issue-1996-01-29•Federal Register final rules — 1996-01-29
Federal Register final rules — 1996-01-29
issue-1996-01-29Federal Register final rules — 1996-01-29Regulation
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. 96-591 Airworthiness Directives; Airbus Model A310 and A300-600 Series Airplanes
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2697-2699]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-591]
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 39
[Docket No. 96-NM-03-AD; Amendment 39-9491; AD 96-01-52]
Airworthiness Directives; Airbus Model A310 and A300-600 Series
Airplanes
AGENCY: Federal Aviation Administration, DOT.
ACTION: Final rule; request for comments.
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SUMMARY: This document publishes in the Federal Register an amendment
adopting Airworthiness Directive (AD) T96-01-52 that was sent
previously to all known U.S. owners and operators of Airbus Model A310
and A300-600 series airplanes by individual telegrams. Among other
things, this AD requires repetitive inspections to ensure correct
synchronization of the hydraulic control valves of the trimmable
horizontal stabilizer (THS) actuator; replacement of the horizontal
stabilizer actuator motors with new or serviceable motors and
resynchronization of the valves, or adjustment of the synchronization,
if necessary; and a functional test of the THS. This amendment is
prompted by a report of desynchronization of the hydraulic control
valves that direct fluid to the horizontal stabilizer actuator motors,
which resulted in uncommanded movement of the THS. The actions
specified by this AD are intended to prevent such desynchronization,
which could lead to runaway of the horizontal stabilizer to its full up
or down position, subsequent reduced maneuvering capability, and
potential pitch upset.
DATES: Effective February 5, 1996, to all persons except those persons
to whom it was made immediately effective by telegraphic AD T96-01-52,
issued January 9, 1996, which contained the requirements of this
amendment.
The incorporation by reference of certain publications listed in
the regulations is approved by the Director of the Federal Register as
of February 5, 1996.
Comments for inclusion in the Rules Docket must be received on or
before March 29, 1996.
ADDRESSES: Submit comments in triplicate to the Federal Aviation
Administration (FAA), Transport Airplane Directorate, ANM-103,
Attention: Rules Docket No.96-NM-03-AD, 1601 Lind Avenue SW., Renton,
Washington 98055-4056.
The applicable service information may be obtained from Airbus
Industrie, 1 Rond Point Maurice Bellonte, 31707 Blagnac Cedex, France.
This information may be examined at the FAA, Transport Airplane
Directorate, 1601 Lind Avenue SW., Renton, Washington; or at the Office
of the Federal Register, 800 North Capitol Street NW., suite 700,
Washington, DC.
FOR FURTHER INFORMATION CONTACT: Tom Groves, Aerospace Engineer,
Standardization Branch, ANM-113, FAA, Transport Airplane Directorate,
1601 Lind Avenue SW., Renton, Washington 98055-4056; telephone (206)
227-1503; fax (206) 227-1149.
SUPPLEMENTARY INFORMATION: The Direction Generale de l'Aviation Civile
(DGAC), which is the airworthiness authority for France, recently
notified the FAA that an unsafe condition may exist on certain Airbus
Model A310 and A300-600 series airplanes. The DGAC advises that it
recently received a report indicating that uncommanded movement of the
trimmable horizontal stabilizer (THS) occurred on a Model A310 series
airplane after the engine was started while the airplane was on the
ground. Both pitch trim levers and the autopilot (AP) 1 tripped;
additionally, the servo control push button (P/B) of one of the
hydraulic systems illuminated. The servo control P/B was reset
successfully following engagement of the pitch trim and AP1.
The crew attempted to command the pitch trim by using one of the
rocking switches; however, the pitch trim and AP1 tripped again. Then,
without further action on the part of the crew, the pitch trim control
wheel moved to a position of 14 degrees up (end of travel).
During subsequent bench testing of the motor on one of the
hydraulic systems of the airplane, the positioning pin on the cam plate
was found to be broken. This pin is not designed to carry loads. The
shape of the pin hole indicated that the pin was bent and ruptured.
Further investigation revealed that the pin rupture was caused by
desynchronization of the hydraulic control valves that direct fluid to
the horizontal stabilizer actuator (HSA) motors. Desynchronization of
the hydraulic control valves can result in one hydraulic motor being
pressurized before the other. In this case, the nonpressurized motor
opposes the torque of the motor that is pressurized first, which causes
load to be applied to the positioning pin of the nonpressurized motor.
Consequently, the pin can rupture due to fatigue. Such rupturing of the
positioning pin of one motor can result in jamming of the THS actuator
and can contribute to subsequent failure of the hydraulic system of the
other motor.
These conditions, if not corrected, could result in runaway of the
horizontal stabilizer to its full up or down position, and subsequent
reduced maneuvering capability and a potential pitch upset.
The horizontal stabilizer actuator installed on Model A310 series
airplanes is similar in design to the one installed on Model A300-600
series airplanes. Therefore, the FAA finds that Model A300-600 series
airplanes are subject to the same unsafe condition identified in the
Model A310.
Airbus has issued All Operators Telex (AOT) 27-21, Revision 1,
dated January 5, 1996, which describes procedures for repetitive
inspections to ensure correct synchronization of the hydraulic control
valves of the THS actuators; replacement of the hydraulic motors with
new or serviceable motors and resynchronization of the valves, or
adjustment of the synchronization, if necessary; and a functional test
of the THS.
For airplanes on which the hydraulic motor or hydraulic valve block
of the HSA has been subject to previous maintenance action, the AOT
also describes procedures for replacement of both hydraulic motors of
the HSA with new or serviceable motors.
In lieu of replacing the motors, the AOT also describes procedures
for removal of the hydraulic motors of the HSA, accomplishment of
various follow-on actions, and repair of any discrepancy found. (The
follow-on actions include checking the motors and the cam seats,
assembling the motors, and metal stamping the modification plate of the
motors.)
Additionally, the AOT describes procedures for eventual removal of
certain motors for inspection to detect any wear or damage caused by
desynchronization; and, if necessary, either replacement of the motors
with
[[Page 2698]]
new or serviceable motors, or removal of the motors, accomplishment of
various follow-on actions, and repair of any discrepancy found.
The DGAC classified this AOT as mandatory in order to assure the
continued airworthiness of these airplanes in France.
This airplane model is manufactured in France and is type
certificated for operation in the United States under the provisions of
section 21.29 of the Federal Aviation Regulations (14 CFR 21.29) and
the applicable bilateral airworthiness agreement. Pursuant to this
bilateral airworthiness agreement, the DGAC has kept the FAA informed
of the situation described above. The FAA has examined the findings of
the DGAC, reviewed all available information, and determined that AD
action is necessary for products of this type design that are
certificated for operation in the United States.
Since the unsafe condition described is likely to exist or develop
on other airplanes of the same type design registered in the United
States, the FAA issued Telegraphic AD T96-01-52 to prevent runaway of
the horizontal stabilizer to its full up or down position, subsequent
reduced maneuvering capability, and a potential pitch upset. The AD
requires repetitive inspections to ensure correct synchronization of
the hydraulic control valves of the THS actuator; replacement of the
motors with new or serviceable motors, and resynchronization of the
valves or adjustment of the synchronization, if necessary; and a
functional test of the THS.
In addition, for airplanes on which the hydraulic motor or
hydraulic valve block of the HSA has been subject to previous
maintenance action, this AD requires replacement of both hydraulic
motors of the HSA with new or serviceable motors. If an operator
considers that such maintenance action would not have affected the
synchronization of the valves, the operator may seek approval of an
alternative method of compliance with the AD, in accordance with
paragraph (c) of this AD.
