open season.
Remainder of Unit 10--No limit... July 1-June 30.
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
[[Page 39724]]
Fox, Arctic (Blue and White Phase):
No limit......................... July 1-June 30.
Fox, Red (including Cross, Black and
Silver Phases):
2 foxes.......................... Sept. 1-Feb. 15.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30
Wolf:
5 wolves......................... Aug. 10-Apr. 30
Wolverine:
1 wolverine...................... Sept. 1-Mar. 31.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 10-Apr. 30.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Arctic (Blue and White Phase):
No limit......................... July 1-June 30.
Fox, Red (including Cross, Black and
Silver Phases):
2 foxes.......................... Sept. 1-Feb. 15.
Mink and Weasel:
No limit......................... Nov. 10-Feb. 28.
Muskrat:
No limit......................... Nov. 10-June 10.
Otter:
No limit......................... Nov. 10-Mar. 31.
Wolf:
No limit......................... Nov. 10-Mar. 31.
Wolverine:
No limit......................... Nov. 10-Feb. 28.
------------------------------------------------------------------------
(11) Unit 11. Unit 11 consists of that area draining into the
headwaters of the Copper River south of Suslota Creek and the area
drained by all tributaries into the east bank of the Copper River
between the confluence of Suslota Creek with the Slana River and Miles
Glacier.
(i) Unit-specific regulations:
(A) Bait may be used to hunt black bear between April 15 and June
15;
(B) A Federally-qualified subsistence user (recipient) may
designate another Federally-qualified subsistence user to take caribou
on his or her behalf. The designated hunter must obtain a designated
hunter permit and must return a completed harvest report. The
designated hunter may hunt for any number of recipients but may have no
more than two harvest limits in his/her possession at any one time.
(ii) [Reserved]
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
3 bears.......................... July 1-June 30.
Caribou:
Unit 11--Mentasta herd, 1 bull by Aug. 1-Mar. 31.
Federal registration permit
only. Federal public lands are
closed to the taking of caribou
except to the residents of
Chitina, Chistochina, Copper
Center, Gakona, Gulkana,
Mentasta, and Tazlina. Up to 15
permits may be issued.
Unit 11--Remainder............... No open season.
Sheep:
1 sheep.......................... Aug. 10-Sept. 20.
Moose:
1 antlered bull.................. Aug. 25-Sept. 20.
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Red (including Cross, Black and
Silver Phases):
2 foxes.......................... Sept. 1-Feb. 15.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
Lynx:
2 lynx........................... Dec. 15-Jan. 15.
Wolf:
5 wolves......................... Aug. 10-Apr. 30.
Wolverine:
1 wolverine......................
[[Page 39725]]
Public lands are closed to the Sept. 1-Jan. 31.
taking of wolverine except by
eligible rural Alaska residents
during seasons identified above.
Grouse (Spruce, Blue, Ruffed, and Aug. 10-Mar. 31.
Sharp-tailed): 15 per day, 30 in
possession.
Ptarmigan (Rock, Willow, and Aug. 10-Mar. 31.
White-tailed): 20 per day, 40 in
possession.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
30 beaver per season............. Nov. 10-Apr. 30.
Coyote:
No limit......................... Nov. 10-Mar. 31.
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 10-Feb. 28.
Lynx:
No limit......................... Dec. 15-Jan. 15.
Marten:
No limit......................... Nov. 10-Jan. 31.
Mink and Weasel:
No limit......................... Nov. 10-Jan. 31.
Muskrat:
No limit......................... Nov. 10-June 10.
Otter:
No limit......................... Nov. 10-Mar. 31.
Wolf:
FR Doc. 96-18097 Subsistence Management Regulations for Public Lands in Alaska, Subpart C and Subpart D1996-1997 Subsistence Taking of Fish and Wildlife Regulations
No limit......................... Nov. 10-Mar. 31.
Wolverine:
2 wolverine......................
Public lands are closed to the Nov. 10-Jan. 31.
taking of wolverine except by
eligible rural Alaska residents
during seasons identified above.
------------------------------------------------------------------------
(12) Unit 12. Unit 12 consists of the Tanana River drainage
upstream from the Robertson River, including all drainages into the
east bank of the Robertson River, and the White River drainage in
Alaska, but excluding the Ladue River drainage.
(i) Unit-specific regulations:
(A) Bait may be used to hunt black bear between April 15 and June
30;
(B) Trapping of wolves in Unit 12 during April and October with a
steel trap, or with a snare using cable smaller than 3/32 inch
diameter, is prohibited.
(ii) [Reserved]
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
3 bears......................... July 1-June 30.
Caribou:
Unit 12--that portion west of the No open Season.
Nabesna River within the
drainages of Jack Creek,
Platinum Creek, and Totschunda
Creek--The taking of caribou is
prohibited on public lands.
Unit 12--that portion lying east No open Season.
of the Nabesna River and south
of the Winter Trail running
southeast from Pickerel Lake to
the Canadian border--The taking
of caribou is prohibited on
public lands.
Remainder of Unit 12--1 bull..... Sept. 1-Sept. 20.
1 bull caribou may be taken by a Winter season to be announced by
Federal registration permit the Board.
during a winter season to be
announced for the rural Alaska
residents of Tetlin and Northway
only.
Sheep:
1 ram with full curl horn or Aug. 10--Sept. 20.
larger.
Moose:
Unit 12--that portion drained by Aug. 20-Aug. 28.
the Tanana, Nabesna, and Chisana Sept. 1-Sept. 15.
Rivers within the Tetlin Nov. 20-Nov. 30.
National Wildlife Refuge and
those lands within the Wrangell-
St. Elias National Preserve
north and east of a line formed
by the Pickerel Lake Winter
Trail from the Canadian border
to the southern boundary of the
Tetlin National Wildlife Refuge--
1 antlered bull; however during
the Aug. 20-Aug. 28 season only
bulls with spike/fork antlers
may be taken. The November
season is open by Federal
registration permit only.
Unit 12--that portion lying east Aug. 20-Aug. 28.
of the Nabesna River, east of Sept. 1-Sept. 30.
the Nabesna Glacier, and south
of the Winter Trail running
southeast from Pickerel Lake to
the Canadian border--1 antlered
bull; however during the Aug. 20-
Aug. 28 season only bulls with
spike/fork antlers may be taken.
Unit 12--Remainder--1 antlered Aug. 20-Aug. 28.
bull; however during the Aug. 20- Sept. 1-Sept. 15.
Aug. 28 season only bulls with
spike/fork antlers may be taken.
Coyote:
2 coyotes....................... Sept. 1-Apr. 30.
Fox, Red (including Cross, Black and
Silver Phases):
10 foxes; however, no more that 2 Sept. 1-Mar. 15.
foxes may be taken prior to Oct.
1.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30
[[Page 39726]]
Lynx:
2 lynx........................... Nov. 1-Jan. 31.
Wolf:
5 wolves......................... Aug. 10-Apr. 30
Wolverine:
1 wolverine...................... Sept. 1-Mar. 31
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
15 per day, 30 in possession..... Aug. 10-Mar. 31.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 10-Apr. 30.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
15 beaver per season............. Nov. 1-Apr. 15.
Coyote:
No limit......................... Nov. 1-Feb. 28.
Fox, Red (including Cross, Black and
Silver Phases):
No limit........................ Nov. 1-Feb. 28.
Lynx:
No limit......................... Dec. 15-Jan. 15.
Marten:
No limit......................... Nov. 1-Feb. 28.
Mink and Weasel:
No limit......................... Nov. 1-Feb. 28.
Muskrat:
No limit......................... Sept. 20-June 10.
Otter:
No limit......................... Nov. 1-Apr. 15.
Wolf:
No limit......................... Oct. 1-Apr. 30.
Wolverine:
No limit......................... Nov. 1-Feb. 28.
------------------------------------------------------------------------
(13) Unit 13. (i) Unit 13 consists of that area westerly of the
east bank of the Copper River and drained by all tributaries into the
west bank of the Copper River from Miles Glacier and including the
Slana River drainages north of Suslota Creek; the drainages into the
Delta River upstream from Falls Creek and Black Rapids Glacier; the
drainages into the Nenana River upstream from the southeast corner of
Denali National Park at Windy; the drainage into the Susitna River
upstream from its junction with the Chulitna River; the drainage into
the east bank of the Chulitna River upstream to its confluence with
Tokositna River; the drainages of the Chulitna River (south of Denali
National Park) upstream from its confluence with the Tokositna River;
the drainages into the north bank of the Tokositna River upstream to
the base of the Tokositna Glacier; the drainages into the Tokositna
Glacier; the drainages into the east bank of the Susitna River between
its confluences with the Talkeetna and Chulitna Rivers; the drainages
into the north bank of the Talkeetna River; the drainages into the east
bank of the Chickaloon River; the drainages of the Matanuska River
above its confluence with the Chickaloon River:
(A) Unit 13(A) consists of that portion of Unit 13 bounded by a
line beginning at the Chickaloon River bridge at Mile 77.7 on the Glenn
Highway, then along the Glenn Highway to its junction with the
Richardson Highway, then south along the Richardson Highway to the foot
of Simpson Hill at Mile 111.5, then east to the east bank of the Copper
River, then northerly along the east bank of the Copper River to its
junction with the Gulkana River, then northerly along the west bank of
the Gulkana River to its junction with the West Fork of the Gulkana
River, then westerly along the west bank of the West Fork of the
Gulkana River to its source, an unnamed lake, then across the divide
into the Tyone River drainage, down an unnamed stream into the Tyone
River, then down the Tyone River to the Susitna River, then down the
southern bank of the Susitna River to the mouth of Kosina Creek, then
up Kosina Creek to its headwaters, then across the divide and down
Aspen Creek to the Talkeetna River, then southerly along the boundary
of Unit 13 to the Chickaloon River bridge, the point of beginning;
(B) Unit 13(B) consists of that portion of Unit 13 bounded by a
line beginning at the confluence of the Copper River and the Gulkana
River, then up the east bank of the Copper River to the Gakona River,
then up the Gakona River and Gakona Glacier to the boundary of Unit 13,
then westerly along the boundary of Unit 13 to the Susitna Glacier,
then southerly along the west bank of the Susitna Glacier and the
Susitna River to the Tyone River, then up the Tyone River and across
the divide to the headwaters of the West Fork of the Gulkana River,
then down the West Fork of the Gulkana River to the confluence of the
Gulkana River and the Copper River, the point of beginning;
(C) Unit 13(C) consists of that portion of Unit 13 east of the
Gakona River and Gakona Glacier;
(D) Unit 13(D) consists of that portion of Unit 13 south of Unit
13(A);
(E) Unit 13(E) consists of the remainder of Unit 13.
(ii) Within the following areas, the taking of wildlife for
subsistence uses is prohibited or restricted on public lands:
(A) lands within Mount McKinley National Park as it existed prior
to December 2, 1980 are closed to subsistence. Subsistence uses as
authorized by this paragraph (k)(13) are permitted in Denali National
Preserve and lands added to Denali National Park on December 2, 1980;
(B) use of motorized vehicles or pack animals for hunting is
prohibited from Aug. 5-Aug. 25 in the Delta Controlled
[[Page 39727]]
Use Area, the boundary of which is defined as: a line beginning at the
confluence of Miller Creek and the Delta River, then west to vertical
angle bench mark Miller, then west to include all drainages of
Augustana Creek and Black Rapids Glacier, then north and east to
include all drainages of McGinnis Creek to its confluence with the
Delta River, then east in a straight line across the Delta River to
Mile 236.7 Richardson Highway, then north along the Richardson Highway
to its junction with the Alaska Highway, then east along the Alaska
Highway to the west bank of the Johnson River, then south along the
west bank of the Johnson River and Johnson Glacier to the head of the
Cantwell Glacier, then west along the north bank of the Canwell Glacier
and Miller Creek to the Delta River;
(C) except for access and transportation of harvested wildlife on
Sourdough and Haggard Creeks, Meiers Lake trails, or other trails
designated by the Board, the use of motorized vehicles for subsistence
hunting, is prohibited in the Sourdough Controlled Use Area. The
Sourdough Controlled Use Area consists of that portion of Unit 13(B)
bounded by a line beginning at the confluence of Sourdough Creek and
the Gulkana River, then northerly along Sourdough Creek to the
Richardson Highway at approximately Mile 148, then northerly along the
Richardson Highway to the Meiers Creek Trail at approximately Mile 170,
then westerly along the trail to the Gulkana River, then southerly
along the east bank of the Gulkana River to its confluence with
Sourdough Creek, the point of beginning.
(iii) Unit-specific regulations:
(A) Bait may be used to hunt black bear between April 15 and June
15.
(B) [Reserved]
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
3 bears.......................... July 1-June 30.
Caribou:
2 caribou by Federal registration Aug. 10-Sept. 30.
permit only. Hunting within the Jan. 5-Mar. 31.
Trans-Alaska Oil Pipeline right-
of-way is prohibited. The right-
of-way is identified as the area
occupied by the pipeline (buried
or above ground) and the cleared
area 25 feet on either side of
the pipeline.
Sheep:
Unit 13--excluding Unit 13(D) and Aug. 10-Sept. 20.
the Tok and Delta Management
Areas--1 ram with \7/8\ curl
horn.
Moose:
1 antlered bull moose by Federal Aug. 1-Sept. 20.
registration permit only; only 1
permit will be issued per
household.
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Red (including Cross, Black and
Silver Phases):
2 foxes.......................... Sept. 1-Feb. 15.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
Lynx:
2 lynx........................... Dec. 15-Jan. 15.
Wolf:
5 wolves......................... Aug. 10-Apr. 30.
Wolverine:
1 wolverine...................... Sept. 1-Jan. 31.
Public lands are closed to the
taking of wolverine, except by
eligible rural Alaska residents
during seasons identified above.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
15 per day, 30 in possession..... Aug. 10-Mar. 31.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 10-Mar. 31.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
30 beaver per season............. Oct. 10-Apr. 30.
Coyote:
No limit......................... Nov. 10-Mar. 31.
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 10-Feb. 28.
Lynx:
No limit......................... Dec. 15-Jan. 15.
Marten:
No limit......................... Nov. 10-Jan. 31.
Mink and Weasel:
No limit......................... Nov. 10-Jan. 31.
Muskrat:
No limit......................... Nov. 10-June 10.
Otter:
No limit......................... Nov. 10-Mar. 31.
Wolf:
No limit......................... Nov. 10-Mar. 31.
Wolverine:
2 wolverines.................... Nov. 10-Jan. 31.
Public lands are closed to the
taking of wolverine, except by
eligible rural Alaska residents
during seasons identified above.
------------------------------------------------------------------------
[[Page 39728]]
(14) Unit 14. (i) Unit 14 consists of drainages into the north side
of Turnagain Arm west of and excluding the Portage Creek drainage,
drainages into Knik Arm excluding drainages of the Chickaloon and
Matanuska Rivers in Unit 13, drainages into the north side of Cook
Inlet east of the Susitna River, drainages into the east bank of the
Susitna River downstream from the Talkeetna River, and drainages into
the south bank of the Talkeetna River:
(A) Unit 14(A) consists of drainages in Unit 14 bounded on the west
by the Susitna River, on the north by Willow Creek, Peters Creek, and
by a line from the head of Peters Creek to the head of the Chickaloon
River, on the east by the eastern boundary of Unit 14, and on the south
by Cook Inlet, Knik Arm, the south bank of the Knik River from its
mouth to its junction with Knik Glacier, across the face of Knik
Glacier and along the north side of Knik Glacier to the Unit 6
boundary;
(B) Unit 14(B) consists of that portion of Unit 14 north of Unit
14(A);
(C) Unit 14(C) consists of that portion of Unit 14 south of Unit
14(A).
(ii) In the following areas, the taking of wildlife for subsistence
uses is prohibited or restricted on public lands:
(A) the Fort Richardson and Elmendorf Air Force Base Management
Areas, consisting of the Fort Richardson and Elmendorf Military
Reservation, are closed to the subsistence taking of wildlife;
(B) the Anchorage Management Area, consisting of all drainages
south of Elmendorf and Fort Richardson military reservations and north
of and including Rainbow Creek is closed to subsistence taking of
wildlife for subsistence uses.
(iii) Unit-specific regulations:
(A) In Unit 14(A), bait may be used to hunt black bear between
April 15 and May 25;
(B) [Reserved]
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
Unit 14(A) and (C)--1 bear....... July 1-June 30.
Brown Bear:
Unit 14(A)--1 bear every four Sept. 15-Oct. 10.
regulatory years. May 1-May 25.
Coyote:
Unit 14(A) and (C)--2 coyotes.... Sept. 1-Apr. 30.
Fox, Red (including Cross, Black and
Silver Phases):
Unit 14--2 foxes................. Nov. 1-Feb. 15.
Hare (Snowshoe and Tundra):
Unit 14(A)--5 hares per day......
Unit 14(C)--5 hares per day...... July 1-June 30.
Lynx:
2 lynx...........................
Dec. 15-Jan. 15..................
Wolf:
5 wolves......................... Aug. 10-Apr. 30.
Wolverine:
1 wolverine...................... Sept. 1-Mar. 31.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
Unit 14(A)--15 per day, 30 in
possession.