In lieu of replacing the hydraulic motors, this AD provides for
removal of the motors, accomplishment of various follow-on actions, and
repair of any discrepancy found.
The actions are required to be accomplished in accordance with the
AOT described previously.
Operators should note that the Airbus AOT recommends that, within
one year, certain hydraulic motors be removed and inspected for wear or
damage caused by desynchronization. However, this AD does not require
such action. The FAA may consider additional rulemaking to require the
removal and inspection of the motors, but has determined that the
repetitive inspections to ensure correct synchronization of the
hydraulic control valves will maintain an adequate level of safety in
the fleet in the meantime.
Since it was found that immediate corrective action was required,
notice and opportunity for prior public comment thereon were
impracticable and contrary to the public interest, and good cause
existed to make the AD effective immediately by individual telegrams
issued on January 9, 1996, to all known U.S. owners and operators of
Airbus Model A310 and A300-600 series airplanes. These conditions still
exist, and the AD is hereby published in the Federal Register as an
amendment to Sec. 39.13 of the Federal Aviation Regulations (14 CFR
39.13) to make it effective as to all persons.
This is considered to be interim action until final action is
identified, at which time the FAA may consider further rulemaking.
Comments Invited
Although this action is in the form of a final rule that involves
requirements affecting flight safety and, thus, was not preceded by
notice and an opportunity for public comment, comments are invited on
this rule. Interested persons are invited to comment on this rule by
submitting such written data, views, or arguments as they may desire.
Communications shall identify the Rules Docket number and be submitted
in triplicate to the address specified under the caption ADDRESSES. All
communications received on or before the closing date for comments will
be considered, and this rule may be amended in light of the comments
received. Factual information that supports the commenter's ideas and
suggestions is extremely helpful in evaluating the effectiveness of the
AD action and determining whether additional rulemaking action would be
needed.
Comments are specifically invited on the overall regulatory,
economic, environmental, and energy aspects of the rule that might
suggest a need to modify the rule. All comments submitted will be
available, both before and after the closing date for comments, in the
Rules Docket for examination by interested persons. A report that
summarizes each FAA-public contact concerned with the substance of this
AD will be filed in the Rules Docket.
Commenters wishing the FAA to acknowledge receipt of their comments
submitted in response to this rule must submit a self-addressed,
stamped postcard on which the following statement is made: ``Comments
to Docket Number 96-NM-03-AD.'' The postcard will be date stamped and
returned to the commenter.
The regulations adopted herein will not have substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government. Therefore, in
accordance with Executive Order 12612, it is determined that this final
rule does not have sufficient federalism implications to warrant the
preparation of a Federalism Assessment.
The FAA has determined that this regulation is an emergency
regulation that must be issued immediately to correct an unsafe
condition in aircraft, and that it is not a ``significant regulatory
action'' under Executive Order 12866. It has been determined further
that this action involves an emergency regulation under DOT Regulatory
Policies and Procedures (44 FR 11034, February 26, 1979). If it is
determined that this emergency regulation otherwise would be
significant under DOT Regulatory Policies and Procedures, a final
regulatory evaluation will be prepared and placed in the Rules Docket.
A copy of it, if filed, may be obtained from the Rules Docket at the
location provided under the caption ADDRESSES.
List of Subjects in 14 CFR Part 39
Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.
Adoption of the Amendment
Accordingly, pursuant to the authority delegated to me by the
Administrator, the Federal Aviation Administration amends part 39 of
the Federal Aviation Regulations (14 CFR part 39) as follows:
PART 39--AIRWORTHINESS DIRECTIVES
1. The authority citation for part 39 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40113, 44701.
Sec. 39.13 [Amended]
2. Section 39.13 is amended by adding the following new
airworthiness directive:
96-01-52 Airbus: Amendment 39-9491. Docket 96-NM-03-AD.
Applicability: Model A310 and A300-600 series airplanes;
equipped with a trimmable horizontal stabilizer (THS) actuator
having
[[Page 2699]]
part number (P/N) 47142-201 or P/N 47142-203; certificated in any
category.
Note 1: This AD applies to each airplane identified in the
preceding applicability provision, regardless of whether it has been
otherwise modified, altered, or repaired in the area subject to the
requirements of this AD. For airplanes that have been modified,
altered, or repaired so that the performance of the requirements of
this AD is affected, the owner/operator must use the authority
provided in paragraph (c) of this AD to request approval from the
FAA. This approval may address either no action, if the current
configuration eliminates the unsafe condition; or different actions
necessary to address the unsafe condition described in this AD. Such
a request should include an assessment of the effect of the changed
configuration on the unsafe condition addressed by this AD. In no
case does the presence of any modification, alteration, or repair
remove any airplane from the applicability of this AD.
Compliance: Required as indicated, unless accomplished
previously.
To prevent runaway of the horizontal stabilizer to its full up
or down position, subsequent reduced maneuvering capability, and a
potential pitch upset, accomplish the following:
(a) Within 12 days after the effective date of this AD, perform
an inspection to ensure correct synchronization of the hydraulic
control valves of the trimmable horizontal stabilizer (THS)
actuator, in accordance with paragraph 4.2.2.1 of Airbus All
Operators Telex (AOT) 27-21, Revision 1, dated January 5, 1996.
(1) If the actuator is synchronized correctly, prior to further
flight, perform a functional test of the THS in accordance with
paragraph 4.2.2.1 of the AOT. Thereafter, repeat the inspection
required by paragraph (a) of this AD at intervals not to exceed 500
hours time-in-service.
(2) If the actuator is desynchronized slightly, as specified in
the AOT, prior to further flight, adjust the synchronization, and
perform a functional test of the THS, in accordance with paragraph
4.2.2.2 of the AOT. Thereafter, repeat the inspection required by
paragraph (a) of this AD at intervals not to exceed 500 hours time-
in-service.
(3) If the actuator is desynchronized significantly, as
specified in the AOT, prior to further flight, accomplish either
paragraph (a)(3)(i) or (a)(3)(ii) of this AD. Prior to further
flight following the accomplishment of either of those paragraphs,
adjust the synchronization, and perform a functional test of the
THS, in accordance with paragraph 4.2.2.3 of the AOT. Thereafter,
repeat the inspection required by paragraph (a) of this AD at
intervals not to exceed 500 hours time-in-service.
(i) Remove and replace the hydraulic motors of the horizontal
stabilizer actuator (HSA) with new or serviceable motors in
accordance with procedures specified in the Airplane Maintenance
Manual. Or
(ii) Remove the hydraulic motors of the HSA and perform the
various follow-on actions specified in paragraph 4.2.2.4 of the AOT,
in accordance with that paragraph. (The follow-on actions include
checking the motors and the cam seats, assembling the motors, and
metal stamping the modification plate of the motors.) If any
discrepancy is found during the check, prior to further flight,
repair in accordance with paragraph 4.2.2.4 of the AOT.
(b) For airplanes on which any maintenance action relating to a
hydraulic motor or a hydraulic valve block of the HSA has occurred
since the airplane was new: Within 12 days after the effective date
of this AD, accomplish either paragraph (b)(1) or (b)(2) of this AD.
(1) Replace both hydraulic motors of the HSA with new or
serviceable motors in accordance with the procedures specified in
the Airplane Maintenance Manual. Adjust the synchronization, and
perform a functional test of the THS in accordance with paragraph
4.2.2.3 of Airbus AOT 27-21, Revision 1, dated January 5, 1996.
Thereafter, perform the repetitive inspections required by paragraph
(a) of this AD at intervals not to exceed 500 hours time-in-service.
Or
(2) Remove the hydraulic motors of the HSA and perform the
various follow-on actions specified in paragraph 4.2.2.4 of the AOT,
in accordance with that paragraph of the AOT. Adjust the
synchronization, and perform a functional test of the THS in
accordance with paragraph 4.2.2.3 of the AOT. (The follow-on actions
include checking the motors and the cam seats, assembling the
motors, and metal stamping the modification plate of the motors.) If
any discrepancy is found during the check, prior to further flight,
repair in accordance with paragraph 4.2.2.4 of the AOT. Thereafter,
perform the repetitive inspections required by paragraph (a) of this
AD at intervals not to exceed 500 hours time-in-service.
(c) An alternative method of compliance or adjustment of the
compliance time that provides an acceptable level of safety may be
used if approved by the Manager, Standardization Branch, ANM-113,
FAA, Transport Airplane Directorate. Operators shall submit their
requests through an appropriate FAA Principal Maintenance Inspector,
who may add comments and then send it to the Manager,
Standardization Branch, ANM-113.
Note 2: Information concerning the existence of approved
alternative methods of compliance with this AD, if any, may be
obtained from the Standardization Branch, ANM-113.
(d) Special flight permits may be issued in accordance with
sections 21.197 and 21.199 of the Federal Aviation Regulations (14
CFR 21.197 and 21.199) to operate the airplane to a location where
the requirements of this AD can be accomplished.
(e) The actions shall be done in accordance with Airbus All
Operators Telex (AOT) 27-21, Revision 1, dated January 5, 1996. This
incorporation by reference was approved by the Director of the
Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part
51. Copies may be obtained from Airbus Industrie, 1 Rond Point
Maurice Bellonte, 31707 Blagnac Cedex, France. Copies may be
inspected at the FAA, Transport Airplane Directorate, 1601 Lind
Avenue SW., Renton, Washington; or at the Office of the Federal
Register, 800 North Capitol Street NW., suite 700, Washington, DC.
(f) This amendment becomes effective on February 5, 1996, to all
persons except those persons to whom it was made immediately
effective by telegraphic AD T96-01-52, issued January 9, 1996, which
contained the requirements of this amendment.
Issued in Renton, Washington, on January 12, 1996.
Darrell M. Pederson,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 96-591 Filed 1-26-96; 8:45 am]
BILLING CODE 4910-13-U
Complete official Federal Register PDF
FR Doc. 96-1573 Airworthiness Directives; Michelin Aircraft Tire Corporation Part Number 028-520-1 (22x5.75-12/10PR) Tires Installed on the Main Landing Gear of Airplanes
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2706-2708]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1573]
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DEPARTMENT OF TRANSPORTATION
14 CFR Part 39
[Docket No. 95-CE-88-AD; Amendment 39-9500; AD 95-24-10]
Airworthiness Directives; Michelin Aircraft Tire Corporation Part
Number 028-520-1 (22x5.75-12/10PR) Tires Installed on the Main Landing
Gear of Airplanes
AGENCY: Federal Aviation Administration, DOT.
ACTION: Final rule; request for comments.
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SUMMARY: This document publishes in the Federal Register an amendment
adopting Airworthiness Directive (AD) 95-24-10, which was sent
previously to all known U.S. owners and operators of airplanes with a
Michelin Aircraft Tire Corporation part number (P/N) 028-520-1
(22x5.75-12/10PR) tire installed on the main landing gear. This AD
requires replacing any of the affected tires with an FAA-approved tire.
Two reports of failure (rupture) of the main landing gear tire during
landing operations on Cessna Citation VII airplanes prompted priority
letter AD 95-24-10. The actions specified by this AD are intended to
prevent loss of control of the airplane during landing operations
because of failure of a P/N 028-520-1 (22x5.75-12/10PR) tire.
DATES: Effective February 21, 1996, to all persons except those to whom
it was made immediately effective by priority letter AD 95-24-10,
issued November 21, 1995, which contained the requirements of this
amendment.
Comments for inclusion in the Rules Docket must be received on or
before April 30, 1996.
ADDRESSES: Submit comments in triplicate to the Federal Aviation
Administration (FAA), Central Region, Office of the Assistant Chief
Counsel, Attention: Rules Docket 95-CE-88-AD, Room 1558, 601 E. 12th
Street, Kansas City, Missouri 64106.
Information that relates to this AD may be examined at the Rules
Docket at the address above, or at the Office of the Federal Register,
800 North Capitol Street NW., 7th Floor, suite 700, Washington, DC.
FOR FURTHER INFORMATION CONTACT: Ms. Denise Bosonetto, Aerospace
Engineer,
[[Page 2707]]
FAA, Atlanta Aircraft Certification Office, Campus Building, 1701
Columbia Avenue, suite 2-160, College Park, Georgia 30337-2748;
telephone (404) 305-7379; facsimile (404) 305-7348.
SUPPLEMENTARY INFORMATION: The FAA has received two reports of failure
(rupture) of the main landing gear tire during landing operations on
Cessna Citation VII airplanes. Analysis of these incidents revealed the
following:
--The tires, P/N 028-520-1 (22x5.75-12/10PR), were manufactured by the
Michelin Aircraft Tire Corporation (FAA Manufacturing Approval: TSO-
C62c);
--The cause of the failure is attributed to separations that developed
in the crown region of the tire with the rubber component below the
tread reinforcing plies;
--The separations are attributed to low adhesion caused by a misplaced
rubber compound; and
--A check of the company records reveals that a total of 137 tires were
manufactured in this lot and the remaining 135 tires could contain this
same low adhesion problem.
The P/N 028-520-1 (22x5.75-12/10PR) tires are predominantly
installed on Cessna Model 650 (Citation III, VI, and VII) airplanes;
however, they could be installed on other airplanes.
After reviewing and examining all available information to the
incidents received above, the FAA has determined that (1) the remaining
135 tires manufactured in the lot that could have a possible low
adhesion problem should be removed from service; and (2) AD action
should be taken to prevent loss of control of the airplane during
landing operations because of failure of a Michelin Aircraft Tire
Corporation P/N 028-520-1 (22x5.75-12/10PR) tire.
Since an unsafe condition has been identified that is likely to
exist or develop in other airplanes that are equipped with at least one
Michelin Aircraft Tire Corporation P/N 028-520-1 (22x5.75-12/10PR) tire
(serial numbers as referenced in the actual AD) installed on the main
landing gear, the FAA issued priority letter AD 95-24-10 to require
replacing any of the affected tires with an FAA-approved tire.
Since it was found that immediate corrective action was required,
notice and opportunity for prior public comment thereon were
impracticable and contrary to the public interest, and good cause
existed to make the AD effective immediately by individual letters
issued on November 21, 1995, to all known U.S. operators of airplanes
with a Michelin Aircraft Tire Corporation P/N 028-520-1 (22x5.75-12/
10PR) tires installed on the main landing gear. These conditions still
exist, and the AD is hereby published in the Federal Register as an
amendment to section 39.13 of the Federal Aviation Regulations (14 CFR
39.13) to make it effective as to all persons.
Comments Invited
Although this action is in the form of a final rule that involves
requirements affecting immediate flight safety and, thus, was not
preceded by notice and opportunity to comment, comments are invited on
this rule. Interested persons are invited to comment on this rule by
submitting such written data, views, or arguments as they may desire.