Unit 14(C)--5 per day, 10 in Aug. 10-Mar. 31.
possession.
Ptarmigan (Rock, Willow, and White-
tailed):
Unit 14(A)--10 per day, 20 in
possession.
Unit 14(C)--10 per day, 20 in
possession
Remainder of Unit 14--20 per day, Aug. 10-Mar. 31.
40 in possession.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
Unit 14(A)--30 beaver per season.
Unit 14(C)--that portion within Nov. 10-Apr. 30.
the drainages of Glacier Creek,
Kern Creek, Peterson Creek, the
Twentymile River and the
drainages of Knik River outside
Chugach State Park--20 beaver
per season.
Coyote:
Unit 14(A)--No limit.............
Unit 14(C)--No limit............. Nov. 10-Mar. 31.
Fox, Red (including Cross, Black and
Silver Phases):
Unit 14(A)--No limit.............
Unit 14(C)--1 fox................ Nov. 10-Feb. 28.
Marten:
No limit......................... Nov. 10-Jan. 31.
Mink and Weasel:
No limit......................... Nov. 10-Jan. 31.
Muskrat:
No limit......................... Nov. 10-May 15.
Otter:
Unit 14(A)--No limit.............
Unit 14(C)--No limit............. Nov. 10-Mar. 31.
Wolf:
Unit 14(A)--No limit.............
[[Page 39729]]
Unit 14(C)--No limit............. Nov. 10-Mar. 31.
Wolverine:
No limit......................... Nov. 10-Feb. 28.
------------------------------------------------------------------------
(15) Unit 15. (i) Unit 15 consists of that portion of the Kenai
Peninsula and adjacent islands draining into the Gulf of Alaska, Cook
Inlet and Turnagain Arm from Gore Point to the point where longitude
line 150 deg. 00' W. crosses the coastline of Chickaloon Bay in
Turnagain Arm, including that area lying west of longitude line
150 deg. 00' W. to the mouth of the Russian River, then southerly along
the Chugach National Forest boundary to the upper end of Upper Russian
Lake; and including the drainages into Upper Russian Lake west of the
Chugach National Forest boundary:
(A) Unit 15(A) consists of that portion of Unit 15 north of the
Kenai River and Skilak Lake;
(B) Unit 15(B) consists of that portion of Unit 15 south of the
Kenai River and Skilak Lake, and north of the Kasilof River, Tustumena
Lake, Glacier Creek, and Tustumena Glacier;
(C) Unit 15(C) consists of the remainder of Unit 15.
(ii) The Skilak Loop Management Area, which consists of that
portion of Unit 15(A) bounded by a line beginning at the eastern most
junction of the Sterling Highway and the Skilak Loop (milepost 76.3),
then due south to the south bank of the Kenai River, then southerly
along the south bank of the Kenai River to its confluence with Skilak
Lake, then westerly along the north shore of Skilak Lake to Lower
Skilak Lake Campground, then northerly along the Lower Skilak Lake
Campground Road and the Skilak Loop Road to its western most junction
with the Sterling Highway, then easterly along the Sterling Highway to
the point of beginning, is closed to the taking of wildlife, except
that grouse and ptarmigan may be taken only from October 1 - March 1 by
bow and arrow only.
(iii) Unit-specific regulations:
(A) Bait may be used to hunt black bear between April 15 and June
15;
(B) The Skilak Loop Wildlife Management Area is closed to
subsistence trapping of furbearers;
(C) That portion of Unit 15(B) east of the Kenai River, Skilak
Lake, Skilak River, and Skilak Glacier is closed to the trapping of
marten;
(D) Taking a red fox in Unit 15 by any means other than a steel
trap or snare is prohibited.
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
Unit 15(C)--3 bears.............. July 1-June 30.
Unit 15 Remainder................ No open season.
Moose:
Unit 15(B) and (C)--1 antlered Aug. 10-Sept. 20.
bull with spike-fork or 50-inch
antlers or with 3 or more brow
tines on either antler, by
Federal registration permit only
Unit 15(A)....................... No open season.
Coyote:
No limit......................... Sept. 1-Apr. 30.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
Wolf:
Unit 15--that portion within the Aug. 10-Apr. 30.
Kenai National Wildlife Refuge--
2 Wolves.
Unit 15--Remainder--5 Wolves..... Aug. 10-Apr. 30.
Wolverine:
1 Wolverine...................... Sept. 1-Mar. 31.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
15 per day, 30 in possession..... Aug. 10-Mar. 31.
Ptarmigan (Rock, Willow, and White-
tailed):
Unit 15 (A) and (B)--20 per day, Aug. 10-Mar. 31.
40 in possession.
Unit 15(C)--20 per day, 40 in Aug. 10-Dec. 31.
possession.
Unit 15(C)--5 per day, 10 in Jan. 1-Mar. 31.
possession.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
20 Beaver per season............. Dec. 1-Mar. 31.
Coyote:
No limit......................... Nov. 10-Feb. 28.
Fox, Red (including Cross, Black and
Silver Phases):
1 Fox............................ Nov. 10-Feb. 28.
Marten:
Unit 15(B)--that portion east of No open season.
the Kenai River, Skilak Lake,
Skilak River and Skilak Glacier.
Remainder of Unit 15--No limit... Nov. 10-Jan. 31.
Mink and Weasel:
No limit......................... Nov. 10-Jan. 31.
Muskrat:
No limit......................... Nov. 10-May 15.
[[Page 39730]]
Otter:
Unit 15 (A), (B)--No limit....... Nov. 10-Jan. 31.
Unit 15(C)--No limit............. Nov. 10-Feb. 28.
Wolf:
No limit......................... Nov. 10-Feb. 28.
Wolverine:
Unit 15 (B) and (C)--No limit.... Nov. 10-Feb. 28.
------------------------------------------------------------------------
(16) Unit 16. (i) Unit 16 consists of the drainages into Cook Inlet
between Redoubt Creek and the Susitna River, including Redoubt Creek
drainage, Kalgin Island, and the drainages on the west side of the
Susitna River (including the Susitna River) upstream to its confluence
with the Chulitna River; the drainages into the west side of the
Chulitna River (including the Chulitna River) upstream to the Tokositna
River, and drainages into the south side of the Tokositna River
upstream to the base of the Tokositna Glacier, including the drainage
of the Kahiltna Glacier:
(A) Unit 16(A) consists of that portion of Unit 16 east of the east
bank of the Yentna River from its mouth upstream to the Kahiltna River,
east of the east bank of the Kahiltna River, and east of the Kahiltna
Glacier;
(B) Unit 16(B) consists of the remainder of Unit 16.
(ii) The Mount McKinley National Park, as it existed prior to
December 2, 1980, is closed to subsistence uses. Subsistence uses as
authorized by this paragraph are permitted in Denali National Preserve
and lands added to Denali National Park on December 2, 1980.
(iii) Unit-specific regulations:
(A) Bait may be used to hunt black bear between April 15 and June
15.
(B) [Reserved]
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
3 bears.......................... July 1-June 30.
Caribou:
1 caribou........................ Aug. 10-Oct. 31.
Moose:
Unit 16(B)--Redoubt Bay Drainages Sept. 1-Sept. 15.
south and west of, and including
the Kustatan River drainage--1
antlered bull.
Remainder of Unit 16(B)--1 moose; Sept. 1-Sept. 30.
however, antlerless moose may be Dec. 1-Feb. 28.
taken only from Sept. 25-Sept.
30 and from Dec. 1-Feb. 28 by
Federal registration permit only.
Coyote:
2 coyotes....................... Sept. 1-Apr. 30.
Fox, Red (including Cross, Black and
Silver Phases):
2 foxes.......................... Sept. 1-Feb. 15.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
Lynx:
2 lynx........................... Dec. 15-Jan. 15.
Wolf:
5 wolves......................... Aug. 10-Apr. 30.
Wolverine:
1 wolverine...................... Sept. 1-Mar. 31.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
15 per day, 30 in possession..... Aug. 10-Mar. 31.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 10-Mar. 31.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
30 beaver per season............. Nov. 10-Apr. 30.
Coyote:
No limit......................... Nov. 10-Mar. 31.
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 10-Feb. 28.
Marten:
No limit......................... Nov. 10-Jan. 31.
Mink and Weasel:
No limit......................... Nov. 10-Jan. 31.
Muskrat:
No limit......................... Nov. 10-June 10.
Otter:
No limit......................... Nov. 10-Mar. 31.
Wolf:
No limit......................... Nov. 10-Mar. 31.
[[Page 39731]]
Wolverine:
No limit......................... Nov. 10-Feb. 28.
------------------------------------------------------------------------
(17) Unit 17. (i) Unit 17 consists of drainages into Bristol Bay
and the Bering Sea between Etolin Point and Cape Newenham, and all
islands between these points including Hagemeister Island and the
Walrus Islands:
(A) Unit 17(A) consists of the drainages between Cape Newenham and
Cape Constantine, and Hagemeister Island and the Walrus Islands;
(B) Unit 17(B) consists of the Nushagak River drainage upstream
from, and including the Mulchatna River drainage, and the Wood River
drainage upstream from the outlet of Lake Beverley;
(C) Unit 17(C) consists of the remainder of Unit 17.
(ii) In the following areas, the taking of wildlife for subsistence
uses is prohibited or restricted on public lands:
(A) Except for aircraft and boats and in legally permitted hunting
camps, the Upper Mulchatna Controlled Use Area consisting of Unit
17(B), is closed from Aug. 1-Nov. 1 to the use of any motorized vehicle
for hunting ungulates, bear, wolves and wolverine, including
transportation of hunters and parts of ungulates, bear, wolves or
wolverine;
(B) The Western Alaska Brown Bear Management Area which consists of
Unit 17(A), that portion of 17(B) draining into Nuyakuk Lake and
Tikchik Lake, Unit 18, and that portion of Unit 19(A) and (B)
downstream of and including the Aniak River drainage, is open to brown
bear hunting by State registration permit in lieu of a resident tag; no
resident tag is required for taking brown bears in the Western Alaska
Brown Bear Management Area, provided that the hunter has obtained a
State registration permit prior to hunting.
(iii) Unit-specific regulations:
(A) Bait may be used to hunt black bear between April 15 and June
15.
(B) [Reserved]
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
3 bears.......................... July 1-June 30.
Brown Bear:
Unit 17(A) and that portion of Sept. 1-May 31.
Unit 17(B) draining into the
Nuyakuk Lake and Tikchik Lake--1
bear.
Remainder of Unit 17(B)--1 bear Sept. 20-Oct. 10.
every four regulatory years. May 10-May 25.
Unit 17(C)--1 bear every four Sept. 10-Oct. 10.
regulatory years. Apr. 10-May 25.
Caribou:
Unit 17(A)--that portion west of Aug. 1-Mar. 31.
the Togiak River, Togiak Lake,
Izavieknik River, Upper Togiak
Lake, and south to Cape
Newenham--2 caribou. Season to
be opened by announcement when
3,000 caribou have moved into
the area.
Unit 17 (A) and (C)--that portion Aug. 1--Aug. 31.
of 17(A) and (C) consisting of Dec. 1-Mar. 31.
the Nushagak Peninsula south of
the Igushik River, Tuklung River
and Tuklung Hills, west to
Tvativak Bay--1 caribou by
Federal registration permit.
Public lands are closed to the
taking of caribou except by the
residents of Togiak, Twin Hills,
Manokotak, Aleknagik,
Dillingham, Clark's Point, and
Ekuk during seasons identified
above.
Unit 17 (B) and (C)--that portion Aug. 1-Apr. 15.
of 17(C) east of the Nushagak
River--5 caribou; however, no
more than 2 caribou may be bulls.
Sheep:
1 ram with full curl horn or Aug. 10-Sept. 20.
larger.
Moose:
Unit 17(B)--that portion that Aug. 20-Sept. 15.
includes all the Mulchatna River
drainage upstream from and
including the Chilchitna River
drainage--1 bull by State
registration permit only;
however, during the period Sept.
1-Sept. 15 a spike/fork bull or
a bull with 50-inch antlers or
with 3 or more brow tines on one
side may be taken with a State
harvest ticket.
Remainder of Unit 17(B)--1 bull Aug. 20-Sept. 15.
by State registration permit Dec. 1-Dec. 31.
only; however, during the period
Sept. 1-Sept. 15 a spike/fork
bull or a bull with 50-inch
antlers or with 3 or more brow
tines on one side may be taken
with a State harvest ticket.
Unit 17(C)--that portion that Aug. 20-Sept. 15.
includes the Iowithla drainage
and Sunshine Valley and all
lands west of Wood River and
south of Aleknagik Lake--1 bull
by State registration permit
only; however, during the period
Sept. 1-Sept. 15 a spike/fork
bull or a bull with 50-inch
antlers or with 3 or more brow
tines on one side may be taken
with a State harvest ticket.
Remainder of Unit 17(C)--1 bull Aug. 20-Sept. 15.
by State registration permit Dec. 1-Dec. 31.
only; however, during the period
Sept. 1-Sept. 15 a spike/fork
bull or a bull with 50-inch
antlers or with 3 or more brow
tines on one side may be taken
with a State harvest ticket.
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Arctic (Blue and White Phase):
No limit......................... Dec. 1-Mar. 15.
Fox, Red (including Cross, Black and
Silver Phases):
2 foxes.......................... Sept. 1-Feb. 15.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
Lynx:
2 lynx........................... Nov. 10-Feb. 28.
[[Page 39732]]
Wolf:
5 wolves......................... Aug. 10-Apr. 30.
Wolverine:
1 wolverine...................... Sept. 1-Mar. 31.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
15 per day, 30 in possession..... Aug. 10-Apr. 30.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession....... Aug. 10-Apr. 30.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
Unit 17(A)--20 beaver per season. Jan. 1-Feb. 28.
Unit 17 (B) and (C)--20 beaver Jan. 1-Feb. 28.
per season.
Coyote:
No limit......................... Nov. 10-Mar. 31.
Fox, Arctic (Blue and White Phase):
No limit......................... Nov. 10-Feb. 28.
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 10-Feb. 28.
Lynx:
No limit......................... Nov. 10-Feb. 28.
Marten:
No limit......................... Nov. 10-Feb. 28.
Mink and Weasel:
No limit......................... Nov. 10-Feb. 28.
Muskrat:
No limit......................... Nov. 10-June 10.
Otter:
No limit......................... Nov. 10-Mar. 31.
Wolf:
No limit......................... Nov. 10-Mar. 31.
Wolverine:
No limit......................... Nov. 10-Feb. 28.
------------------------------------------------------------------------
(18) Unit 18. (i) Unit 18 consists of that area draining into the
Yukon and Kuskokwim Rivers downstream from a straight line drawn
between Lower Kalskag and Paimiut and the drainages flowing into the
Bering Sea from Cape Newenham on the south to and including the
Pastolik River drainage on the north; Nunivak, St. Matthew, and
adjacent islands between Cape Newenham and the Pastolik River.
(ii) In the following areas, the taking of wildlife for subsistence
uses is prohibited or restricted on public lands:
(A) The Kalskag Controlled Use Area which consists of that portion
of Unit 18 bounded by a line from Lower Kalskag on the Kuskokwim River,
northwesterly to Russian Mission on the Yukon River, then east along
the north bank of the Yukon River to the old site of Paimiut, then back
to Lower Kalskag is closed to the use of aircraft for hunting any
ungulate, bear, wolf, or wolverine, including the transportation of any
hunter and ungulate, bear, wolf, or wolverine part; however, this does
not apply to transportation of a hunter or ungulate, bear, wolf, or
wolverine part by aircraft between publicly owned airports in the
Controlled Use Area or between a publicly owned airport within the Area
and points outside the Area;
(B) The Western Alaska Brown Bear Management Area which
consists of Unit 17(A), that portion of 17(B) draining into Nuyakuk
Lake and Tikchik Lake, Unit 18, and that portion of Unit 19 (A) and
(B) downstream of and including the Aniak River drainage, is open to
brown bear hunting by State registration permit in lieu of a
resident tag; no resident tag is required for taking brown bears in
the Western Alaska Brown Bear Management Area, provided that the
hunter has obtained a State registration permit prior to hunting.
(iii) Unit-specific regulations:
(A) A firearm may be used to take beaver under a trapping license
in Unit 18 from Apr. 1-Jun. 10.
(B) [Reserved]
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
3 bears.......................... July 1-June 30.
Brown Bear:
1 bear.......................... Sept. 1-May 31.
Caribou:
Unit 18--that portion south of Dec. 15-Jan. 9.
the Yukon River--Kilbuck caribou Feb. 23-Mar. 15.
herd; rural Alaska residents
domiciled in Tuluksak, Akiak,
Akiachak, Kwethluk, Bethel,
Oscarville, Napaskiak, Napakiak,
Kasigluk, Atmauthluak,
Nunapitchuk, Tuntutuliak, Eek,
Quinhagak, Goodnews Bay,
Platinum, Togiak, and Twin
Hills, only. A Federal
registration permit is required.