Communications should identify the Rules Docket number and be submitted
in triplicate to the address specified above. All communications
received on or before the closing date for comments will be considered,
and this rule may be amended in light of the comments received. Factual
information that supports the commenter's ideas and suggestions is
extremely helpful in evaluating the effectiveness of the AD action and
determining whether additional rulemaking action would be needed.
Comments are specifically invited on the overall regulatory,
economic, environmental, and energy aspects of the rule that might
suggest a need to modify the rule. All comments submitted will be
available, both before and after the closing date for comments, in the
Rules Docket for examination by interested persons. A report that
summarizes each FAA-public contact concerned with the substance of this
AD will be filed in the Rules Docket.
Commenters wishing the FAA to acknowledge receipt of their comments
submitted in response to this rule must submit a self-addressed,
stamped postcard on which the following statement is made: ``Comments
to Docket No. 95-CE-88-AD.'' The postcard will be date stamped and
returned to the commenter.
The regulations adopted herein will not have substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government. Therefore, in
accordance with Executive Order 12612, it is determined that this final
rule does not have sufficient federalism implications to warrant the
preparation of a Federalism Assessment.
The FAA has determined that this regulation is an emergency
regulation that must be issued immediately to correct an unsafe
condition in aircraft, and is not a ``significant regulatory action''
under Executive Order 12866. It has been determined further that this
action involves an emergency regulation under DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979). If it is determined
that this emergency regulation otherwise would be significant under DOT
Regulatory Policies and Procedures, a final regulatory evaluation will
be prepared and placed in the Rules Docket. A copy of it, if filed, may
be obtained from the Rules Docket at the location provided under the
caption ADDRESSES.
List of Subjects in 14 CFR Part 39
Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety
Adoption of the Amendment
Accordingly, pursuant to the authority delegated to me by the
Administrator, the Federal Aviation Administration amends part 39 of
the Federal Aviation Regulations (14 CFR part 39) as follows:
PART 39--AIRWORTHINESS DIRECTIVES
1. The authority citation for part 39 continues to read as follows:
Authority: 49 USC 106(g), 40113, 44701.
Sec. 39.13 [Amended]
2. Section 39.13 is amended by adding a new airworthiness directive
(AD) to read as follows:
95-24-10 Michelin Aircraft Corporation: Amendment 39-9500; Docket
No. 95-CE-88-AD.
Applicability: Part number (P/N) 028-520-1 (22x5.75-12/10PR)
tires with the following serial numbers that are installed on the
main landing gear of, but not limited to, Cessna Model 650 (Citation
III, VI, and VII) airplanes that are certificated in any category:
Serial Nos.
4279N00339 4279N00340 4279N00341 4279N00342 4279N00343 4279N00597
4279N00598 4279N00599 4279N00600 4279N00601 4280N00075 4280N00199
4280N00200 4280N00201 4280N00203 4280N00204 4280N00205 4280N00206
4280N00360 4280N00361 4282N00352 4283N00099 4283N00100 4283N00101
4283N00102 4283N00200 4283N00201 4283N00202 4283N00453 4283N00454
4283N00455 4283N00456 4284N00612 4284N00613 4284N00614 4284N00615
4284N00616 4285N00100 4285N00101 4285N00102 4285N00103 4285N00104
4285N00105 4285N00106 4285N00107 4285N00108 4285N00347 4285N00348
4285N00349 4285N00353 4285N00354 4285N00355 4285N00356 4285N00608
4285N00609 4286N00103 4286N00104
[[Page 2708]]
4286N00105 4286N00106 4286N00442 4286N00443 4286N00444 4286N00445
4286N00446 4286N00447 4286N00448 4286N00449 4286N00450 4286N00600
4286N00601 4286N00602 4286N00603 4286N00604 4286N00605 4286N00606
4286N00608 4286N00609 4287N00088 4287N00089 4287N00090 4287N00091
4287N00092 4287N00093 4287N00094 4287N00095 4287N00096 4287N00097
4287N00357 4287N00358 4287N00359 4287N00360 4287N00361 4287N00362
4287N00363 4287N00364 4288N00118 4288N00119 4288N00120 4288N00121
4288N00302 4288N00303 4288N00304 4288N00305 4288N00306 4288N00307
4290N00111 4290N00113 4290N00114 4290N00115 4290N00116 4290N00117
4290N00355 4290N00356 4290N00606 4290N00607 4290N00608 4290N00609
4290N00610 4290N00611 4290N00612 4291N00082 4291N00083 4291N00084
4291N00085 4291N00086 4291N00087 4291N00088 4291N00089 4291N00091
4291N00273 4291N00274 4291N00275 4291N00276 4291N00277 4291N00278
4291N00620 4291N00621
Note 1: This AD applies to each tire identified in the preceding
applicability provision that is installed on an airplane, regardless
of whether it has been modified, altered, or repaired in the area
subject to the requirements of this AD. For airplanes that have been
modified, altered, or repaired so that the performance of the
requirements of this AD is affected, the owner/operator must request
approval for an alternative method of compliance in accordance with
paragraph (c) of this AD. The request should include an assessment
of the effect of the modification, alteration, or repair on the
unsafe condition addressed by this AD; and, if the unsafe condition
has not been eliminated, the request should include specific
proposed actions to address it.
Compliance: Required prior to further flight after the effective
date of this AD (see NOTE 2), except to those operators receiving
this action by priority letter issued November 21, 1995, which made
these actions effective immediately upon receipt.
To prevent loss of control of the airplane during landing
operations because of P/N 028-520-1 (22x5.75-12/10PR) tire failure,
accomplish the following:
(a) Replace any of the P/N 028-520-1 (22x5.75-12/10PR) tires
identified in the Applicability section of this AD with an FAA-
approved tire.
(b) Special flight permits may be issued in accordance with
sections 21.197 and 21.199 of the Federal Aviation Regulations (14
CFR 21.197 and 21.199) to operate the airplane to a location where
the requirements of this AD can be accomplished.
(c) An alternative method of compliance or adjustment of the
compliance time that provides an equivalent level of safety may be
approved by the Manager, Atlanta Aircraft Certification Office
(ACO), Campus Building, 1701 Columbia Avenue, suite 2-160, College
Park, Georgia 30337-2748. The request shall be forwarded through an
appropriate FAA Maintenance Inspector, who may add comments and then
send it to the Manager, Atlanta ACO.
Note 2: Information concerning the existence of approved
alternative methods of compliance with this AD, if any, may be
obtained from the Atlanta ACO.
(d) Information that applies to this AD may be examined at the
FAA, Central Region, Office of the Assistant Chief Counsel, Room
1558, 601 E. 12th Street, Kansas City, Missouri 64106.
(e) This amendment (39-9500) becomes effective on February 21,
1996, to all persons except those persons to whom it was made
immediately effective by priority letter AD 95-24-10, issued
November 21, 1995, which contained the requirements of this
amendment.
Issued in Kansas City, Missouri, on January 23, 1996.
John R. Colomy,
Acting Manager, Small Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 96-1573 Filed 1-26-96; 8:45 am]
BILLING CODE 4910-13-U
Complete official Federal Register PDF
FR Doc. 96-1571 Airworthiness Directives; Allied Signal Commercial Avionics Systems CAS-81 Traffic Alert and Collision Avoidance Systems (TCAS) as Installed in, but Not Limited to, Various Transport Category Airplanes
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2699-2701]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1571]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
14 CFR Part 39
[Docket No. 95-NM-270-AD; Amendment 39-9495; AD 95-26-15]
Airworthiness Directives; Allied Signal Commercial Avionics
Systems CAS-81 Traffic Alert and Collision Avoidance Systems (TCAS) as
Installed in, but Not Limited to, Various Transport Category Airplanes
AGENCY: Federal Aviation Administration, DOT.
ACTION: Final rule; request for comments.
-----------------------------------------------------------------------
SUMMARY: This document publishes in the Federal Register an amendment
adopting an airworthiness directive that was sent previously by
individual letters to all known U.S. owners and operators of various
transport category airplanes equipped with Allied Signal Commercial
Avionics Systems CAS-81 TCAS. This amendment is prompted by reports of
failure of the audio output of the CAS-81 TCAS. This AD requires a
revision to the Airplane Flight Manual to provide the flightcrew with
procedures to cycle power to the TCAS processor via the circuit breaker
or power bus, and to perform a TCAS functional test to verify proper
operation of the TCAS. The actions specified by this AD are intended to
ensure that the flightcrew is advised of the potential hazard
associated with failure of the audio output of the CAS-81 TCAS, and of
the procedures necessary to address it.
DATES: Effective February 5, 1996.
Comments for inclusion in the Rules Docket must be received on or
before March 29, 1996.
ADDRESSES: Submit comments in triplicate to the Federal Aviation
Administration (FAA), Transport Airplane Directorate, ANM-103,
Attention: Rules Docket No. 95-NM-270-AD, 1601 Lind Avenue SW., Renton,
Washington 98055-4056.
This information concerning this amendment may be obtained from or
[[Page 2700]]
examined at the FAA, Transport Airplane Directorate, 1601 Lind Avenue
SW., Renton, Washington; or at the FAA, Small Airplane Directorate,
Atlanta Aircraft Certification Office, Campus Building, Suite 2-160,
1701 Columbia Avenue, College Park, Georgia.
FOR FURTHER INFORMATION CONTACT: David Gollings, Flight Test Pilot,
Systems and Flight Test Branch, ACE-116A, FAA, Atlanta Aircraft
Certification Office, Campus Building, Suite 2-160, 1701 Columbia
Avenue, College Park, Georgia 30337-2748; telephone (404) 305-7370; fax
(404) 305-7348.
SUPPLEMENTARY INFORMATION: On December 26, 1995, the FAA issued
priority letter AD 95-26-15, applicable to Allied Signal Commercial
Avionics Systems CAS-81 Traffic Alert and Collision Avoidance Systems
(TCAS) that are installed in, but not limited to, various transport
category airplanes. That action requires a revision to the FAA-approved
Airplane Flight Manual (AFM) to provide the flightcrew with procedures
to cycle power to the TCAS processor via the circuit breaker or power
bus, and to perform a TCAS functional test to verify proper operation
of the TCAS. That action was prompted by reports of failure of the
audio output of the CAS-81 TCAS.
During bench testing, the parts manufacturer identified a capacitor
in the audio output circuit that continued to build charge as long as
the system was powered. The capacitor biases the audio circuit and
causes failure of the audio output. The absence of audio output can
occur after the TCAS has been powered without interruption for
approximately 12 hours. Power interrupts (intentional or unintentional)
tend to relieve the failure condition by causing the capacitor to
discharge. This condition, if not corrected, could result in a critical
reduction of the reliability of the CAS-81 TCAS to perform its
collision avoidance function.
Since the unsafe condition described is likely to exist or develop
on other airplanes of the same type design, the FAA issued priority
letter AD 95-26-15 to ensure that the flightcrew is advised of the
potential hazard associated with failure of the audio output of the
CAS-81 TCAS, and of the procedures necessary to address it. The AD
requires a revision to the AFM to provide the flightcrew with
procedures to cycle power to the TCAS processor via the circuit breaker
or power bus prior to the first flight of the day, prior to the
accumulation of 10 hours of uninterrupted power, and at the mid-point
of any one flight scheduled to exceed 10 hours. Additionally, the AD
requires that, prior to taxi before takeoff, a functional test must be
accomplished to verify proper operation of the TCAS.
Since it was found that immediate corrective action was required,
notice and opportunity for prior public comment thereon were
impracticable and contrary to the public interest, and good cause
existed to make the AD effective immediately by individual letters
issued on December 26, 1995, to all known U.S. owners and operators of
various transport category airplanes equipped with Allied Signal
Commercial Avionics Systems CAS-81 TCAS. These conditions still exist,
and the AD is hereby published in the Federal Register as an amendment
to section 39.13 of the Federal Aviation Regulations (14 CFR 39.13) to
make it effective to all persons.
This is considered to be interim action. The manufacturer has
advised that it currently is developing a modification that will
positively address the unsafe condition addressed by this AD. Once this
modification is developed, approved, and available, the FAA may
consider additional rulemaking.
Comments Invited
Although this action is in the form of a final rule that involves
requirements affecting flight safety and, thus, was not preceded by
notice and an opportunity for public comment, comments are invited on
this rule. Interested persons are invited to comment on this rule by
submitting such written data, views, or arguments as they may desire.
Communications shall identify the Rules Docket number and be submitted
in triplicate to the address specified under the caption ADDRESSES. All
communications received on or before the closing date for comments will
be considered, and this rule may be amended in light of the comments
received. Factual information that supports the commenter's ideas and
suggestions is extremely helpful in evaluating the effectiveness of the
AD action and determining whether additional rulemaking action would be
needed.
Comments are specifically invited on the overall regulatory,
economic, environmental, and energy aspects of the rule that might
suggest a need to modify the rule. All comments submitted will be
available, both before and after the closing date for comments, in the
Rules Docket for examination by interested persons. A report that
summarizes each FAA-public contact concerned with the substance of this
AD will be filed in the Rules Docket.
Commenters wishing the FAA to acknowledge receipt of their comments
submitted in response to this rule must submit a self-addressed,
stamped postcard on which the following statement is made: ``Comments
to Docket Number 95-NM-270-AD.'' The postcard will be date stamped and
returned to the commenter.
The regulations adopted herein will not have substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government. Therefore, in
accordance with Executive Order 12612, it is determined that this final
rule does not have sufficient federalism implications to warrant the
preparation of a Federalism Assessment.
The FAA has determined that this regulation is an emergency
regulation that must be issued immediately to correct an unsafe
condition in aircraft, and that it is not a ``significant regulatory
action'' under Executive Order 12866. It has been determined further
that this action involves an emergency regulation under DOT Regulatory
Policies and Procedures (44 FR 11034, February 26, 1979). If it is
determined that this emergency regulation otherwise would be
significant under DOT Regulatory Policies and Procedures, a final
regulatory evaluation will be prepared and placed in the Rules Docket.
A copy of it, if filed, may be obtained from the Rules Docket at the
location provided under the caption ADDRESSES.
List of Subjects in 14 CFR Part 39
Air transportation, Aircraft, Aviation safety, Safety.