The number of permits available
for these hunts will be
determined at a later date. The
season will be closed when the
total harvest reaches guidelines
as described in the approved
``Oavilnguut (Kilbuck) Caribou
Herd Cooperative Management
Plan.''.
[[Page 39733]]
Unit 18--that portion north of Aug. 1-Mar. 31.
the Yukon River--5 caribou per
day.
Remainder of Unit 18............. No open season.
Moose:
Unit 18--that portion north and Sept. 5-Sept. 25.
west of a line from Cape
Romanzof to Kuzilvak Mountain,
and then to Mountain Village,
and west of, but not including,
the Andreafsky River drainage--1
antlered bull.
Unit 18--Goodnews River and No open season.
Kanektok River drainages.
Unit 18--Kuskokwim River Aug. 25-Sept. 25. Winter season
drainage--1 antlered bull. A 10- to be announced.
day hunt (1 bull, evidence of
sex required) will be opened by
announcement sometime between
Dec. 1 and Feb. 28.
Remainder of Unit 18--1 antlered Sept. 1-Sept. 30. Winter season
bull. A 10-day hunt (1 bull, to be announced.
evidence of sex required) will
be opened by announcement
sometime between Dec. 1 and Feb.
28.
Public lands in Unit 18 are
closed to the hunting of moose,
except by rural Alaska residents
of Unit 18 and Upper Kalskag
during seasons identified above.
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Arctic (Blue and White Phase):
2 foxes.......................... Sept. 1-Apr. 30.
Fox, Red (including Cross, Black and
Silver Phases):
10 foxes; however, no more than 2 Sept. 1-Mar. 15.
foxes may be taken prior to Oct.
1.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
Lynx:
2 lynx........................... Nov. 10-Mar. 31.
Wolf:
5 wolves......................... Aug. 10-Apr. 30.
Wolverine:
1 wolverine...................... Sept. 1-Mar. 31.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
15 per day, 30 in possession..... Aug. 10-Apr. 30.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 10-May 30.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
No limit......................... Nov. 1-June 10.
Coyote:
No limit......................... Nov. 10-Mar. 31.
Fox, Arctic (Blue and White Phase):
No limit......................... Nov. 10-Mar. 31.
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 10-Mar. 31.
Lynx:
No limit......................... Nov. 10-Mar. 31.
Marten:
No limit......................... Nov. 10-Mar. 31.
Mink and Weasel:
No limit......................... Nov. 10-Jan. 31.
Muskrat:
No limit......................... Nov. 10-June 10.
Otter:
No limit......................... Nov. 10-Mar. 31.
Wolf:
No limit......................... Nov. 10-Mar. 31.
Wolverine:
No limit......................... Nov. 10-Mar. 31.
------------------------------------------------------------------------
(19) Unit 19. (i) Unit 19 consists of the Kuskokwim River drainage
upstream from Lower Kalskag:
(A) Unit 19(A) consists of the Kuskokwim River drainage downstream
from and including the Moose Creek drainage on the north bank and
downstream from and including the Stony River drainage on the south
bank, excluding Unit 19(B);
(B) Unit 19(B) consists of the Aniak River drainage upstream from
and including the Salmon River drainage, the Holitna River drainage
upstream from and including the Bakbuk Creek drainage, that area south
of a line from the mouth of Bakbuk Creek to the radar dome at
Sparrevohn Air Force Base, including the Hoholitna River drainage
upstream from that line, and the Stony River drainage upstream from and
including the Can Creek drainage;
(C) Unit 19(C) consists of that portion of Unit 19 south and east
of a line from Benchmark M#1.26 (approximately 1.26 miles south of the
northwest corner of the original Mt. McKinley National Park boundary)
to the peak of Lone Mountain, then due west to Big River, including the
Big River drainage upstream from that line, and including the Swift
River drainage upstream from and including the North Fork drainage;
(D) Unit 19(D) consists of the remainder of Unit 19.
[[Page 39734]]
(ii) In the following areas, the taking of wildlife for subsistence
uses is prohibited or restricted on public land:
(A) Lands within Mount McKinley National Park as it existed prior
to December 2, 1980, are closed to subsistence uses. Subsistence uses
as authorized by this paragraph (k)(19) are permitted in Denali
National Preserve and lands added to Denali National Park on December
2, 1980;
(B) The Upper Kuskokwim Controlled Use Area, which consists of that
portion of Unit 19(D) upstream from the mouth of Big River including
the drainages of the Big River, Middle Fork, South Fork, East Fork, and
Tonzona River, and bounded by a line following the west bank of the
Swift Fork (McKinley Fork) of the Kuskokwim River to 152 deg. 50' W.
long., then north to the boundary of Denali National Preserve, then
following the western boundary of Denali National Preserve north to its
intersection with the Minchumina-Telida winter trail, then west to the
crest of Telida Mountain, then north along the crest of Munsatli Ridge
to elevation 1,610, then northwest to Dyckman Mountain and following
the crest of the divide between the Kuskokwim River and the Nowitna
drainage, and the divide between the Kuskokwim River and the Nixon Fork
River to Loaf bench mark on Halfway Mountain, then south to the west
side of Big River drainage, the point of beginning, is closed during
moose hunting seasons to the use of aircraft for hunting moose,
including transportation of any moose hunter or moose part; however,
this does not apply to transportation of a moose hunter or moose part
by aircraft between publicly owned airports in the Controlled Use Area,
or between a publicly owned airport within the area and points outside
the area;
(C) The Western Alaska Brown Bear Management Area, which consists
of Unit 17(A), that portion of 17(B) draining into Nuyakuk Lake and
Tikchik Lake, Unit 18, and that portion of Unit 19(A) and (B)
downstream of and including the Aniak River drainage, is open to brown
bear hunting by State registration permit in lieu of a resident tag; no
resident tag is required for taking brown bears in the Western Alaska
Brown Bear Management Area, provided that the hunter has obtained a
State registration permit prior to hunting.
(iii) Unit-specific regulations:
(A) Bait may be used to hunt black bear between April 15 and June
30.
(B) [Reserved]
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
3 bears.......................... July 1-June 30.
Brown Bear:
Unit 19(A) and (B) that portion Sept. 1-May 31.
which is downstream of and
including the Aniak River
drainage--1 bear.
Remainder of Unit 19(A), (B), and Sept. 10-May 25.
(D)--1 bear every four
regulatory years.
Caribou:
Unit 19(A) north of Kuskokwim Aug. 10-Sept. 30.
River--1 caribou. Nov. 1-Feb. 28.
Unit 19(A) south of the Kuskokwim Aug. 1-Apr. 15.
River, and Unit 19(B) (excluding
rural Alaska residents of Lime
Village)--5 caribou.
Unit 19(C)--1 caribou............ Aug. 10-Oct. 10.
Unit 19(D) south and east of the Aug. 10-Sept. 30.
Kuskokwim River and North Fork Nov. 1-Jan. 31.
of the Kuskokwim River--1
caribou.
Remainder of Unit 19(D)--1 Aug. 10-Sept. 30.
caribou.
Unit 19--Rural Alaska residents July 1-June 30.
domiciled in Lime Village only;
no individual harvest limit but
a village harvest quota of 200
caribou; cows and calves may not
be taken from Apr. 1-Aug. 9.
Reporting will be by a community
reporting system.
Sheep:
1 ram with 7/8 curl.............. Aug. 10-Sept. 20.
Moose:
Unit 19--Rural Alaska residents July 1-June 30.
of Lime Village only--No
individual harvest limit, but a
village harvest quota of 40
moose (including those taken
under the State Tier II system);
either sex. Reporting will be by
a community reporting system.
Unit 19(A)--that portion north of Sept. 1-Sept. 20.
the Kuskokwim River upstream Nov. 20-Nov. 30.
from, but not including the Jan. 1-Jan. 10.
Kolmakof River drainage and Feb. 1-Feb. 10.
south of the Kuskokwim River
upstream from, but not including
the Holokuk River drainage--1
moose; however, antlerless moose
may be taken only during the
Feb. 1--Feb. 10 season.
Remainder of Unit 19(A)--1 bull.. Sept. 1-Sept. 20.
Nov. 20-Nov. 30.
Jan. 1-Jan. 10.
Feb. 1-Feb. 10.
Unit 19(B)--1 antlered bull...... Sept. 1-Sept. 30.
Unit 19(C)--1 antlered bull...... Sept. 1-Oct. 10.
Unit 19(D)--that portion of the Sept. 1-Sept. 30.
Upper Kuskokwim Controlled Use
Area within the North Fork
drainage upstream from the
confluence of the South Fork to
the mouth of the Swift Fork--1
antlered bull.
Unit 19(D)--remainder of the Sept. 1-Sept. 30.
Upper Kuskokwim Controlled Use Dec. 1-Feb. 28.
Area--1 bull.
Remainder of Unit 19(D)--1 Sept. 1-Sept. 30.
antlered bull. Dec. 1-Dec. 15.
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Red (including Cross, Black and
Silver Phases):
10 foxes; however, no more than 2 Sept. 1-Mar. 15
foxes may be taken prior to Oct.
1.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
[[Page 39735]]
Lynx:
2 lynx........................... Nov. 1-Feb. 28.
Wolf:
5 wolves......................... Aug. 10-Apr. 30.
Wolverine:
1 wolverine...................... Sept. 1-Mar. 31.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
15 per day, 30 in possession..... Aug. 10-Apr. 30.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 10-Apr. 30.
FR Doc. 96-18097 Subsistence Management Regulations for Public Lands in Alaska, Subpart C and Subpart D1996-1997 Subsistence Taking of Fish and Wildlife Regulations
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
No limit......................... Nov. 1-Apr. 15.
Coyote:
No limit......................... Nov. 1-Mar. 31.
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 1-Mar. 31.
Lynx:
No limit......................... Nov. 1-Feb. 28.
Marten:
No limit......................... Nov. 1-Feb. 28.
Mink and Weasel:
No limit......................... Nov. 1-Feb. 28.
Muskrat:
No limit......................... Nov. 1-June 10.
Otter:
No limit......................... Nov. 1-Apr. 15.
Wolf:
No limit......................... Nov. 1-Mar. 31.
Wolverine:
No limit......................... Nov. 1-Mar. 31.
------------------------------------------------------------------------
(20) Unit 20. (i) Unit 20 consists of the Yukon River drainage
upstream from and including the Tozitna River drainage to and including
the Hamlin Creek drainage, drainages into the south bank of the Yukon
River upstream from and including the Charley River drainage, the Ladue
River and Fortymile River drainages and the Tanana River drainage north
of Unit 13 and downstream from the east bank of the Robertson River:
(A) Unit 20(A) consists of that portion of Unit 20 bounded on the
south by the Unit 13 boundary, bounded on the east by the west bank of
the Delta River, bounded on the north by the north bank of the Tanana
River from its confluence with the Delta River downstream to its
confluence with the Nenana River, and bounded on the west by the east
bank of the Nenana River;
(B) Unit 20(B) consists of drainages into the north bank of the
Tanana River from and including Hot Springs Slough upstream to and
including the Banner Creek drainage;
(C) Unit 20(C) consists of that portion of Unit 20 bounded on the
east by the east bank of the Nenana River and on the north by the north
bank of the Tanana River downstream from the Nenana River;
(D) Unit 20(D) consists of that portion of Unit 20 bounded on the
east by the east bank of the Robertson River and on the west by the
west bank of the Delta River, and drainages into the north bank of the
Tanana River from its confluence with the Robertson River downstream
to, but excluding the Banner Creek drainage;
(E) Unit 20(E) consists of drainages into the south bank of the
Yukon River upstream from and including the Charley River drainage, and
the Ladue River drainage;
(F) Unit 20(F) consists of the remainder of Unit 20.
(ii) In the following areas, the taking of wildlife for subsistence
uses is prohibited or restricted on public land:
(A) Lands within Mount McKinley National Park as it existed prior
to December 2, 1980, are closed to subsistence uses. Subsistence uses
as authorized by this paragraph (k)(20) are permitted in Denali
National Preserve and lands added to Denali National Park on December
2, 1980;
(B) Use of motorized vehicles or pack animals for hunting is
prohibited from Aug. 5-Aug. 25 in the Delta Controlled Use Area, the
boundary of which is defined as: a line beginning at the confluence of
Miller Creek and the Delta River, then west to vertical angle bench
mark Miller, then west to include all drainages of Augustana Creek and
Black Rapids Glacier, then north and east to include all drainages of
McGinnis Creek to its confluence with the Delta River, then east in a
straight line across the Delta River to Mile 236.7 Richardson Highway,
then north along the Richardson Highway to its junction with the Alaska
Highway, then east along the Alaska Highway to the west bank of the
Johnson River, then south along the west bank of the Johnson River and
Johnson Glacier to the head of the Canwell Glacier, then west along the
north bank of the Canwell Glacier and Miller Creek to the Delta River;
(C) The Dalton Highway Corridor Management Area, which consists of
those portions of Units 20, 24, 25, and 26 extending five miles from
each side of the Dalton Highway from the Yukon River to milepost 300 of
the Dalton Highway, is closed to the use of motorized vehicles, except
aircraft and boats, and to licensed highway vehicles, snowmobiles, and
firearms except as provided below. The use of snowmobiles is authorized
only for the subsistence taking of wildlife by residents living within
the Dalton Highway Corridor Management Area. The use of licensed
highway vehicles is limited only to designated roads within
[[Page 39736]]
the Dalton Highway Corridor Management Area. The use of firearms within
the Corridor is authorized only for the residents of Alatna, Allakaket,
Anaktuvuk Pass, Bettles, Evansville, Stevens Village, and residents
living within the Corridor;
(D) The Glacier Mountain Controlled Use Area, which consists of
that portion of Unit 20(E) bounded by a line beginning at Mile 140 of
the Taylor Highway, then north along the highway to Eagle, then west
along the cat trail from Eagle to Crooked Creek, then from Crooked
Creek southwest along the west bank of Mogul Creek to its headwaters on
North Peak, then west across North Peak to the headwaters of
Independence Creek, then southwest along the west bank of Independence
Creek to its confluence with the North Fork of the Fortymile River,
then easterly along the south bank of the North Fork of the Fortymile
River to its confluence with Champion Creek, then across the North Fork
of the Fortymile River to the south bank of Champion Creek and easterly
along the south bank of Champion Creek to its confluence with Little
Champion Creek, then northeast along the east bank of Little Champion
Creek to its headwaters, then northeasterly in a direct line to Mile
140 on the Taylor Highway, is closed to the use of any motorized
vehicle for hunting from August 5-September 20; however, this does not
prohibit motorized access via, or transportation of harvested wildlife
on, the Taylor Highway or any airport;
(E) The Minto Flats Management Area, which consists of that portion
of Unit 20 bounded by the Elliot Highway beginning at Mile 118, then
northeasterly to Mile 96, then east to the Tolovana Hotsprings Dome,
then east to the Winter Cat Trail, then along the Cat Trail south to
the Old Telegraph Trail at Dunbar, then westerly along the trail to a
point where it joins the Tanana River three miles above Old Minto, then
along the north bank of the Tanana River (including all channels and
sloughs except Swan Neck Slough), to the confluence of the Tanana and
Tolovana Rivers and then northerly to the point of beginning, is open
to moose hunting by permit only;
(F) The Fairbanks Management Area, which consists of the Goldstream
subdivision 0SE \1/4\ SE \1/4\, Section 28 and Section 33, Township 2
North, Range 1 West, Fairbanks Meridian and that portion of Unit 20(B)
bounded by a line from the confluence of Rosie Creek and the Tanana
River, northerly along Rosie Creek to the divide between Rosie Creek
and Cripple Creek, then down Cripple Creek to its confluence with Ester
Creek, then up Ester Creek to its confluence with Ready Bullion Creek,
then up Ready Bullion Creek to the summit of Ester Dome, then down
Sheep Creek to its confluence with Goldstream Creek, then easterly
along Goldstream Creek to its confluence with First Chance Creek, then
up First Chance Creek to Tungsten Hill, then southerly along Steele
Creek to its intersection with the Trans-Alaska Pipeline, then
southerly along the pipeline right-of-way to the Chena River, then
along the north bank of the Chena River to the Moose Creek dike, then
southerly along Moose Creek dike to its intersection with the Tanana
River, and then westerly along the north bank of the Tanana River to
the point of beginning, is open to moose hunting by bow and arrow only.
(iii) Unit-specific regulations:
(A) Bait may be used to hunt black bear between April 15 and June
30;
(B) Trapping of wolves in Unit 20(E) during April and October with
a steel trap, or with a snare using cable smaller than 3/32 inch
diameter, is prohibited;
(C) The taking of up to three moose per regulatory year by the
residents of Unit 20 and 21 is allowed for the celebration known as the
Nuchalawoyya Potlatch, under the terms of a Federal registration
permit. Permits will be issued to individuals only at the request of
the Native Village of Tanana. This three moose limit is not cumulative
with that permitted by the State.
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
3 bears.......................... July 1-June 30.
Brown Bear:
Unit 20--except Unit 20(E)--1 Sept. 1-May 31.
bear every four regulatory years.
Caribou:
Unit 20(E)--1 bull by Federal Aug. 10-Sept. 30.
registration permit only; the Nov. 15-Feb. 28.
season will close when a
combined State/Federal harvest
quota of 150 for the Fortymile
herd has been reached.
Unit 20(F)--Tozitna River Aug. 10-Sept. 30.
drainage--1 caribou; however, Nov. 26-Dec. 10.
only bull caribou may be taken Mar. 1-Mar. 15.
Aug. 10-Sept. 30.
Unit 20(F)--south of the Yukon Dec. 1-Dec. 31.
River--1 caribou.
Remainder of Unit 20(F)--1 bull.. Aug. 10-Sept. 30.
Moose:
Unit 20(A)--1 antlered bull...... Sept. 1-Sept. 20.
Unit 20(B)--that portion within Sept. 1-Sept. 20.
the Minto Flats Management Area-- Jan. 10-Feb. 28.
1 bull by Federal registration
permit only.
Unit 20(B)--the drainage of the Sept. 1-Sept. 20.
Middle Fork of the Chena River
and that portion of the Salcha
River Drainage upstream from and
including Goose Creek--1
antlered bull.
Remainder of Unit 20(B)--1 Sept. 1-Sept. 20.
antlered bull.
Unit 20(C)--that portion within Sept. 1-Sept. 30.
Denali National Park and Nov. 15-Dec. 15.
Preserve west of the Toklat
River, excluding lands within
Mount McKinley National Park as
it existed prior to December 2,
1980--1 antlered bull; however,
white-phased or partial albino
(more than 50 percent white)
moose may not be taken.
Remainder of Unit 20(C)--1 Sept. 1-Sept. 30.
antlered bull; however, white-
phased or partial albino (more
than 50 percent white) moose may
not be taken.
Unit 20(E)--that portion drained Sept. 1-Sept. 15.
by the Ladue, Sixty-mile, and
Forty-mile Rivers (all forks)
from Mile 9 1/2 to Mile 145
Taylor Highway, including the
Boundary Cutoff Road--1 antlered
bull.
Remainder of Unit 20(E)--that Sept. 5-Sept. 30.
portion draining into the Yukon
River upstream from and
including the Charley River
drainage to and including the
Boundary Creek drainages and the
Taylor Highway from mile 145 to
Eagle--1 antlered bull.
Unit 20(F)--that portion within Sept. 1-Sept. 25.
the Dalton Highway Corridor
Management Area--1 antlered bull
by Federal registration permit
only.
[[Page 39737]]
Remainder of Unit 20(F)--1 Sept. 1-Sept. 25.
antlered bull.
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Red (including Cross, Black and
Silver Phases):
10 foxes; however, no more than 2 Sept. 1-Mar. 15.
foxes may be taken prior to Oct.
1.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
Lynx:
Unit 20(E)--2 lynx............... Nov. 1-Jan. 31.
Remainder of Unit 20--2 lynx..... Dec. 1-Jan. 31.
Wolf:
10 wolves........................ Aug. 10-Apr. 30.
Wolverine:
1 wolverine...................... Sept. 1-Mar. 31.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
Unit 20(D)--that portion south of Aug. 25-Mar. 31.
the Tanana River and west of the
Johnson River--15 per day, 30 in
possession, provided that not
more than 5 per day and 10 in
possession are sharp-tailed
grouse.
Unit 20--Remainder--15 per day, Aug. 10-Mar. 31.
30 in possession.
Ptarmigan (Rock, Willow, and White-
tailed):
Unit 20--those portions within Aug. 10-Mar. 31.
five miles of Alaska Route 5
(Taylor Highway, both to Eagle
and the Alaska-Canada boundary)
and that portion of Alaska Route
4 (Richardson Highway) south of
Delta Junction--20 per day, 40
in possession.
Unit 20--Remainder--20 per day, Aug. 10-Apr. 30.
40 in possession.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
Unit 20(A), 20(B), Unit 20(C), Nov. 1-Apr. 15.
Unit 20(E), and 20(D)--that
portion draining into the north
bank of the Tanana River,
including the islands in the
Tanana River--25 beaver.
Remainder of Unit 20(D)--15 Feb. 1-Apr. 15.
beaver.
Unit 20(F)--50 beaver............ Nov. 1-Apr. 15.
Coyote:
Unit 20(E)--No limit............. Nov. 1-Feb. 28.
Remainder Unit 20--No limit...... Nov. 1-Mar. 31.
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 1-Feb. 28.
Lynx:
Unit 20(A), (B), (D), (E), and Dec. 15-Jan. 15.
(C) east of the Teklanika River--
No limit.
Unit 20(F) and the remainder of Dec. 1--Jan. 31.
20(C)--No limit.
Marten:
No limit......................... Nov. 1-Feb. 28.
Mink and Weasel:
No limit......................... Nov. 1-Feb. 28.
Muskrat:
Unit 20(E)--No limit............. Sept. 20-June 10.
Remainder of Unit 20--No limit... Nov. 1-June 10.
Otter:
No limit......................... Nov. 1-Apr. 15.
Wolf:
Unit 20(E)--No limit............. Oct. 1-Apr. 30
Remainder of Unit 20--No limit... Nov. 1-Mar. 31.
Wolverine:
No limit......................... Nov. 1-Feb. 28.
------------------------------------------------------------------------
(21) Unit 21. (i) Unit 21 consists of drainages into the Yukon
River upstream from Paimiut to, but not including the Tozitna River
drainage on the north bank, and to, but not including the Tanana River
drainage on the south bank; and excluding the Koyukuk River upstream
and including from the Dulbi River drainage:
(A) Unit 21(A) consists of the Innoko River drainage upstream from
and including the Iditarod River drainage, and the Nowitna River
drainage upstream from the Little Mud River;
(B) Unit 21(B) consists of the Yukon River drainage upstream from
Ruby and east of the Ruby-Poorman Road, downstream from and excluding
the Tozitna River and Tanana River drainages, and excluding the Nowitna
River drainage upstream from the Little Mud River, and excluding the
Melozitna River drainage upstream from Grayling Creek;
(C) Unit 21(C) consists of the Melozitna River drainage upstream
from Grayling Creek, and the Dulbi River drainage upstream from and
including the Cottonwood Creek drainage;
(D) Unit 21(D) consists of the Yukon River drainage from and
including the Blackburn Creek drainage upstream to Ruby, including the
area west of the Ruby-Poorman Road, excluding the Koyukuk River
drainage upstream from the Dulbi River drainage, and excluding the
Dulbi River drainage upstream from Cottonwood Creek;
(E) Unit 21(E) consists of the Yukon River drainage from Paimiut
upstream to, but not including the Blackburn Creek drainage, and the
Innoko River drainage downstream from the Iditarod River drainage.
[[Page 39738]]
(ii) In the following areas, the taking of wildlife for subsistence
uses is prohibited or restricted on public land:
(A) The Koyukuk Controlled Use Area, which consists of those
portions of Units 21 and 24 bounded by a line from the north bank of
the Yukon River at Koyukuk, then northerly to the confluences of the
Honhosa and Kateel Rivers, then northeasterly to the confluences of
Billy Hawk Creek and the Huslia River (65 deg. 57' N. lat., 156 deg.
41' W. long.), then easterly to the south end of Solsmunket Lake, then
east to Hughes, then south to Little Indian River, then southwesterly
to the crest of Hochandochtla Mountain, then southwest to the mouth of
Cottonwood Creek then southwest to Bishop Rock, then westerly along the
north bank of the Yukon River (including Koyukuk Island) to the point
of beginning, is closed during moose-hunting seasons to the use of
aircraft for hunting moose, including transportation of any moose
hunter or moose part; however, this does not apply to transportation of
a moose hunter or moose part by aircraft between publicly owned
airports in the controlled use area or between a publicly owned airport
within the area and points outside the area; all hunters on the Koyukuk
River passing the ADF&G operated check station at Ella's Cabin (15
miles upstream from the Yukon on the Koyukuk River) are required to
stop and report to ADF&G personnel at the check station;
(B) The Paradise Controlled Use Area, which consists of that
portion of Unit 21 bounded by a line beginning at the old village of
Paimiut, then north along the west bank of the Yukon River to Paradise,
then northwest to the mouth of Stanstrom Creek on the Bonasila River,
then northeast to the mouth of the Anvik River, then along the west
bank of the Yukon River to the lower end of Eagle Island (approximately
45 miles north of Grayling), then to the mouth of the Iditarod River,
then down the east bank of the Innoko River to its confluence with
Paimiut Slough, then south along the east bank of Paimiut Slough to its
mouth, and then to the old village of Paimiut, is closed during moose
hunting seasons to the use of aircraft for hunting moose, including
transportation of any moose hunter or part of moose; however, this does
not apply to transportation of a moose hunter or part of moose by
aircraft between publicly owned airports in the Controlled Use Area or
between a publicly owned airport within the area and points outside the
area.
(iii) Unit-specific regulations:
(A) Bait may be used to hunt black bear between April 15 and June
30;
(B) A firearm may be used to take beaver with a trapping license in
Unit 21(E) from Apr. 1-June 1;
(C) The taking of up to three moose per regulatory year by the
residents of Unit 20 and 21 is allowed for the celebration known as the
Nuchalawoyya Potlatch, under the terms of a Federal registration
permit. Permits will be issued to individuals only at the request of
the Native Village of Tanana. This three moose limit is not cumulative
with that permitted by the State;
(D) The taking of up to three moose per regulatory year by the
residents of Unit 21 is allowed for the celebration known as the
Kaltag/Nulato Stickdance, under the terms of a Federal registration
permit. Permits will be issued to individuals only at the request of
the Native Village of Kaltag or Nulato. This three moose limit is not
cumulative with that permitted by the State.
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
3 bears.......................... July 1-June 30.
Brown Bear:
1 bear every four regulatory Sept. 1-May 31.
years.
Caribou:
Unit 21 (A), (B), (C), and (E)--1 Aug. 10-Sept. 30.
caribou.
Unit 21(D)--North of the Yukon Aug. 10-Sept. 30. Winter season
River and east of the Koyukuk to be announced.
River 1 caribou; however, 2
additional caribou may be taken
during a winter season to be
announced.
Unit 21(D)--Remainder (Western July 1-June 30.
Arctic Caribou herd)--5 caribou
per day; however, cow caribou
may not be taken May 16-June 30.
Moose:
Unit 21(A)--1 bull............... Aug. 20-Sept. 25. Nov. 1-Nov. 30.
Unit 21 (B) and (C)--1 antlered Sept. 5-Sept. 25.
bull.
Unit 21(D)--1 moose; however, Sept. 1-Sept. 25. Feb. 1-Feb. 10.
antlerless moose may be taken
only from Sept. 21-Sept. 25 and
Feb. 1-Feb. 10; moose may not be
taken within one-half mile of
the Yukon River during the
February season. During the
Sept. 1-Sept. 25 season, Federal
lands within one-half mile of
the Koyukuk River from 40 miles
above its mouth to the lower end
of the Three-Day Slough are
closed to the taking of moose
except by residents of Unit
21(D) and residents of Huslia
and Ruby.
Unit 21(E)--1 moose; however, Aug. 20-Sept. 25. Feb. 1-Feb. 10.
only bulls may be taken from
Aug. 20-Sept. 25; moose may not
be taken within one-half mile of
the Innoko or Yukon River during
the February season.
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Red (including Cross, Black and
Silver Phases):
10 foxes; however, no more than 2 Sept. 1-Mar. 15.
foxes may be taken prior to Oct.
1.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
Lynx:
2 lynx........................... Nov. 1-Feb. 28.
Wolf:
5 wolves......................... Aug. 10-Apr. 30.
Wolverine:
1 wolverine...................... Sept. 1-Mar. 31.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
15 per day, 30 in possession..... Aug. 10-Apr. 30.
[[Page 39739]]
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 10-Apr. 30.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
Unit 21(E)--No Limit............. Nov. 1-June 1.
Remainder of Unit 21--No Limit... Nov. 1-Apr. 15.
Coyote:
No limit......................... Nov. 1-Mar. 31.
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 1-Feb. 28.
Lynx:
No limit......................... Nov. 1-Feb. 28.
Marten:
No limit......................... Nov. 1-Feb. 28.
Mink and Weasel:
No limit......................... Nov. 1-Feb. 28.
Muskrat:
No limit......................... Nov. 1-June 10.
Otter:
No limit......................... Nov. 1-Apr. 15.
Wolf:
No limit......................... Nov. 1-Mar. 31.
Wolverine:
No limit......................... Nov. 1-Mar. 31.
------------------------------------------------------------------------
(22) Unit 22. (i) Unit 22 consists of Bering Sea, Norton Sound,
Bering Strait, Chukchi Sea, and Kotzebue Sound drainages from, but
excluding, the Pastolik River drainage in southern Norton Sound to, but
not including, the Goodhope River drainage in Southern Kotzebue Sound,
and all adjacent islands in the Bering Sea between the mouths of the
Goodhope and Pastolik Rivers:
(A) Unit 22(A) consists of Norton Sound drainages from, but
excluding, the Pastolik River drainage to, and including, the Ungalik
River drainage, and Stuart and Besboro Islands;
(B) Unit 22(B) consists of Norton Sound drainages from, but
excluding, the Ungalik River drainage to, and including, the Topkok
Creek drainage;
(C) Unit 22(C) consists of Norton Sound and Bering Sea drainages
from, but excluding, the Topkok Creek drainage to, and including, the
Tisuk River drainage, and King and Sledge Islands;
(D) Unit 22(D) consists of that portion of Unit 22 draining into
the Bering Sea north of, but not including, the Tisuk River to and
including Cape York, and St. Lawrence Island;
(E) Unit 22(E) consists of Bering Sea, Bering Strait, Chukchi Sea,
and Kotzebue Sound drainages from Cape York to, but excluding, the
Goodhope River drainage, and including Little Diomede Island and
Fairway Rock.
(ii) Unit-specific regulations:
(A) A firearm may be used to take beaver with a trapping license in
Unit 22 during the established seasons;
(B) Coyote, incidentally taken with a trap or snare intended for
red fox or wolf, may be used for subsistence purposes.
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
3 bears.......................... July 1-June 30.
Brown Bear:
Unit 22(A)--1 bear by residents Sept. 1-Oct. 31.
of Unit 22(A) only. Apr. 15-May 25.
Unit 22(B)--1 bear by residents Sept. 1-Oct. 31.
of Unit 22(B) only. Apr. 15-May 25.
Unit 22(C)....................... No open season.
Remainder of Unit 22--1 bear Sept. 1-Oct. 31.
every four regulatory years. Apr. 15-May 25.
Caribou:
Unit 22(A) and (B)--5 caribou per July 1-June 30.
day; however, cow caribou may
not be taken May 16-June 30.
Moose:
Unit 22(A)--1 antlered bull; Aug. 1-Sept. 30.
however, the period of Dec. 1- Dec. 1-Jan. 31.
Jan. 31 is restricted to
residents of Unit 22(A) only.
Unit 22(B)--1 moose; however, Aug. 1.-Jan. 31.
antlerless moose may be taken
only from Dec. 1-Dec. 31; no
person may take a cow
accompanied by a calf.
Unit 22(C)--1 antlered bull...... Sept. 1-Sept. 14.
Unit 22(D)--1 moose; however, Aug. 1-Jan. 31.
antlerless moose may be taken
only from Dec. 1-Dec. 31; no
person may take a cow
accompanied by a calf.
Unit 22(E)--1 moose; no person Aug. 1-Mar. 31.
may take a cow accompanied by a
calf.
[[Page 39740]]
Muskox:
Unit 22(D) and (E)--1 bull by Sept. 1-Jan. 31.
Federal registration permit
only. Federal public lands are
closed to the taking of muskox
except by Federally-qualified
subsistence users. The season in
each subunit will be closed when
8 bulls and 7 bulls are taken in
Units 22(D) and (E)
respectively.
Remainder of Unit 22............. No open season.
Beaver:
Unit 22(A) and (B)--50 beaver.... Nov. 1-June 10.
Unit 22(D)--50 beaver............ Nov. 1-Apr. 15.
Unit 22 Remainder................ No open season.
Coyote:
Federal public lands are closed No open season.
to the taking of coyotes.
Fox, Arctic (Blue and White Phase):
2 foxes. Sept. 1-Apr. 30.
Fox, Red (including Cross, Black and
Silver Phases):
10 foxes......................... Nov. 1-Apr. 15.
Hare (Snowshoe and Tundra):
No limit......................... Sept. 1-Apr. 15.
Lynx:
2 lynx........................... Nov. 1-Apr. 15.
Marten:
Unit 22(A) 22(B)--No limit....... Nov. 1-Apr. 15.
Unit 22 Remainder................ No open season.
Mink and Weasel:
No limit......................... Nov. 1-Jan. 31.
Otter:
No limit......................... Nov. 1-Apr. 15.
Wolf:
No limit......................... Nov. 1-Apr. 15.
Wolverine:
1 wolverine...................... Sept. 1-Mar. 31.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
15 per day, 30 in possession..... Aug. 10-Apr. 30.
Ptarmigan (Rock, Willow, and White-
tailed):
Unit 22(A) and 22(B) east of and Aug. 10-Apr. 30.
including the Niukluk River
drainage--40 per day, 80 in
possession.