Adoption of the Amendment
Accordingly, pursuant to the authority delegated to me by the
Administrator, the Federal Aviation Administration amends part 39 of
the Federal Aviation Regulations (14 CFR part 39) as follows:
PART 39--AIRWORTHINESS DIRECTIVES
1. The authority citation for part 39 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40113, 44701.
[[Page 2701]]
Sec. 39.13 [Amended]
2. Section 39.13 is amended by adding the following new
airworthiness directive:
95-26-15 Allied Signal Commercial Avionics Systems: Amendment 39-
9495 Docket 95-NM-270-AD.
Applicability: All CAS-81 Traffic Alert and Collision Avoidance
Systems (TCAS) that are installed in, but not limited to, the
following airplanes, certificated in any category:
Aerospatiale Models ATR42 and ATR72 series airplanes;
Airbus Industries Models A300, A310, and A340 series airplanes;
Beech Models 1900 and BE-65 through -90 (inclusive) series
airplanes;
Boeing Models 727-100, 727-200, 737-200, 737-300, 737-400, 737-500,
747-100, 747-200, 747-300, 747-400, 747SP, 757-200, 767-200, and
767-300 series airplanes;
Convair Model CV-580 airplanes;
de Havilland Model DHC-7 series airplanes and Model DHC-8-100
airplanes;
EMBRAER Model EMB-120 series airplanes;
Fairchild Model F227 airplanes;
Fokker Models F28 Mark 100, Mark 1000, and Mark 4000 series
airplanes;
General Dynamics Models Convair 340 and 440 airplanes;
Gulfstream Models G-159 and G-IV airplanes;
Lockheed Model L-1011 series airplanes;
McDonnell Douglas Models DC-8-60, DC-9-31, DC-9-51, DC-10-10, DC-10-
30, DC-10-30F, MD-11, and MD-80 series airplanes;
Rockwell International NA-265-65 airplanes;
Saab Model 340 series airplanes; and
Shorts Model 360 series airplanes.
Note 1: This AD applies to, but is not limited to, each airplane
identified in the preceding applicability provision, regardless of
whether it has been modified, altered, or repaired in the area
subject to the requirements of this AD. For airplanes that have been
modified, altered, or repaired so that the performance of the
requirements of this AD is affected, the owner/operator must use the
authority provided in paragraph (b) of this AD to request approval
from the FAA. This approval may address either no action, if the
current configuration eliminates the unsafe condition; or different
actions necessary to address the unsafe condition described in this
AD. Such a request should include an assessment of the effect of the
changed configuration on the unsafe condition addressed by this AD.
In no case does the presence of any modification, alteration, or
repair remove any affected airplane from the applicability of this
AD.
Compliance: Required as indicated, unless accomplished
previously.
To ensure that the flightcrew is advised of the potential hazard
associated with failure of the audio output of the CAS-81 TCAS, and
of the procedures necessary to address it, accomplish the following:
(a) Within 3 calendar days after receipt of this AD, revise the
Limitations Section of the FAA-approved Airplane Flight Manual (AFM)
to include the following. This may be accomplished by inserting a
copy of this AD in the AFM.
``In order to ensure that the audio output of the CAS-81 TCAS
operates properly, accomplish the following:
Prior to the first flight of the day; prior to the
accumulation of 10 hours of uninterrupted power; and at the mid-
point of any one flight scheduled to exceed 10 hours: Cycle the
power to the TCAS processor via the circuit breaker or power bus.
Prior to taxi before takeoff: Initiate the TCAS
functional test in accordance with AFM procedures to verify
operational condition of the CAS-81 TCAS.''
(b) An alternative method of compliance or adjustment of the
compliance time that provides an acceptable level of safety may be
used if approved by the Manager, FAA, Atlanta Aircraft Certification
Office. Operators shall submit their requests through an appropriate
FAA Principal Operations Inspector, who may add comments and then
send it to the Manager, Atlanta ACO.
Note 2: Information concerning the existence of approved
alternative methods of compliance with this AD, if any, may be
obtained from the Atlanta ACO.
(c) Special flight permits may be issued in accordance with
sections 21.197 and 21.199 of the Federal Aviation Regulations (14
CFR 21.197 and 21.199) to operate the airplane to a location where
the requirements of this AD can be accomplished.
(d) This amendment becomes effective on February 5, 1996.
Issued in Renton, Washington, on January 22, 1996.
Darrell M. Pederson,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 96-1571 Filed 1-26-96; 8:45 am]
BILLING CODE 4910-13-U
Complete official Federal Register PDF
FR Doc. 96-1545 Clean Air Act Final Full Approval of Operating Permits Program; State of South Dakota
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2720-2722]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1545]
=======================================================================
-----------------------------------------------------------------------
ENVIRONMENTAL PROTECTION AGENCY
40 CFR Part 70
[SD-001; FRL-5406-1]
Clean Air Act Final Full Approval of Operating Permits Program;
State of South Dakota
AGENCY: Environmental Protection Agency (EPA).
ACTION: Final full approval.
-----------------------------------------------------------------------
SUMMARY: The EPA is promulgating final full approval of the Operating
Permits Program submitted by the State of South Dakota for the purpose
of complying with Federal requirements for an approvable State Program
to issue operating permits to all major stationary sources, and to
certain other sources.
EFFECTIVE DATE: February 28, 1996.
ADDRESSES: Copies of the State's submittal and other supporting
[[Page 2721]]
information used in developing the final full approval are available
for inspection during normal business hours at the following location:
U.S. Environmental Protection Agency, Region 8, 999 18th Street, suite
500, Denver, Colorado 80202.
FOR FURTHER INFORMATION CONTACT: Patricia Reisbeck, 8ART-AP, U.S.
Environmental Protection Agency, Region 8, 999 18th Street, suite 500,
Denver, Colorado 80202, (303) 312-6441.
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 (``the Act'')), and implementing regulations at 40
Code of Federal Regulations (CFR) part 70 (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 one
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 two years.
If EPA has not fully approved a program by two years after the November
15, 1993 date, or by the end of an interim program, it must establish
and implement a Federal program.
On September 21, 1995, EPA published a Federal Register notice
proposing full approval of the Operating Permits Program (PROGRAM) for
the State of South Dakota. See 60 FR 48942. EPA received one public
comment on the proposal, which is addressed below, and is taking final
action to promulgate full approval of the South Dakota PROGRAM.
II. Final Action and Implications
A. Analysis of State Submission
The Governor of South Dakota's designee, Robert E. Roberts,
Secretary of the Department of Environment and Natural Resources,
submitted the State of South Dakota Title V Operating Permit Program
(PROGRAM) to EPA on November 12, 1993. On March 22, 1995, EPA published
a Federal Register document promulgating final interim approval of the
South Dakota PROGRAM. See 60 FR 15066. Full approval of the South
Dakota PROGRAM was not possible at that time due to the following issue
identified during EPA's PROGRAM review: The State's criminal
enforcement statute only allowed for a maximum penalty of $1,000 for
failure to obtain a permit and $500 for violation of a permit
condition. The State was required to adopt legislation consistent with
Sec. 70.11, prior to receiving full PROGRAM approval, to allow for a
maximum criminal fine of not less than $10,000 per day per violation
for knowing violation of operating permit requirements, including
making a false statement and tampering with a monitoring device. In a
letter dated April 21, 1995, the State submitted evidence that this
corrective action had been completed, which EPA has reviewed and has
determined to be adequate to allow for full PROGRAM approval. This
corrective action included the adoption of Senate Bill 36 by the South
Dakota Legislature which contains the necessary language to allow for
criminal penalties consistent with Sec. 70.11.
Requirements for approval, specified in 40 CFR 70.4(b), encompass
section 112(l)(5) requirements for approval of a program for delegation
of the provisions of 40 CFR part 63, Subpart A, and section 112
standards promulgated by EPA. 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. EPA granted approval of the State's
PROGRAM, under section 112(l)(5) and 40 CFR 63.91, for receiving
delegation of section 112 standards that are unchanged from the Federal
standards as promulgated for part 70 sources in the Federal Register
document promulgating final interim approval of the South Dakota
PROGRAM. See 60 FR 15066. Based on a State request, EPA is granting the
expansion of this approval to include non-part 70 sources. EPA believes
this is warranted because State law does not differentiate between part
70 and non-part 70 sources for purposes of implementation and
enforcement of section 112 standards that the State adopts. This
approval does not delegate authority to the State to enforce specific
section 112 standards, but instead establishes a basis for the State to
request and receive future delegation of authority to implement and
enforce, for non-part 70 sources, section 112 standards that the State
adopts without change.