Unit 22 Remainder--20 per day, 40 Aug. 10-Apr. 30.
in possession.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
Unit 22(A) and (B)--50 beaver.... Nov. 1-June 10.
Unit 22(C), (D), and (E)--50 Nov. 1-Apr. 15.
beaver.
Coyote:
Federal public lands are closed No open season.
to the taking of coyotes.
Fox, Arctic (Blue and White Phase):
No limit......................... Nov. 1-Apr. 15.
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 1-Apr. 15.
Lynx:
No limit......................... Nov. 1-Apr. 15.
Marten:
No limit......................... Nov. 1-Apr. 15.
Mink and Weasel:
No limit......................... Nov. 1-Jan. 31.
Muskrat:
No limit......................... Nov. 1-June 10.
Otter:
No limit......................... Nov. 1-Apr. 15.
Wolf:
No limit......................... Nov. 1-Apr. 15.
Wolverine:
No limit......................... Nov. 1-Apr. 15.
------------------------------------------------------------------------
(23) Unit 23. (i) Unit 23 consists of Kotzebue Sound, Chukchi Sea,
and Arctic Ocean drainages from and including the Goodhope River
drainage to Cape Lisburne.
(ii) In the following areas, the taking of wildlife for subsistence
uses is prohibited or restricted on public land:
(A) The Noatak Controlled Use Area, which consists of that portion
of Unit 23 in a corridor extending five miles on either side of the
Noatak River beginning at the mouth of the Noatak River, and extending
upstream to the mouth of Sapun Creek, is closed for the period August
25-September 15 to the use of aircraft in any manner either for hunting
of ungulates, bear, wolves, or wolverine, or for transportation of
hunters or harvested species. This does not apply to the transportation
of hunters or parts of ungulates, bear, wolves, or wolverine by
regularly scheduled flights to communities by
[[Page 39741]]
carriers that normally provide scheduled air service;
(B) The Northwest Alaska Brown Bear Management Area, which consists
of those portions of Unit 23, except the Baldwin Peninsula north of the
Arctic Circle, Unit 24, and Unit 26(A) is open to brown bear hunting by
State registration permit in lieu of a resident tag; no resident tag is
required for taking brown bears in the Northwest Alaska Brown Bear
Management Area, provided that the hunter has obtained a State
registration permit prior to hunting; aircraft may not be used in the
Northwest Alaska Brown Bear Management Area in any manner for brown
bear hunting under the authority of a brown bear State registration
permit, including transportation of hunters, bears or parts of bears;
however, this does not apply to transportation of bear hunters or bear
parts by regularly scheduled flights to and between communities by
carriers that normally provide scheduled service to this area, nor does
it apply to transportation of aircraft to or between publicly owned
airports.
(iii) Unit-specific regulations:
(A) Caribou may be taken from a boat under power in Unit 23;
(B) Swimming caribou may be taken with a firearm using rimfire
cartridges;
(C) A firearm may be used to take beaver with a trapping license in
all of Unit 23 from Nov. 1-Jun. 10.
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
3 bears.......................... July 1-June 30.
Brown Bear:
Unit 23--except the Baldwin Sept. 1-May 31.
Peninsula north of the Arctic
Circle--1 bear.
Remainder of Unit 23--1 bear Sept. 1-Oct. 10.
every four regulatory years. Apr. 15-May 25.
Caribou:
15 caribou per day; however, cow July 1-June 30.
caribou may not be taken May 16-
June 30.
Sheep:
Unit 23-that portion west of No open season.
Howard Pass and the Aniuk,
Cutler and Redstone Rivers.
Remainder of Unit 23--1 ram with Aug. 10-Sept. 20.
7/8 curl horn or larger.
Remainder of Unit 23--1 sheep.... Oct. 1-Apr. 30.
Moose:
Unit 23--that portion north and July 1-Mar. 31.
west of and including the
Singoalik River drainage, and
all lands draining into the
Kukpuk and Ipewik Rivers--1
moose; no person may take a cow
accompanied by a calf.
Unit 23--that portion lying Aug. 1-Sept. 15.
within the Noatak River Oct. 1-Mar. 31.
drainage--1 moose; however,
antlerless moose may be taken
only from Nov. 1-Mar. 31; no
person may take a cow
accompanied by a calf.
Remainder of Unit 23--1 moose; no Aug. 1-Mar. 31.
person may take a cow
accompanied by a calf.
Muskox:
Unit 23 South of Kotzebue Sound Sept. 1-Jan. 31.
and west of and including the
Buckland River drainage--1 bull
by Federal registration permit
only. Federal public lands are
closed to the taking of muskox
except by Federally-qualified
subsistence users. The season
will be closed when 9 bulls have
been taken.
Remainder of Unit 23............. No open season.
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Arctic (Blue and White Phase):
2 foxes.......................... Sept. 1-Apr. 30.
Fox, Red (including Cross, Black and
Silver Phases):
10 foxes; however, no more than 2 Sept. 1-Mar. 15.
foxes may be taken prior to Oct.
1.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
Lynx:
2 lynx........................... Dec. 1-Jan. 15.
Wolf:
5 wolves......................... Nov. 10-Mar. 31.
Wolverine:
1 wolverine...................... Sept. 1-Mar. 31.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
15 per day, 30 in possession..... Aug. 10-Apr. 30.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 10-Apr. 30.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
Unit 23--the Kobuk and Selawik Nov. 1-June 10.
River drainages--50 beaver.
Remainder of Unit 23--30 beaver.. Nov. 1-June 10.
Coyote:
No limit......................... Nov. 1-Apr. 15.
Fox, Arctic (Blue and White Phase):
No limit......................... Nov. 1-Apr. 15.
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 1-Apr. 15.
Lynx:
3 lynx........................... Dec. 1-Jan. 15.
[[Page 39742]]
Marten:
No limit......................... Nov. 1-Apr. 15.
Mink and Weasel:
No limit......................... Nov. 1-Jan. 31.
Muskrat:
No limit......................... Nov. 1-June 10.
Otter:
No limit......................... Nov. 1-Apr. 15.
Wolf:
No limit......................... Nov. 10-Mar. 31.
Wolverine:
No limit......................... Nov. 1-Apr. 15.
------------------------------------------------------------------------
(24) Unit 24. (i) Unit 24 consists of the Koyukuk River drainage
upstream from but not including the Dulbi River drainage.
(ii) In the following areas, the taking of wildlife for subsistence
uses is prohibited or restricted on public land:
(A) The Dalton Highway Corridor Management Area, which consists of
those portions of Units 20, 24, 25, and 26 extending five miles from
each side of the Dalton Highway from the Yukon River to milepost 300 of
the Dalton Highway, is closed to the use of motorized vehicles, except
aircraft and boats, and to licensed highway vehicles, snowmobiles, and
firearms except as follows: The use of snowmobiles is authorized only
for the subsistence taking of wildlife by residents living within the
Dalton Highway Corridor Management Area. The use of licensed highway
vehicles is limited only to designated roads within the Dalton Highway
Corridor Management Area. The use of firearms within the Corridor is
authorized only for the residents of Alatna, Allakaket, Anaktuvuk Pass,
Bettles, Evansville, Stevens Village, and residents living within the
Corridor;
(B) The Kanuti Controlled Use Area, which consists of that portion
of Unit 24 bounded by a line from the Bettles Field VOR to the east
side of Fish Creek Lake, to Old Dummy Lake, to the south end of Lake
Todatonten (including all waters of these lakes), to the northernmost
headwaters of Siruk Creek, to the highest peak of Double Point
Mountain, then back to the Bettles Field VOR, is closed during moose-
hunting seasons to the use of aircraft for hunting moose, including
transportation of any moose hunter or moose part; however, this does
not apply to transportation of a moose hunter or moose part by aircraft
between publicly owned airports in the controlled use area or between a
publicly owned airport within the area and points outside the area;
(C) The Koyukuk Controlled Use Area, which consists of those
portions of Units 21 and 24 bounded by a line from the north bank of
the Yukon River at Koyukuk, then northerly to the confluences of the
Honhosa and Kateel Rivers, then northeasterly to the confluences of
Billy Hawk Creek and the Huslia River (65 deg. 57' N. lat., 156 deg.
41' W. long.), then easterly to the south end of Solsmunket Lake, then
east to Hughes, then south to Little Indian River, then southwesterly
to the crest of Hochandochtla Mountain, then southwest to the mouth of
Cottonwood Creek, then southwest to Bishop Rock, then westerly along
the north bank of the Yukon River (including Koyukuk Island) to the
point of beginning, is closed during moose-hunting seasons to the use
of aircraft for hunting moose, including transportation of any moose
hunter or moose part; however, this does not apply to transportation of
a moose hunter or moose part by aircraft between publicly owned
airports in the controlled use area or between a publicly owned airport
within the area and points outside the area; all hunters on the Koyukuk
River passing the ADF&G operated check station at Ella's Cabin (15
miles upstream from the Yukon on the Koyukuk River) are required to
stop and report to ADF&G personnel at the check station;
(D) The Northwest Alaska Brown Bear Management Area, which consists
of those portions of Unit 23, except the Baldwin Peninsula north of the
Arctic Circle, Unit 24, and Unit 26(A), is open to brown bear hunting
by State registration permit in lieu of a resident tag. No resident tag
is required for taking brown bears in the Northwest Alaska Brown Bear
Management Area, provided that the hunter has obtained a State
registration permit prior to hunting. Aircraft may not be used in the
Northwest Alaska Brown Bear Management Area in any manner for brown
bear hunting under the authority of a brown bear State registration
permit, including transportation of hunters, bears or parts of bears.
However, this does not apply to transportation of bear hunters or bear
parts by regularly scheduled flights to and between communities by
carriers that normally provide scheduled service to this area, nor does
it apply to transportation of aircraft to or between publicly owned
airports.
(iii) Unit-specific regulations:
(A) Bait may be used to hunt black bear between April 15 and June
30;
(B) Arctic fox, incidentally taken with a trap or snare intended
for red fox, may be used for subsistence purposes.
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
3 bears......................... July 1-June 30.
Brown Bear:
Unit 24--1 bear.................. Sept. 1-May 31.
Caribou:
Unit 24--the Kanuti River Aug. 10-Sept. 30.
drainage upstream from Kanuti,
Chalatna Creek, the Fish Creek
drainage (including Bonanza
Creek)--1 bull.
Remainder of Unit 24--5 caribou July 1-June 30.
per day; however, cow caribou
may not be taken May 16-June 30.
[[Page 39743]]
Sheep:
Unit 24--that portion within the Aug. 1-Apr. 30.
Gates of the Arctic National
Park--3 sheep.
Unit 24--that portion within the Aug. 10-Sept. 20.
Dalton Highway Corridor
Management Area; except, Gates
of the Arctic National Park--1
ram with 7/8 curl horn or larger
by Federal registration permit
only.
Remainder of Unit 24--1 ram with Aug. 10-Sept. 20.
7/8 curl horn or larger.
Moose:
Unit 24--that portion within the Sept. 5-Sept. 25.
Koyukuk Controlled Use Area--1 Dec. 1-Dec. 10.
moose; however, antlerless moose Mar. 1-Mar. 10.
may be taken only during the
periods of Sept. 21-Sept. 25,
Dec. 1-Dec. 10, and Mar. 1-Mar.
10.
Unit 24--that portion that Aug. 1-Dec. 31.
includes the John River drainage
within the Gates of the Arctic
National Park--1 moose.
Unit 24--the Alatna River Aug. 1-Dec. 31.
drainage within the Gates of the Mar. 1-Mar. 10.
Arctic National Park--1 moose;
however, antlerless moose may be
taken only from Sept. 21-Sept.
25 and Mar. 1-Mar. 10.
Unit 24--all drainages to the Aug. 25-Sept. 25.
north of the Koyukuk River Mar. 1-Mar. 10.
upstream from and including the
Alatna River to and including
the North Fork of the Koyukuk
River, except those portions of
the John River and the Alatna
River drainages within the Gates
of the Arctic National Park--1
moose; however, antlerless moose
may be taken only from Sept. 21-
Sept. 25 and Mar. 1-Mar. 10.
Unit 24--that portion within the Aug. 25-Sept. 25.
Dalton Highway Corridor
Management Area; except, Gates
of the Arctic National Park--1
antlered bull by Federal
registration permit only.
Remainder of Unit 24--1 antlered Aug. 25-Sept. 25.
bull. Public lands in the Kanuti
Controlled Use Area are closed
to taking of moose, except by
eligible rural Alaska residents
during seasons identified above.
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Red (including Cross, Black and
Silver Phases):
10 foxes; however, no more than 2 Sept. 1-Mar. 15.
foxes may be taken prior to Oct.
1.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
Lynx:
2 lynx........................... Nov. 1-Feb. 28.
Wolf:
5 wolves......................... Aug. 10-Apr. 30.
Wolverine:
1 wolverine...................... Sept. 1-Mar. 31.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
15 per day, 30 in possession..... Aug. 10-Apr. 30.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 10-Apr. 30.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
No limit......................... Nov. 1-Apr. 15.
Coyote:
No limit......................... Nov. 1-Mar. 31.
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 1-Feb. 28.
Lynx:
No limit......................... Nov. 1-Feb. 28.
Marten:
No limit......................... Nov. 1-Feb. 28.
Mink and Weasel:
No limit......................... Nov. 1-Feb. 28.
Muskrat:
No limit......................... Nov. 1-June 10.
Otter:
No limit......................... Nov. 1-Apr. 15.
Wolf:
No limit......................... Nov. 1-Mar. 31.
Wolverine:
No limit......................... Nov. 1-Mar. 31.
------------------------------------------------------------------------
(25) Unit 25. (i) Unit 25 consists of the Yukon River drainage
upstream from but not including the Hamlin Creek drainage, and
excluding drainages into the south bank of the Yukon River upstream
from the Charley River:
(A) Unit 25(A) consists of the Hodzana River drainage upstream from
the Narrows, the Chandalar River drainage upstream from and including
the East Fork drainage, the Christian River drainage upstream from
Christian, the Sheenjek River drainage upstream from and including the
Thluichohnjik Creek, the Coleen River drainage, and the Old Crow River
drainage;
(B) Unit 25(B) consists of the Little Black River drainage upstream
from but not including the Big Creek drainage, the Black River drainage
upstream from and including the Salmon Fork drainage, the Porcupine
River drainage upstream from the confluence of the Coleen and Porcupine
Rivers, and drainages into the north bank of the Yukon River upstream
from Circle, including the islands in the Yukon River;
(C) Unit 25(C) consists of drainages into the south bank of the
Yukon River
[[Page 39744]]
upstream from Circle to the Subunit 20(E) boundary, the Birch Creek
drainage upstream from the Steese Highway bridge (milepost 147), the
Preacher Creek drainage upstream from and including the Rock Creek
drainage, and the Beaver Creek drainage upstream from and including the
Moose Creek drainage;
(D) Unit 25(D) consists of the remainder of Unit 25.
(ii) In the following areas, the taking of wildlife for subsistence
uses is prohibited or restricted on public land:
(A) The Dalton Highway Corridor Management Area, which consists of
those portions of Units 20, 24, 25, and 26 extending five miles from
each side of the Dalton Highway from the Yukon River to milepost 300 of
the Dalton Highway, is closed to the use of motorized vehicles, except
aircraft and boats, and to licensed highway vehicles, snowmobiles, and
firearms except as follows: The use of snowmobiles is authorized only
for the subsistence taking of wildlife by residents living within the
Dalton Highway Corridor Management Area. The use of licensed highway
vehicles is limited only to designated roads within the Dalton Highway
Corridor Management Area. The use of firearms within the Corridor is
authorized only for the residents of Alatna, Allakaket, Anaktuvuk Pass,
Bettles, Evansville, Stevens Village, and residents living within the
Corridor;
(B) The Arctic Village Sheep Management Area; that portion of Unit
25(A) north and west of Arctic Village, which is bounded on the east by
the East Fork Chandalar River beginning at the confluence of Red Sheep
Creek and proceeding southwesterly downstream past Arctic Village to
the confluence with Crow Nest Creek, continuing up Crow Nest Creek,
through Portage Lake, to its confluence with the Junjik River; then
down the Junjik River past Timber Lake and a larger tributary, to a
major, unnamed tributary, northwesterly, for approximately 6 miles
where the stream forks into two roughly equal drainages; the boundary
follows the easternmost fork, proceeding almost due north to the
headwaters and intersects the Continental Divide; the boundary then
follows the Continental Divide easterly, through Carter Pass, then
easterly and northeasterly approximately 62 miles along the divide to
the head waters of the most northerly tributary of Red Sheep Creek then
follows southerly along the divide designating the eastern extreme of
the Red Sheep Creek drainage then to the confluence of Red Sheep Creek
and the East Fork Chandalar River. Sheep hunting in this area is
restricted to residents of Arctic Village, Venetie, Fort Yukon,
Kaktovik and Chalkytsik.
(iii) Unit-specific regulations:
(A) Bait may be used to hunt black bear between April 15 and June
30;
(B) Caribou and moose may be taken from a boat under power in Unit
25.
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting
------------------------------------------------------------------------
Black Bear:
3 bears.......................... July 1-June 30.
Caribou:
Unit 25(A), (B), and the July 1-Apr. 30.
remainder of Unit 25(D)--10
caribou; however, no more than 5
caribou may be transported from
these units per regulatory year.
Unit 25(C)--that portion south Aug. 10-Sept. 30.
and east of the Steese Highway-- Dec. 1-Feb. 28.
1 bull by Federal registration
permit only; the season will
close when a harvest quota for
the Fortymile herd has been
reached. The harvest quota will
be determined by the Board after
consultation with ADF&G and
announced before the season
opening.
25(C)--that portion north and Aug. 10-Sept. 20.
west of the Steese Highway--1 Feb. 15-Mar. 15.
caribou; however, only bull
caribou may be taken during the
Aug. 10--Sept. 20 season. During
the winter season, caribou may
be taken only with a Federal
registration permit.
Unit 25 (D)--that portion of Unit Aug. 10-Sept. 30.
25(D) drained by the west fork Dec. 1-Dec. 31.
of the Dall River west of 150
deg. W. long.--1 bull.
Sheep:
Unit 25(A)--that portion within No open season.
the Dalton Highway Corridor
Management Area.
Unit 25(A)--Arctic Village Sheep Aug. 10-Apr. 30.
Management Area--2 rams by
Federal registration permit
FR Doc. 96-18097 Subsistence Management Regulations for Public Lands in Alaska, Subpart C and Subpart D1996-1997 Subsistence Taking of Fish and Wildlife Regulations
only. Public lands are closed to
the taking of sheep except by
rural Alaska residents of Arctic
Village, Venetie, Fort Yukon,
Kaktovik and Chalkytsik during
seasons identified above.
Remainder of Unit 25(A)--3 sheep Aug. 10-Apr. 30.
by Federal registration permit
only.
Moose:
Unit 25(A)--1 antlered bull...... Aug. 25-Sept. 25.
Dec. 1-Dec. 10.
Unit 25(B)--that portion within Aug. 25-Sept. 30.
the Porcupine River drainage Dec. 1-Dec. 10.
upstream from, but excluding the
Coleen River drainage--1
antlered bull.
Unit 25(B)--that portion draining Sept. 5-Sept. 30.
into the north bank of the Yukon Dec. 1-Dec. 15.
River upstream from and
including the Kandik River
drainage, including the islands
in the Yukon River--1 antlered
bull.
Remainder of Unit 25(B)--1 Aug. 25-Sept. 25.
antlered bull. Dec. 1-Dec. 15.
Unit 25(C)--1 antlered bull...... Sept. 1-Sept. 15.
Unit 25(D) (West)--that portion Aug. 25-Feb. 28.
lying west of a line extending
from the Unit 25(D) boundary on
Preacher Creek, then downstream
along Preacher Creek, Birch
Creek and Lower Mouth Birch
Creek to the Yukon River, then
downstream along the north bank
of the Yukon River (including
islands) to the confluence of
the Hadweenzik River, then
upstream along the west bank of
the Hadweenzik River to the
confluence of Forty and One-Half
Mile Creek, then upstream along
Forty and One-Half Mile Creek to
Nelson Mountain on the Unit
25(D) boundary--1 bull by a
Federal registration permit.
Alternate permits allowing for
designated hunters are available
to qualified applicants who
reside in Beaver, Birch Creek,
or Stevens Village. Moose
hunting on public land in this
portion of Unit 25(D) (West) is
closed at all times except for
residents of Beaver, Birch Creek
and Stevens Village during
seasons identified above. The
moose season will be closed when
30 antlered moose have been
harvested in the entirety of
Unit 25(D) (West).
Remainder of Unit 25(D)--1 Aug. 25-Sept. 25.
antlered moose. Dec. 1-Dec. 20.
[[Page 39745]]
Beaver:
Unit 25, excluding Unit 25(C)--1 Apr. 16-Oct. 31.
beaver per day; 1 in possession.
Unit 25(C)....................... No open season.
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Red (including Cross, Black and
Silver Phases):
10 foxes; however, no more than 2 Sept. 1-Mar. 15.
foxes may be taken prior to Oct.
1.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
Lynx:
Unit 25(C)--2 lynx............... Dec. 1-Jan. 31.
Remainder of Unit 25--2 lynx..... Nov. 1-Feb. 28.
Wolf:
Unit 25(A)--No limit............. Aug. 10-Apr. 30.
Remainder of Unit 25--10 wolves.. Aug. 10-Apr. 30.
Wolverine:
1 wolverine...................... Sept. 1-Mar. 31.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
Unit 25(C)--15 per day, 30 in Aug. 10-Mar. 31.
possession.
Remainder of Unit 25--15 per day, Aug. 10-Apr. 30.
30 in possession.
Ptarmigan (Rock, Willow, and White-
tailed):
Unit 25(C)--those portions within Aug. 10-Mar. 31.
5 miles of Route 6 (Steese
Highway)--20 per day, 40 in
possession.
Remainder of Unit 25--20 per day, Aug. 10-Apr. 30.
40 in possession.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Beaver:
Unit 25(C)--25 beaver............ Nov. 1-Apr. 15.
Remainder of Unit 25--50 beaver.. Nov. 1-Apr. 15.
Coyote:
No limit......................... Nov. 1-Mar. 31.
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 1-Feb. 28.
Lynx:
Unit 25(C)--No limit............. Dec. 1-Jan. 31.
Remainder of Unit 25--No limit... Nov. 1-Feb. 28.
Marten:
No limit......................... Nov. 1-Feb. 28.
Mink and Weasel:
No limit......................... Nov. 1-Feb. 28.
Muskrat:
No limit......................... Nov. 1-June 10.
Otter:
No limit......................... Nov. 1-Apr. 15.
Wolf:
No limit......................... Nov. 1-Mar. 31.
Wolverine:
Unit 25(C)--No limit............. Nov. 1-Feb. 28.
Remainder of Unit 25--No limit... Nov. 1-Mar. 31.
------------------------------------------------------------------------
(26) Unit 26. (i) Unit 26 consists of Arctic Ocean drainages
between Cape Lisburne and the Alaska-Canada border including the Firth
River drainage within Alaska:
(A) Unit 26(A) consists of that portion of Unit 26 lying west of
the Itkillik River drainage and west of the east bank of the Colville
River between the mouth of the Itkillik River and the Arctic Ocean;
(B) Unit 26(B) consists of that portion of Unit 26 east of Unit
26(A), west of the west bank of the Canning River and west of the west
bank of the Marsh Fork of the Canning River;
(C) Unit 26(C) consists of the remainder of Unit 26.
(ii) In the following areas, the taking of wildlife for subsistence
uses is prohibited or restricted on public land:
(A) The Unit 26(A) Controlled Use Area, which consists of Unit
26(A), is closed to the use of aircraft in any manner for moose
hunting, including transportation of moose hunters or parts of moose
from Aug. 1-Aug. 31 and from Jan. 1-Mar. 31. No hunter may take or
transport a moose, or part of a moose in Unit 26(A) after having been
transported by aircraft into the unit. However, this does not apply to
transportation of moose hunters or moose parts by regularly scheduled
flights to and between villages by carriers that normally provide
scheduled service to this area, nor does it apply to transportation by
aircraft to or between publicly owned airports;
(B) The Dalton Highway Corridor Management Area, which consists of
those portions of Units 20, 24, 25, and 26 extending five miles from
each side of the Dalton Highway from the Yukon River to milepost 300 of
the Dalton Highway, is closed to the use of motorized vehicles, except
aircraft and boats, and to licensed highway vehicles, snowmobiles, and
firearms except as follows: The use of snowmobiles is authorized only
for the subsistence taking of wildlife by residents living within the
Dalton Highway Corridor Management Area. The use of licensed highway
vehicles is limited only to designated roads within the Dalton Highway
Corridor Management Area. The use of firearms within the Corridor is
authorized only for the residents of Alatna, Allakaket, Anaktuvuk Pass,
[[Page 39746]]
Bettles, Evansville, Stevens Village, and residents living within the
Corridor;
(C) The Northwest Alaska Brown Bear Management Area, which consists
of those portions of Unit 23, except the Baldwin Peninsula north of the
Arctic Circle, Unit 24, and Unit 26(A), is open to brown bear hunting
by State registration permit in lieu of a resident tag. No resident tag
is required for taking brown bears in the Northwest Alaska Brown Bear
Management Area, provided that the hunter has obtained a State
registration permit prior to hunting. Aircraft may not be used in the
Northwest Alaska Brown Bear Management Area in any manner for brown
bear hunting under the authority of a brown bear State registration
permit, including transportation of hunters, bears or parts of bears.
However, this does not apply to transportation of bear hunters or bear
parts by regularly scheduled flights to and between communities by
carriers that normally provide scheduled service to this area, nor does
it apply to transportation of aircraft to or between publicly owned
airports.
(iii) Unit-specific regulations:
(A) Caribou may be taken from a boat under power in Unit 26;
(B) Swimming caribou may be taken with a firearm using rimfire
cartridges.
------------------------------------------------------------------------
Harvest limits Open season
------------------------------------------------------------------------
Hunting:
------------------------------------------------------------------------
Black Bear:
3 bears.......................... July 1-June 30.
Brown Bear:
Unit 26-1 bear................... Sept. 1-May 31.
Caribou:
Unit 26(A)-10 caribou per day; July 1-June 30.
however, cow caribou may not be
taken May 16-June 30. Federal
lands south of the Colville
River and east of the the Killik
River are closed to the the
taking of caribou by non-
Federally qualified subsistence
users from Aug. 1-Sept. 30.
Unit 26(B)-10 caribou per day; July 1-June 30.
however, cow caribou may be
taken only from Oct. 1-Apr. 30.
Unit 26(C)-10 caribou per day.... July 1-Apr. 30.
Not more than 5 caribou per
regulatory year may be
transported from Unit 26 except
to the community of Anaktuvuk
Pass.
Sheep:
Unit 26(A)-those portions within Aug. 1-Apr. 30.
the Gates of the Arctic National
Park-3 sheep.
Unit 26(A)-that portion west of No open season.
Howard Pass and the Etivluk
River.
Unit 26(B)-that portion within Aug. 10-Sept. 20.
the Dalton Highway Corridor
Management Area-1 ram with 7/8
curl horn or larger by Federal
registration permit only.
Remainder of Unit 26(A) and (B)-- Aug. 10-Sept. 20.
including the Gates of the
Arctic National Preserve-1 ram
with 7/8 curl horn or larger.
Unit 26(C)-3 sheep per regulatory Aug. 10-Sept. 20.
year; the Aug. 10-Sept. 20 Oct. 1-Apr. 30.
season is restricted to 1 ram
with 7/8 curl horn or larger. A
Federal registration permit is
required for the Oct. 1-Apr. 30
season. Kaktovik residents may
harvest sheep in accordance with
a Federal community harvest
strategy for Unit 26(C) which
provides for take of up to two
harvest limits of 3 sheep by
designated hunter.
Moose:
Unit 26(A)-that portion of the Aug. 1-31.
Colville River drainage
downstream from the mouth of the
Anaktuvuk River-1 bull. Federal
public lands are closed to the
taking of moose by non-Federally
qualified subsistence users.
Remainder of Unit 26............. No open season.
Muskox:
Unit 26(C)-1 bull by Federal Sept. 15-Mar. 31.
registration permit only; up to
15 permits may be issued to
rural Alaska residents of the
village of Kaktovik only. Public
lands are closed to the taking
of muskox, except by rural
Alaska residents of the village
of Kaktovik during seasons
identified above.
Coyote:
2 coyotes........................ Sept. 1-Apr. 30.
Fox, Arctic (Blue and White Phase):
2 foxes.......................... Sept. 1-Apr. 30.
Fox, Red (including Cross, Black and
Silver Phases):
Unit 26(A) and (B)-10 foxes; Sept. 1-Mar. 15.
however, no more than 2 foxes
may be taken prior to Oct. 1.
Unit 26(C)-10 foxes.............. Nov. 1-Apr. 15.
Hare (Snowshoe and Tundra):
No limit......................... July 1-June 30.
Lynx:
2 lynx........................... Nov. 1-Apr. 15.
Wolf:
15 wolves........................ Aug. 10-Apr. 30.
Wolverine:
5 wolverine...................... Sept. 1-Mar. 31.
Grouse (Spruce, Blue, Ruffed, and
Sharp-tailed):
15 per day, 30 in possession..... Aug. 10-Apr. 30.
Ptarmigan (Rock, Willow, and White-
tailed):
20 per day, 40 in possession..... Aug. 10-Apr. 30.
------------------------------------------------------------------------
Trapping
------------------------------------------------------------------------
Coyote:
No limit......................... Nov. 1-Apr. 15.
Fox, Arctic (Blue and White Phase):
No limit......................... Nov. 1-Apr. 15.
[[Page 39747]]
Fox, Red (including Cross, Black and
Silver Phases):
No limit......................... Nov. 1-Apr. 15.
Lynx:
No limit......................... Nov. 1-Apr. 15.
Marten:
No limit......................... Nov. 1-Apr. 15.
Mink and Weasel:
No limit......................... Nov. 1-Jan. 31.
Muskrat:
No limit......................... Nov. 1-June 10.
Otter:
No limit......................... Nov. 1-Apr. 15.
Wolf:
No limit......................... Nov. 1-Apr. 30.
Wolverine:
No limit......................... Nov. 1-Apr. 15.
------------------------------------------------------------------------
4. In Subpart D of 36 CFR 36 part 242 and 50 CFR part 100,
Secs. ____.26 and ____.27 are added effective January 1, 1997, through
December 31, 1997, to read as follows:
Sec. ____.26 Subsistence taking of fish.
(a) Applicability. (1) Regulations in this section apply to the
taking of finfish, excluding halibut, or their parts for subsistence
uses.
(2) Finfish, excluding halibut, may be taken for subsistence uses
at any time by any method unless restricted by the subsistence fishing
regulations found in this section.
(b) Definitions. The following definitions shall apply to all
regulations contained in this section and Sec. ______.27:
Abalone Iron means a flat device which is used for taking abalone
and which is more than one inch (24 mm) in width and less than 24
inches (610 mm) in length, with all prying edges rounded and smooth.
ADF&G means the Alaska Department of Fish and Game.
Anchor means a device used to hold a salmon fishing vessel or net
in a fixed position relative to the beach; this includes using part of
the seine or lead, a ship's anchor, or being secured to another vessel
or net that is anchored.
Bag Limit means the maximum legal take per person or designated
group, per specified time period, even if part or all of the fish are
preserved.
Beach seine means a floating net which is designed to surround fish
and is set from and hauled to the beach.
Char means the following species: Arctic char (Salvelinus alpinis);
lake trout (Salvelinus namaycush); and Dolly Varden (Salvelinus malma).
Crab means the following species: red king crab (Paralithodes
camshatica); blue king crab (Paralithodes platypus); brown king crab
(Lithodes aequispina); Lithodes couesi; all species of tanner or snow
crab (Chionoecetes spp.); and Dungeness crab (Cancer magister).
Dip net means a bag-shaped net supported on all sides by a rigid
frame; the maximum straight-line distance between any two points on the
net frame, as measured through the net opening, may not exceed five
feet; the depth of the bag must be at least one-half of the greatest
straight-line distance, as measured through the net opening; no portion
of the bag may be constructed of webbing that exceeds a stretched
measurement of 4.5 inches; the frame must be attached to a single rigid
handle and be operated by hand.
Diving Gear means any type of hard hat or skin diving equipment,
including SCUBA equipment.
Drainage means all of the waters comprising a watershed including
tributary rivers, streams, sloughs, ponds and lakes which contribute to
the supply of the watershed.
Drift gill net means a drifting gill net that has not been
intentionally staked, anchored or otherwise fixed.
Federal lands means lands and waters and interests therein the
title to which is in the United States.
Fishwheel means a fixed, rotating device for catching fish which is
driven by river current or other means of power.
Freshwater of streams and rivers means the line at which freshwater
is separated from saltwater at the mouth of streams and rivers by a
line drawn between the seaward extremities of the exposed tideland
banks at the present stage of the tide.
Fyke net means a fixed, funneling (fyke) device used to entrap
fish.
Gear means any type of fishing apparatus.
Gill net means a net primarily designed to catch fish by
entanglement in a mesh that consists of a single sheet of webbing which
hangs between cork line and lead line, and which is fished from the
surface of the water.
Grappling hook means a hooked device with flukes or claws, which is
attached to a line and operated by hand.
Groundfish--bottomfish means any marine finfish except halibut,
osmerids, herring and salmonids.
Hand purse seine means a floating net which is designed to surround
fish and which can be closed at the bottom by pursing the lead line;
pursing may only be done by hand power, and a free-running line through
one or more rings attached to the lead line is not allowed.
Herring pound means an enclosure used primarily to contain live
herring over extended periods of time.
Hung measure means the maximum length of the cork line when
measured wet or dry with traction applied at one end only.
Jigging gear means a line or lines with lures or baited hooks,
drawn through the water by hand, and which are operated during periods
of ice cover from holes cut in the ice.