The scope of the PROGRAM and all of the clarifications made in the
Federal Register document proposing interim approval of the South
Dakota PROGRAM still apply. See 60 FR 2917.
B. Response to Comments
The comment received on the September 21, 1995 Federal Register
notice proposing full approval of the South Dakota PROGRAM, and EPA's
response to that comment, is as follows:
Comment: The commenter noted that EPA had indicated in its proposal
that approval of South Dakota's PROGRAM would not extend to any lands
within Indian Country. The commenter, apparently referring to South
Dakota's submission to EPA asserting jurisdiction to enforce a part 70
PROGRAM within Indian reservations, expressed ``opposition to South
Dakota's proposal, insofar as it claims authority over lands within the
boundaries of the Standing Rock Sioux Reservation.'' The commenter
asserted that South Dakota's jurisdictional arguments ignore the
express language of the Act and the territorial component of Tribal
sovereignty. The commenter cited various Supreme Court cases and
provisions of the Act. The commenter urged EPA to reject South Dakota's
effort to assert jurisdiction on Indian reservation lands.
EPA Response: The commenter correctly noted that EPA's proposal to
fully approve the State's part 70 PROGRAM does not extend to ``Indian
Country,'' as defined in 18 U.S.C. 1151. EPA does not believe the
commenter was making an adverse comment on this aspect of EPA's
proposed action, and this final action makes no changes to this aspect
of the proposal. As noted in the proposal and in this action, the State
has asserted it has jurisdiction to enforce a PROGRAM within Indian
reservations and has provided an analysis of such jurisdiction.
However, EPA is not acting on the State's analysis in this action.
Thus, EPA does not believe the commenter's objections to the State's
jurisdictional assertions are directly pertinent to this action and
will not respond to them here. The commenter may wish to re-submit such
comments at the time EPA proposes action on the State's jurisdictional
analysis.
C. Final Action
The EPA is promulgating full approval of the Operating Permits
Program submitted by the State of South Dakota on November 12, 1993.
Among other things, South Dakota 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. EPA is also approving the
expansion of South Dakota's PROGRAM for receiving
[[Page 2722]]
delegation of section 112 standards to include non-part 70 sources.
The scope of South Dakota's PROGRAM that EPA is approving in this
notice does not extend to ``Indian Country,'' as defined in 18 U.S.C.
1151, including the following ``existing or former'' Indian
reservations in the State: 1. Cheyenne River; 2. Crow Creek; 3.
Flandreau; 4. Lower Brule; 5. Pine Ridge; 6. Rosebud; 7. Sisseton; 8.
Standing Rock; and 9. Yankton.
The State has asserted it has jurisdiction to enforce a PROGRAM
within some or all of these ``existing or former'' Indian reservations
and has provided an analysis of such jurisdiction. EPA is in the
process of evaluating the State's analysis and will issue a
supplemental notice regarding this issue in the future. Before EPA
would approve the State's PROGRAM for any portion of ``Indian
Country,'' EPA would have to be satisfied that the State has authority,
either pursuant to explicit Congressional authorization or applicable
principles of Federal Indian law, to enforce its laws against existing
and potential pollution sources within any geographical area for which
it seeks program approval and that such approval would constitute sound
administrative practice. This is a complex and controversial issue and
EPA does not wish to delay full approval of the State's PROGRAM with
respect to undisputed sources while EPA resolves this question.
In deferring final action on PROGRAM approval for sources located
in ``Indian Country,'' EPA is not making a determination that the State
either has adequate jurisdiction or lacks such jurisdiction. Instead,
EPA is deferring judgment regarding this issue pending EPA's evaluation
of the State's analysis.
III. Administrative Requirements
A. Docket
Copies of the State's submittal and other information relied upon
for the final full approval, including public comments received and
reviewed by EPA on the proposal, are maintained in a docket 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 full approval. The docket is available for
public inspection at the location listed under the ADDRESSES section of
this document.
B. Executive Order 12866
The Office of Management and Budget has exempted this action from
Executive Order 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 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 this proposed approval 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.
List of Subjects in 40 CFR Part 70
Environmental protection, Administrative practice and procedure,
Air pollution control, Intergovernmental relations, Operating permits,
Reporting and recordkeeping requirements.
Dated: December 14, 1995.
Jack W. McGraw,
Acting Regional Administrator.
Part 70, chapter I, title 40 of the Code of Federal Regulations is
amended as follows:
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 South
Dakota in alphabetical order to read as follows:
Appendix A to Part 70--Approval Status of State and Local Operating
Permits Programs
* * * * *
South Dakota
(a) South Dakota Department of Environment and Natural
Resources--Division of Environmental Regulations: submitted on
November 12, 1993; effective on February 28, 1996.
(b) (reserved)
[FR Doc. 96-1545 Filed 1-26-96; 8:45 am]
BILLING CODE 6560-50-P
Complete official Federal Register PDF
FR Doc. 96-1540 Toxic Chemical Release Reporting; Community Right-To-Know; Additional Time to Report
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2722-2723]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1540]
-----------------------------------------------------------------------
ENVIRONMENTAL PROTECTION AGENCY
40 CFR Part 372
[OPPTS-400100; FRL-4995-4]
Toxic Chemical Release Reporting; Community Right-To-Know;
Additional Time to Report
AGENCY: Environmental Protection Agency (EPA).
ACTION: Time extensions for submission of reports.
-----------------------------------------------------------------------
SUMMARY: EPA is announcing that it will allow facilities required to
submit Toxic Release Inventory (TRI) reports for calendar year 1995
until August 1, 1996, to file those reports. These TRI reports under
section 313 of the Emergency Planning and Community Right-to-Know Act
and section 6607 of the Pollution Prevention Act would otherwise be due
on or before July 1, 1996. Because of unforeseen circumstances beyond
the control of EPA, EPA has been delayed in developing and distributing
the reporting package, which includes extensive materials and guidance
for preparing TRI reports, for the 1995 reporting year. To allow
facilities adequate time to prepare and submit complete and accurate
TRI reports, EPA is allowing facilities an extra month in which to
report.
FOR FURTHER INFORMATION CONTACT: Maria J. Doa, 202-260-9592, e-mail:
[email protected], for specific information on this notice, or
for more information on EPCRA section 313, the Emergency Planning and
Community Right-to-Know Hotline, Environmental Protection Agency, Mail
Code 5101, 401 M St., SW., Washington, DC 20460, Toll free: 1-800-535-
0202, in Virginia and Alaska: 703-412-9877 or Toll free TDD: 1-800-553-
7672.
SUPPLEMENTARY INFORMATION:
I. Background
Section 313 of the Emergency Planning and Community Right-to-Know
Act of 1986, 42 U.S.C. 11023 (EPCRA, which is also referred to as
[[Page 2723]]
Title III of the Superfund Amendments and Reauthorization Act of 1986
[Pub. L. 99-499]), requires certain facilities manufacturing,
processing, or otherwise using listed toxic chemicals to report their
environmental releases of such chemicals annually. Such facilities also
must report pollution prevention and recycling data for such chemicals,
pursuant to section 6607 of the Pollution Prevention Act (PPA), 42
U.S.C. 13106. EPCRA section 313 and PPA section 6607 require that
covered facilities report this information on or before July 1 of each
year for activities at those facilities during the previous calendar
year. EPA is required to put the EPCRA section 313/PPA section 6607
information in an electronic data base that is accessible to the
public. This data base is commonly referred to as the Toxics Release
Inventory (TRI). State and local governments, industry, non-government
organizations, and the public make extensive use of this data base.