Lead means either a length of net employed for guiding fish into a
seine, set gill net, or other length of net, or a length of fencing
employed for guiding fish into a fishwheel, fyke net or dip net.
Long line means either a stationary, buoyed, or anchored line, or a
floating, free-drifting line with lures or baited hooks attached.
Possession limit means the maximum number of fish a person or
designated group may have in possession if the fish have not been
canned, salted, frozen, smoked, dried, or otherwise preserved so as to
be fit for human consumption after a 15 day period.
Pot means a portable structure designed and constructed to capture
and retain live fish and shellfish in the water.
Public lands or public land means lands situated in the State of
Alaska which are Federal lands, except--
[[Page 39748]]
(1) Land selections of the State of Alaska which have been
tentatively approved or validly selected under the Alaska Statehood Act
and lands which have been confirmed to, validly selected by, or granted
to the Territory of Alaska or the State under any other provision of
Federal law;
(2) Land selections of a Native Corporation made under the Alaska
Native Claims Settlement Act which have not been conveyed to a Native
Corporation, unless any such selection is determined to be invalid or
is relinquished; and
(3) Lands referred to in Section 19(b) of the Alaska Native Claims
Settlement Act.
Purse seine means a floating net which is designed to surround fish
and which can be closed at the bottom by means of a free-running line
through one or more rings attached to the lead line.
Ring net means a bag-shaped net suspended between no more than two
frames; the bottom frame may not be larger in perimeter than the top
frame; the gear must be nonrigid and collapsible so that free movement
of fish or shellfish across the top of the net is not prohibited when
the net is employed.
Rockfish means all species of the genus Sebastes.
Rod and reel means either a device upon which a line is stored on a
fixed or revolving spool and is deployed through guides mounted on a
flexible pole, or a line that is attached to a pole.
Salmon means the following species: pink salmon (Oncorhynchus
gorbusha); sockeye salmon (Oncorhynchus nerka); chinook salmon
(Oncorhynchus tshawytscha); coho salmon (Oncorhynchus kisutch); and
chum salmon (Oncorhynchus keta).
Salmon stream means any stream used by salmon for spawning or for
travelling to a spawning area.
Salmon stream terminus means a line drawn between the seaward
extremities of the exposed tideland banks of any salmon stream at mean
lower low water.
Set gill net means a gill net that has been intentionally set,
staked, anchored, or otherwise fixed.
Shovel means a hand-operated implement for digging clams or
cockles.
Spear means a shaft with a sharp point or fork-like implement
attached to one end which is used to thrust through the water to impale
or retrieve fish and which is operated by hand.
Take or Taking means to pursue, hunt, shoot, trap, net capture,
collect, kill, harm, or attempt to engage in any such conduct.
To operate fishing gear means any of the following: the deployment
of gear in the waters of Alaska; the removal of gear from the waters of
Alaska; the removal of fish or shellfish from the gear during an open
season or period; or the possession of a gill net containing fish
during an open fishing period, except that a gill net which is
completely clear of the water is not considered to be operating for the
purposes of minimum distance requirement.
Trawl means a bag-shaped net towed through the water to capture
fish or shellfish.
Trout means the following species: cutthroat trout (Oncorhynchus
clarki) and rainbow trout or steelhead trout (Oncorhynchus mykiss).
(c) Methods, means, and general restrictions. (1) No person may buy
or sell fish, their parts, or their eggs which have been taken for
subsistence uses, unless, prior to the sale, the prospective buyer or
seller obtains a determination from the Federal Subsistence Board that
the sale constitutes customary trade.
(2) No person may take fish for subsistence uses within 300 feet of
any dam, fish ladder, weir, culvert or other artificial obstruction.
(3) No person may use explosives or chemicals to take fish for
subsistence uses.
(4) Each person shall plainly and legibly inscribe his or her first
initial, last name, and address on any fish wheel, keg, buoy, stakes
attached to gill nets, and on any other unattended fishing gear which
the person has employed to take fish for subsistence uses.
(5) All pots used to take fish must contain an opening on the
webbing of a sidewall of the pot which has been laced, sewn, or secured
together by untreated cotton twine or other natural fiber no larger
than 120 thread which upon deterioration or parting of the twine
produces an opening in the web with a perimeter equal to or exceeding
one-half of the tunnel eye opening perimeter.
(6) Persons licensed by the State of Alaska to engage in a
fisheries business may not receive for commercial purposes or barter or
solicit to barter for subsistence taken salmon or their parts.
(7) Except as provided elsewhere in this subpart, the taking of
rainbow trout and steelhead trout is prohibited.
(8) Fish taken for subsistence use or under subsistence regulations
may not be subsequently used as bait for commercial or sport fishing
purposes.
(9) The use of live non-indigenous fish as bait is prohibited.
(10) Any fishing gear used to take fish for subsistence uses may
not obstruct more than one-half the width of any stream. A stationary
fishing device may obstruct not more than one-half the width of any
stream.
(11) Kegs or buoys attached to any permitted gear may be any color
but red.
(12) Bag limits authorized in this section or Sec. ______.27 may
not be accumulated with bag limits authorized in State seasons.
(13) Unless specified otherwise in this section, use of a rod and
reel to take fish is permitted without a subsistence fishing permit.
Bag limits applicable to the use of a rod and reel to take fish for
subsistence uses shall be as follows:
(i) Where a subsistence fishing permit issued by the ADF&G is
required by this section, that permit is not required to take fish for
subsistence uses with rod and reel. The bag and possessions limits for
taking fish for subsistence uses with a rod and reel in those areas are
the same as indicated on the ADF&G permit issued for subsistence
fishing with other gear types;
(ii) Where a subsistence fishing permit is not required by this
section, the bag and possession limits for taking fish for subsistence
uses with a rod and reel is the same as for taking fish under State of
Alaska sport fishing regulations in those same areas.
(14) Unless restricted in this section, or unless restricted under
the terms of a required subsistence fishing permit, gear specified in
definitions in paragraph (b) of this section are legal types of gear
for subsistence fishing.
(15) Unless restricted in this section, or unless restricted under
the terms of a subsistence fishing permit, fish may be taken at any
time.
(16) Gill nets used for subsistence fishing for salmon may not
exceed 50 fathoms in length, unless otherwise specified by regulations
for particular areas set forth in this section.
(17) Each fishwheel must have the first initial, last name, and
address of the operator plainly and legibly inscribed on the side of
the fishwheel facing midstream of the river.
(18) Unlawful Possession of Subsistence Finfish. Fish or their
parts taken in violation of Federal or State regulations may not be
possessed, transported, given, received or bartered.
(d) Fishery management area restrictions. For detailed descriptions
of Fishery Management Areas, see State of Alaska Fishing Regulations.
(1) Kotzebue-Northern Area. (i) Salmon may be taken only by gill
nets, beach seines, or a rod and reel;
(ii) Fish may be taken for subsistence purposes without a
subsistence fishing permit.
[[Page 39749]]
(2) Norton Sound-Port Clarence Area. (i) Salmon may be taken only
by gill nets, beach seines, fishwheel, or a rod and reel;
(ii) Except as provided in this paragraph (d)(2), fish may be taken
for subsistence purposes without a subsistence fishing permit. A
subsistence fishing permit issued by ADF&G is required, except for use
of rod and reel, as follows:
(A) Pilgrim River drainage including Salmon Lake;
(B) For net fishing in all waters from Cape Douglas to Rocky Point;
(iii) Only one subsistence fishing permit will be issued to each
household per year.
(3) Yukon Area. (i) Salmon may be taken only by set gill nets,
beach seines, fishwheels, or rod and reel;
(ii) Except as provided in this paragraph (d)(3), fish may be taken
for subsistence purposes without a subsistence fishing permit;
(iii) A subsistence fishing permit issued by the ADF&G is required,
except for the use of rod and reel, as follows:
(A) For the Yukon River drainage from the mouth of Hess Creek to
the mouth of the Dall River;
(B) For the Yukon River drainage from the ADF&G regulatory markers
placed near the upstream mouth of 22 Mile Slough upstream to the United
States-Canada border;
(C) For the Tanana River drainage above the mouth of the Wood
River;
(D) For whitefish and suckers in the waters listed;
(E) For the taking of pike in waters of the Tolovana River drainage
upstream of its confluence with the Tanana River;
(F) For the taking of salmon in Subdistricts 6-A and 6-B;
(iv) Except as otherwise provided, and except as may be provided by
the terms of a subsistence fishing permit issued by the ADF&G, there is
no closed season on fish other than salmon;
(v) Only one subsistence fishing permit will be issued to each
household per year;
(vi) Birch Creek of the upper Yukon drainage, and waters within 500
feet of its mouth, is closed to subsistence fishing June 10 through
September 10, except that whitefish and suckers may be taken by rod and
reel or under the authority of a subsistence fishing permit issued by
the ADF&G;
(vii) The following drainages located north of the main Yukon River
are closed to subsistence fishing:
(A) Kanuti River, upstream from a point five miles downstream of
the State highway crossing;
(B) Fish Creek, upstream from the mouth of Bonanza Creek;
(C) Bonanza Creek;
(D) Jim River, including Prospect Creek and Douglas Creek;
(E) South Fork of the Koyukuk River system upstream from the mouth
of Jim River;
(F) Middle Fork of the Koyukuk River system upstream from the mouth
of the North Fork;
(G) North Fork of the Chandalar River system upstream from the
mouth of Quartz Creek;
(viii) The main Tanana River and its adjoining sloughs are closed
to subsistence fishing between the mouth of the Salcha River and the
mouth of the Gerstle River, except that salmon may be taken in the area
upstream of the Richardson Highway bridge to the mouth of Clearwater
Creek after November 20;
(ix) Waters of the Tanana River drainage are closed to the
subsistence taking of pike between the mouth of the Kantishna River and
Delta River at Black Rapids on the Richardson Highway and Cathedral
Rapids on the Alaska Highway, except that pike may be taken for
subsistence purposes in the Tolovana River drainage upstream from its
confluence with the Tanana River;
(x) The Delta River is closed to subsistence fishing, except that
salmon may be taken after November 20;
(xi) The following locations are closed to subsistence fishing:
(A) The following rivers and creeks and within 500 feet of their
mouths: Delta Clearwater River (Clearwater Creek at 64 deg. 06' N.
lat., 145 deg. 34' W. long), Richardson Clearwater Creek (Clear Creek
at 64 deg. 14' N. lat., 146 deg. 16' W. long), Goodpaster River, Chena
River, Little Chena River, Little Salcha River, Blue Creek, Big Salt
River, Shaw Creek, Bear Creek, McDonald Creek, Moose Creek, Hess Creek,
and Beaver Creek;
(B) Ray River and Salcha River upstream of a line between the ADF&G
regulatory markers located at the mouth of the rivers;
(C) Deadman, Jan, Boleo, Birch, Lost, Harding, Craig, Fielding,
Two-Mile, Quartz, and Little Harding lakes;
(D) Piledriver and Badger (Chena) sloughs;
(xii) The following waters are closed to the taking of chum salmon
from August 15-December 31:
(A) Toklat River;
(B) Kantishna River from the mouth of the Toklat River to its
confluence with the Tanana River;
(xiii) Salmon may be taken only by set gill nets in those locations
described in below after July 19:
(A) Waters of the Black River including waters within one nautical
mile of its terminus;
(B) Waters of Kwikluak Pass downstream of Agmulegut and the waters
of Kwemeluk Pass;
(C) Waters of Alakanuk Pass downstream from the mouth of Kuiukpak
Slough;
(D) Waters of Kwiguk Pass downstream to the mouth of Kawokhawik
Slough;
(E) Waters of Kawanak Pass downstream from Sea Gull Point;
(F) Waters of Apoon Pass downstream from the mouth of the Kotlik
River and waters of Okwega Pass downstream from its confluence with
Apoon Pass;
(G) Waters within one nautical mile seaward from any grassland bank
in District 1;
(xiv) Pike may not be taken with gill nets in the waters of the
Tolovana River drainage from October 15-April 14;
(xv) A commercial salmon fisherman who is registered for Districts
1, 2, or 3 may not take salmon for subsistence purposes in any other
district located downstream from Old Paradise Village;
(xvi) In District 4, commercial fishermen may not take salmon for
subsistence purposes during the commercial salmon fishing season by
gill nets larger than 6-inch mesh after a date specified by emergency
order issued between July 10-July 31;
(xvii) In Subdistricts 5-A, 5-B, 5-C, and that portion of
Subdistrict 5-D downstream from Long Point, no person may possess
salmon taken for subsistence purposes during a commercial fishing
period, unless the dorsal fin has been immediately removed from the
salmon; a person may not sell or purchase salmon from which the dorsal
fin has been removed;
(xviii) Subsistence fishermen taking salmon in Subdistrict 6-C
shall report their salmon catches at designated the ADF&G check
stations by the end of each weekly fishing period; immediately after
salmon have been taken, catches must be recorded on a harvest form
provided by the ADF&G;
(xix) The annual possession limit for the holder of a Subdistrict
6-C subsistence salmon fishing permit is 10 king salmon and 75 chum
salmon for periods through August 15, and 75 chum and coho salmon for
periods after August 15;
(xx) Subsistence salmon harvest limits in Subdistrict 6-C are 750
king salmon and 5,000 chum salmon taken through August 15 and 5,200
chum and coho salmon combined taken after August 15; when either the
king or chum salmon harvest limit for periods before August 16 has been
taken, the subsistence salmon fishing season in Subdistrict 6-C will
close; a later season will open after August 15 to allow the taking of
[[Page 39750]]
the harvest limit for periods after August 15; if the chum salmon
harvest limit has not been obtained through August 15, the remaining
harvest will not be added to the chum salmon harvest level for periods
after August 15;
(xxi) The annual harvest limit for the holder of a Subdistrict 6-A
or 6-B subsistence salmon fishing permit is 60 chinook salmon and 500
chum salmon for the period through August 15 of a year, and 2,000 chum
and coho salmon combined for the period after August 15; upon request,
permits for additional salmon may be issued by the ADF&G;
(xxii) In the Kantishna River drainage, the open subsistence salmon
fishing periods are seven days per week.
(4) Kuskokwim Area. (i) Salmon may only be taken by gill net, beach
seine, fishwheel, or by a rod and reel, subject to the restrictions set
forth in this paragraph (d)(4), except that salmon may also be taken by
spear in the Holitna River drainage;
(ii) Fish may be taken for subsistence purposes without a
subsistence fishing permit;
(iii) Each subsistence gill net operated in tributaries of the
Kuskokwim River must be attached to the bank, fished substantially
perpendicular to the bank and in a substantially straight line;
(iv) The aggregate length of set gill nets or drift gill nets in
use by any individual for taking salmon may not exceed 50 fathoms;
(v) Rainbow trout may be taken by residents of Goodnews Bay,
Platinum. Quinhagak, Eek, Kwethluk, Akiachak, and Akiak from those non-
navigable drainages tributary to the Kuskokwim River downstream from
the confluence of the Kuskokwim and Holitna Rivers and from those non-
navigable drainages to Kuskokwim Bay north of the community of
Platinum, subject to the following restrictions:
(A) Rainbow trout may be taken only by the use of gill nets, rod
and reel, or jigging through the ice;
(B) The use of gill nets for taking rainbow trout is prohibited
from March 15-June 15.
(5) Bristol Bay Area. (i) Salmon and char may only be taken by rod
and reel or under authority of a subsistence fishing permit issued by
the ADF&G;
(ii) Only one subsistence fishing permit may be issued to each
household per year;
(iii) Each gill net must be staked and buoyed;
(iv) No person may operate or assist in operating subsistence
salmon net gear while simultaneously operating or assisting in
operating commercial salmon net gear;
(v) Salmon, herring, and capelin may only be taken by set gill nets
and by a rod and reel, except that salmon may also be taken by spear in
the Togiak River including its tributaries;
(vi) Subsistence fishing is not permitted within the boundaries of
Katmai National Park;
(vii) Except for the western shore of the Newhalen River, waters
used by salmon are closed to the subsistence taking of fish within 300
feet of a stream mouth;
(viii) Subsistence salmon fishing permits for the Naknek River
drainage will be issued only through the ADF&G King Salmon office;
(ix) Subsistence fishing with nets is prohibited in the following
waters and within one-fourth mile of the terminus of those waters
during the period from September 1 through June 14: Lower Talarik
Creek, Roadhouse Creek, Nick G. Creek, Middle Talarik Creek, Alexi
Creek, Copper River, Upper Talarik Creek, Tazimina River, Kakhonak
River, Pete Andrew Creek, Young's Creek, Gibralter River, Zacker Creek,
Chekok Creek, Dennis Creek, Newhalen River, Tomokok Creek, Belinda
Creek;
(x) Gill nets are prohibited in that portion of the Naknek River
upstream from Sovonaski;
(xi) After August 20, no person may possess coho salmon for
subsistence purposes in the Togiak River Section and the Togiak River
drainage unless the head has been immediately removed from the salmon.
It is unlawful to purchase or sell coho salmon from which the head has
been removed.
(6) Aleutian Islands Area. (i) Salmon may be taken by seine and
gill net, with gear specified on a subsistence fishing permit issued by
the ADF&G, or by a rod and reel;
(ii) The Adak District is closed to the taking of salmon;
(iii) Salmon and char may be taken only by rod and reel or under
the terms of a subsistence fishing permit issued by the ADF&G, except
that a permit is not required in the Akutan, Umnak and Adak Districts;
not more than 250 salmon may be taken for subsistence purposes unless
otherwise specified on the subsistence fishing permit; a record of
subsistence-caught fish must be kept on the reverse side of the permit;
the record must be completed immediately upon taking subsistence-caught
fish and must be returned to the local representative of the ADF&G no
later than October 31.
(7) Alaska Peninsula Area. (i) Salmon may be taken by seine, gill
net, gear specified on a permit issued by the ADF&G, or rod and reel;
(ii) The following waters are closed to subsistence fishing for
salmon:
(A) Russell Creek and Nurse Lagoon;
(B) Trout Creek;
(C) Humbolt Creek;
(iii) Salmon and char may only be taken by rod and reel or under
the authority of a subsistence fishing permit issued by the ADF&G; a
record of subsistence-caught fish must be kept on the reverse side of
the permit; the record must be completed immediately upon taking
subsistence-caught fish and must be returned to the local
representative of the ADF&G no later than October 31.
(8) Chignik Area. (i) Salmon may be taken by seines and gill nets,
or with gear specified on a subsistence fishing permit issued by the
ADF&G, or by a rod and reel, except that in Chignik Lake, salmon may
not be taken with purse seines;
(ii) Salmon may not be taken in the Chignik River, upstream from
the ADF&G weir site or counting tower, in Black Lake, or any tributary
to Black and Chignik Lakes;
(iii) Salmon and char may only be taken by rod and reel or under
the authority of a subsistence fishing permit issued by the ADF&G. A
record of subsistence-caught fish must be kept on the reverse side of
the permit. The record must be completed immediately upon taking
subsistence caught fish and must be returned to the local
representative of the ADF&G no later than October 31;
(iv) From June 10-September 30, commercial fishing license holders
may not subsistence fish for salmon.
(9) Kodiak Area. (i) Salmon may be taken 24 hours a day from
January 1 through December 31 except as provided:
(A) From June 1--September 15, salmon seine vessels may not be used
to take subsistence salmon for 24 hours before, during, and for 24
hours after any open commercial salmon fishing period;
(B) From June 1--September 15, purse seine vessels may be used to
take salmon only with gill nets and no other type of salmon gear may be
on board the vessel;
(C) Salmon may be taken only by gill net, seine, or by a rod and
reel;
(D) Subsistence fishermen must be physically present at the net at
all times the net is being fished;
(ii) The following locations are closed to the subsistence taking
of salmon:
(A) All waters of Mill Bay and all those waters bounded by a line
from Spruce Cape to the northernmost point of Woody Island, then to the
northernmost point of Holiday Island, then to a point on Near Island
opposite
[[Page 39751]]
the Kodiak small boat harbor entrance and then to the small boat harbor
entrance;
(B) All freshwater systems of Little Afognak River and Portage
Creek drainage in Discoverer Bay;
(C) All water closed to commercial salmon fishing in the Barbara
Cove, Chiniak Bay, Saltery Cove, Pasagshak Bay, Monashka Bay and Anton
Larsen Bay, and all waters closed to commercial salmon fishing within
100 yards of the terminus of Selief Bay Creek and north and west of a
line from the tip of Las Point to the tip of River Mouth Point of
Afognak Bay;
(D) All waters 300 yards seaward of the terminus of Monks Creek;
(E) From August 15 through September 30, all waters 500 yards
seaward of the terminus of Little Kitoi Creek;
(F) All freshwater systems of Afognak Island;
(G) All waters of Ouzinkie Harbor north of a line from
57 deg.55'10'' N. lat., 152 deg.36' W. long. to 57 deg.55'03'' N. lat.,
152 deg.29'20'' W. long.;
(iii) A subsistence fishing permit issued by the ADF&G is required
for taking salmon, trout and char, except by rod and reel, for
subsistence purposes; a subsistence fishing permit issued by the ADF&G
is required for taking herring and bottomfish for subsistence purposes
during the commercial herring sac roe season from May 1-June 30; all
subsistence fishermen shall keep a record of the number of subsistence
fish taken each year; the number of subsistence fish shall be recorded
on the reverse side of the permit. The record must be completed
immediately upon landing subsistence caught fish and must be returned
to the local representative of the ADF&G by February 1 of the year
following the year the permit was issued.
(10) Cook Inlet Area. (i) Salmon may be taken only by rod and reel,
or under the authority of a subsistence fishing permit issued by the
ADF&G; only one permit may be issued to a household each year; a
subsistence fishing permit holder shall record daily salmon catches on
forms provided by the ADF&G;
(ii) Trout, grayling, char, and burbot may not be taken in fresh
water;
(iii) All public waters on the Kenai Peninsula are closed to
subsistence fishing;
(iv) Smelt may be taken only with gill nets and dip nets. Gill nets
used to take smelt may not exceed 50 feet in length and two inches in
mesh size;
(v) Gill nets may not be used.
(11) Prince William Sound Area. (i) Salmon and freshwater fish
species may be taken only by rod and reel or under the authority of a
subsistence fishing permit issued by the ADF&G;
(ii) Only one subsistence fishing permit will be issued to each
household per year;
(iii) Use of fishwheels:
(A) Fishwheels used for subsistence fishing may not be rented,
leased, or otherwise used for personal gain; (B) Subsistence fishwheels
must be removed from the water at the end of the permit period;
(C) Each permittee may operate only one fishwheel at any one time;
(D) No person may set or operate a fishwheel within 75 feet of
another fishwheel;
(E) No fishwheel may have more than two baskets;
(F) The permit holder must personally operate the fishwheel or dip
net. A subsistence fishwheel or dip net permit may not be loaned or
transferred except as permitted by this part;
(G) A wood or metal plate at least 12 inches high by 12 inches
wide, bearing the permit holder's name and address in letters and
numerals at least one inch high, must be attached to each fishwheel so
that the name and address are plainly visible;
(iv) Salmon may not be taken in any area closed to commercial
salmon fishing unless otherwise permitted;
(v) In locations open to commercial salmon fishing and in
conformance with commercial salmon fishing regulations, the annual
subsistence salmon limit is as follows:
(A) 15 salmon for a household of one person;
(B) 30 salmon for a household of two persons;
(C) 10 salmon for each additional person in a household over two;
(D) No more than five king salmon may be taken per permit;
(vi) All tributaries of the Copper River and waters of the Copper
River are closed to the taking of salmon;
(vii) Crosswind Lake is closed to all subsistence fishing;
(viii) Salmon may be taken for subsistence purposes in the waters
of the Southwestern District only as follows:
(A) Only pink salmon may be taken;
(B) Pink salmon may be taken by dipnets or by a rod and reel;
(C) Pink salmon may be taken only from May 15-September 30;
(D) Fishing periods are from May 15 until two days before the
commercial opening of the Southwestern District, seven days per week;
during the commercial salmon fishing season, only during open
commercial salmon fishing periods; and from two days following the
closure of the commercial salmon season until September 30, seven days
per week;
(E) There are no bag and possession limits for this fishery;
(F) ADF&G permits may be issued only at Chenega Bay village;
(ix) Salmon may be taken for subsistence purposes in the waters
north of a line from Porcupine Point to Granite Point, and south of a
line from Point Lowe to Tongue Point, only as follows:
(A) Only pink salmon may be taken;
(B) Pink salmon may be taken by dipnets or by a rod and reel;
(C) Pink salmon may be taken only from May 15-September 30;
(D) Fishing periods are from May 15 until two days before the
commercial opening of the Southwestern District, seven days per week;
during the commercial salmon fishing season, only during open
commercial salmon fishing periods; and from two days following the
closure of the commercial salmon season until September 30, seven days
per week;
(E) There are no bag and possession limits for this fishery;
(F) ADF&G permits may be issued only at Tatitlek village;
(12) Yakutat Area. (i) Salmon, trout, and char may be taken only by
rod and reel or under authority of a subsistence fishing permit issued
by the ADF&G;
(ii) Salmon, trout, or char taken incidentally by gear operated
under the terms of a subsistence permit for salmon are legally taken
and possessed for subsistence purposes; the holder of a subsistence
salmon permit must report any salmon, trout, or char taken in this
manner on his or her permit calendar;
(iii) Subsistence fishermen must remove the dorsal fin from
subsistence-caught salmon when taken.
(13) Southeastern Alaska Area. (i) Salmon, trout, char and herring
spawn on kelp may be taken only by rod and reel or under authority of a
subsistence fishing permit issued by the ADF&G;
(ii) No person may possess subsistence-taken and sport-taken salmon
on the same day;
(iii) Salmon, trout or char taken incidentally by gear operated
under the terms of an ADF&G subsistence permit for salmon are legally
taken and possessed for subsistence purposes; the holder of a
subsistence salmon permit must report any salmon, trout, or char taken
in this manner on his or her permit calendar;
(iv) Subsistence fishermen shall immediately remove the dorsal fin
of all salmon when taken.
Sec. ____.27 Subsistence taking of shellfish.
(a) Regulations in this section apply to subsistence taking of
dungeness crab,
[[Page 39752]]
king crab, tanner crab, shrimp, clams, abalone, and other shellfish or
their parts.
(b) Shellfish may be taken for subsistence uses at any time in any
area of the public lands by any method unless restricted by the
subsistence fishing regulations of Sec. ____.26 or this section.
(c) Methods, means, and general restrictions. (1) The bag limit
specified herein for a subsistence season for a species and the State
bag limit set for a State season for the same species are not
cumulative. This means that a person or designated group who has taken
the bag limit for a particular species under a subsistence season
specified herein may not after that, take any additional shellfish of
that species under any other bag limit specified for a State season.
(2) Unless otherwise provided in this section, gear as specified in
the definitions of Sec. ____.26 is legal for subsistence taking of
shellfish.
(3) It is prohibited to buy or sell subsistence-taken shellfish,
their parts, or their eggs, unless otherwise specified.
(4) The use of explosives and chemicals is prohibited, except that
chemical baits or lures may be used to attract shellfish.
(5) Each subsistence fisherman shall plainly and legibly inscribe
their first initial, last name and address on a keg or buoy attached to
unattended subsistence fishing gear. Subsistence fishing gear may not
display a permanent ADF&G vessel license number. The keg or buoy may be
any color except red.
(6) A side wall of all subsistence shellfish pots must contain an
opening with a perimeter equal to or exceeding one-half of the tunnel
eye opening perimeter. The opening must be laced, sewn, or secured
together by untreated cotton twine or other natural fiber no larger
than 120 thread. Dungeness crab and shrimp pots may have the pot lid
tiedown straps secured to the pot at one end by untreated cotton twine
no larger than 120 thread, as a substitute for the above requirement.
(7) No person may mutilate or otherwise disfigure a crab in any
manner which would prevent determination of the minimum size
restrictions until the crab has been processed or prepared for
consumption.
(8) In addition to the marking requirements in paragraph (c)(5) of
this section, kegs or buoys attached to subsistence crab pots must also
be inscribed with the name or U.S. Coast Guard number of the vessel
used to operate the pots.
(9) No more than five pots per person and 10 pots per vessel may be
used to take crab, except as specified in paragraph (f) of this
section.
(10) In the subsistence taking of shrimp in the Glacier Bay
National Preserve, no person may use more than 10 pots, and no more
than 20 pots may be operated from a vessel. In the subsistence taking
of shellfish other than shrimp in the Glacier Bay National Preserve, no
person may operate more than five pots of any type, and no more than 10
pots of any type may be operated from a vessel.
(d) Subsistence take by commercial vessels. No fishing vessel which
is commercially licensed and registered for shrimp pot, shrimp trawl,
king crab, tanner crab, or dungeness crab fishing may be used for
subsistence take during the period starting 14 days before an opening
until 14 days after the closure of a respective open season in the area
or areas for which the vessel is registered.
(e) Unlawful possession of subsistence shellfish. Shellfish or
their parts taken in violation of Federal or State regulations may not
be possessed, transported, given, received or bartered.
(f) Subsistence shellfish areas and pertinent restrictions. (1)
Southeastern Alaska-Yakutat Area. Shellfish may be taken for
subsistence purposes in the Glacier Bay National Preserve only under
the authority of a subsistence shellfish fishing permit.
(2) Cook Inlet Area. All waters within the boundaries of the Kenai
National Wildlife Refuge are closed to the taking of shellfish for
subsistence purposes.
(3) Kodiak Area. (i) Shellfish may be taken for subsistence
purposes only under the authority of a subsistence shellfish fishing
permit issued by the ADF&G;
(ii) The operator of a commercially licensed and registered shrimp
fishing vessel must obtain a subsistence fishing permit from the ADF&G
before subsistence shrimp fishing during a closed commercial shrimp
fishing season or within a closed commercial shrimp fishing district,
section or subsection. The permit shall specify the area and the date
the vessel operator intends to fish. No more than 500 pounds (227 kg)
of shrimp may be in possession aboard the vessel;
(iii) The daily bag and possession limit is 12 male dungeness crab
per person;
(iv) In the subsistence taking of king crab:
(A) The daily bag and possession limit is six male crab per
person;
(B) All crab pots used for subsistence fishing and left in
saltwater unattended longer than a two-week period shall have all bait
and bait containers removed and all doors secured fully open;
(C) No more than five crab pots may be used to take king crab; each
pot can be no more than 75 cubic feet in capacity;
(D) King crab may be taken only from June 1-January 31, except that
the subsistence taking of king crab is prohibited in waters 25 fathoms
or greater in depth during the period 14 days before and 14 days after
open commercial fishing seasons for red king crab, blue king crab, or
tanner crab in the location;
(E) The waters of the Pacific Ocean enclosed by the boundaries of
Womans Bay, Gibson Cove, and an area defined by a line \1/2\ mile on
either side of the mouth of the Karluk River, and extending seaward
3,000 feet, and all waters within 1,500 feet seaward of the shoreline
of Afognak Island are closed to the harvest of king crab except by
Federally-qualified subsistence users;
(v) In the subsistence taking of tanner crab:
(A) No more than five crab pots may be used to take tanner crab;
(B) From July 15-February 10, the subsistence taking of tanner crab
is prohibited in waters 25 fathoms or greater in depth, unless the
commercial tanner crab fishing season is open in the location;
(C) The daily bag and possession limit is 12 male crab per person.
(4) Alaska Peninsula-Aleutian Islands Area. (i) Shellfish may be
taken for subsistence purposes only under the authority of a
subsistence shellfish fishing permit issued by the ADF&G;
(ii) The operator of a commercially licensed and registered shrimp
fishing vessel must obtain a subsistence fishing permit from the ADF&G
prior to subsistence shrimp fishing during a closed commercial shrimp
fishing season or within a closed commercial shrimp fishing district,
section, or subsection; the permit shall specify the area and the date
the vessel operator intends to fish; no more than 500 pounds (227 kg)
of shrimp may be in possession aboard the vessel;
(iii) The daily bag and possession limit is 12 male dungeness crab
per person;
(iv) In the subsistence taking of king crab:
(A) The daily bag and possession limit is six male crab per person;
(B) All crab pots used for subsistence fishing and left in
saltwater unattended longer than a two-week period shall have all bait
and bait containers removed and all doors secured fully open;
[[Page 39753]]
(C) Crab may be taken only from June 1-January 31;
(v) The daily bag and possession limit is 12 male tanner crab per
person.
(5) Bering Sea Area. (i) In waters South of 60 deg. North latitude,
shellfish may be taken for subsistence purposes only under the
authority of a subsistence shellfish fishing permit issued by the
ADF&G;
(ii) In that portion of the area north of the latitude of Cape
Newenham, shellfish may only be taken by shovel, jigging gear, pots and
ring net;
(iii) The operator of a commercially licensed and registered shrimp
fishing vessel must obtain a subsistence fishing permit from the ADF&G
prior to subsistence shrimp fishing during a closed commercial shrimp
fishing season or within a closed commercial shrimp fishing district,
section or subsection; the permit shall specify the area and the date
the vessel operator intends to fish; no more than 500 pounds (227 kg)
of shrimp may be in possession aboard the vessel;
(iv) In waters south of 60 deg. N. lat., the daily bag and
possession limit is 12 male dungeness crab per person;
(v) In the subsistence taking of king crab:
(A) In waters south of 60 deg. N. lat., the daily bag and
possession limit is six male crab per person;
(B) All crab pots used for subsistence fishing and left in
saltwater unattended longer than a two-week period shall have all bait
and bait containers removed and all doors secured fully open;
(C) In waters south of 60 deg. N. lat., crab may be taken only from
June 1-January 31;
(vi) In waters south of 60 deg. N. lat., the daily bag and
possession limit is 12 male tanner crab.
Dated: June 12, 1996.
Mitch Demientieff,
Chair, Federal Subsistence Board.
Dated: June 12, 1996.
John C. Capp,
Acting Regional Forester, USDA--Forest Service.
[FR Doc. 96-18097 Filed 7-29-96; 8:45 am]
BILLING CODE 3410-11-P; 4310-55-P
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