Until 1995, TRI reporting was required for 368 chemicals and
chemical categories. On November 30, 1994, EPA promulgated final rules
that added 286 chemicals and chemical categories of chemicals to the
list of toxic chemicals for which reporting is required under EPCRA
section 313 and PPA section 6607 (59 FR 61432), and provided an
alternate threshold for certain reporting (59 FR 61488). The addition
of these chemicals and categories of chemicals in 1994 almost doubled
the number of toxic chemicals subject to TRI reporting for calendar
1995. In addition, EPA believes that many facilities will be reporting
for the first time. Calendar year 1995 is the first year for which
covered facilities are required to submit information on releases under
EPCRA section 313 and pollution prevention and recycling data under PPA
section 6607 for the newly added chemicals and categories. It is also
the first year in which facilities can make use of the alternate
reporting threshold. Under EPCRA section 313 and PPA section 6607,
these reports are due by July 1, 1996.
Each year, prior to the reporting deadline, EPA develops and sends
to facilities a reporting package containing the current TRI reporting
form (Form R), the list of toxic chemicals subject to reporting, and
instructions for reporting. In recent years, the package has also
included a computer diskette containing an automated Form R for
electronic reporting. This year's package will also contain a special
form for alternate threshold reporting. EPA has found that providing
this extensive reporting package reduces confusion and the number of
reporting errors, and expedites the whole reporting process. In the
past, these packages have been distributed by early March of the year
in which reports are due to allow adequate time for review and use by
the reporting facilities.
II. Additional Time to Report for 1995
Because Congress and the President, to date, have not approved an
appropriations bill for EPA for fiscal year 1996, EPA has been
operating since October 1, 1995, under a series of continuing
resolutions. On two separate occasions these continuing resolutions
have lapsed, resulting in shutdowns of operations at EPA. These
shutdowns have totaled 17 working days. Further, in January 1996, EPA's
Washington, D.C. area offices were closed for 4 days due to severe
inclement weather conditions. During the shutdowns due to lack of
appropriations, EPA was not authorized to work on preparing the 1996
TRI reporting package. Since this work is performed in EPA Headquarters
in Washington, D.C., EPA was also unable to work on it during the 4
days of closure due to the inclement weather.
Because these shutdowns have resulted in delays in finalizing and
distributing the TRI reporting package, including the 1995 Form R and
accompanying guidance, beyond EPA's intended distribution date,
facilities subject to TRI reporting may not have sufficient time to
prepare and submit their reports by July 1, 1996. EPA is concerned that
in rushing to report by July 1, facilities may make errors that would
reduce the accuracy and utility of the reports and, ultimately, the
public data base. This is particularly relevant for first-time
reporters. In addition, EPA believes that the delay in the distribution
of the reporting package may create concern in the regulated community
regarding potential enforcement actions, including civil penalties, for
those facilities submitting reports that may contain errors as a result
of the late distribution of the EPA reporting package or reporting
after the July 1, 1996 deadline.
In recognition of the importance to State and local governments,
industry, and the public that facilities submit complete and accurate
TRI reports, EPA is allowing all reporting facilities an additional
month to August 1, 1996, to submit their 1995 TRI reports. However,
reports for the 1995 reporting year that are filed after August 1,
1996, will be subject to EPA enforcement action, where appropriate.
This allowance of additional time for reporting applies only to the
EPCRA section 313/PPA section 6607 reporting obligations for TRI
reports otherwise due on July 1, 1996, covering calendar year 1995.
Nothing in this notice shall be construed to apply to any other EPCRA
reporting obligations, or to any TRI reports due for past or future
reporting years. Further, this allowance of additional time for
reporting applies only to the federal EPCRA section 313/PPA section
6607 reporting obligation; it does not apply to independent obligations
under State laws which also require TRI-type reports. However, EPA
encourages the States with similar requirements that relate to federal
TRI reporting to embrace this allowance of additional time.
To the extent that this action might be construed as rulemaking
subject to section 553 of the Administrative Procedure Act, for the
reasons stated above, EPA has determined that notice and an opportunity
for public comment are impracticable and unnecessary. Providing for
public comment might further delay reporting, and, because there is no
substantive change in the reporting obligation, other than allowing an
additional month, the public will continue to receive the same
information, though slightly delayed. Also, public comment would not
further inform EPA's decision because the events giving rise to the
need to provide extra time for reporting have already occurred. In
addition, additional notice and comment procedures in this situation
would be contrary to the public interest in timely and accurate
reporting of data under EPCRA section 313 and PPA section 6607.
List of Subjects in 40 CFR Part 372
Environmental protection, Community right-to-know, Reporting and
recordkeeping requirements, and Toxic chemicals.
Dated: January 22, 1996.
Lynn R. Goldman,
Assistant Administrator for Prevention, Pesticides and Toxic
Substances.
[FR Doc. 96-1540 Filed 1-26-96; 8:45 am]
BILLING CODE 6560-50-F
Complete official Federal Register PDF
FR Doc. 96-1532 Medicare Program; Changes to the Hospital Inpatient Prospective Payment Systems and Fiscal Year 1996 Rates; Corrections
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2725-2727]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1532]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Health Care Financing Administration
42 CFR Parts 412 and 413
[BPD-825-FCN]
RIN 0938-AG95
Medicare Program; Changes to the Hospital Inpatient Prospective
Payment Systems and Fiscal Year 1996 Rates; Corrections
AGENCY: Health Care Financing Administration (HCFA), HHS.
ACTION: Correction to final rule.
-----------------------------------------------------------------------
SUMMARY: In the September 1, 1995, issue of the Federal Register (60 FR
45778), we published a final rule with comment period revising the
Medicare hospital inpatient prospective payment systems for operating
costs and capital-related costs to implement necessary changes arising
from our continuing experience with the system. In the addendum to that
final rule with comment period, we announced the prospective payment
rates for Medicare hospital inpatient services for operating costs and
capital-related costs applicable to discharges occurring on or after
October 1, 1995, and set forth update factors for the rate-of-increase
limits for hospitals and hospital units excluded from the prospective
payment systems. This document corrects errors made in that document.
EFFECTIVE DATE: October 1, 1995.
FOR FURTHER INFORMATION CONTACT: Stephen Phillips (410) 786-4548.
SUPPLEMENTARY INFORMATION: In the September 1, 1995, final rule with
comment period (60 FR 45778), we indicated that if a hospital believes
its wage index value is incorrect as a result of an intermediary or
HCFA error that the hospital could not have known about before
reviewing data made available in mid-August, the hospital must notify
the intermediary and HCFA in writing, to be received no later than
September 21, 1995 (see 60 FR 45794). As a result of this process, we
have identified several corrections to the wage data. Accordingly, the
wage index values for several areas have changed and are corrected in
this notice.
The final rule with comment period also contained other technical
and typographical errors. In particular, we inadvertently failed to
correct a technical error in Sec. 412.105(d), which now indicates that
the current method for determining the education adjustment factor for
hospitals that incur indirect costs for graduate medical education
(IME) programs is effective only for discharges occurring before
October 1, 1995. Since section 4002(b)(3) of the Omnibus Budget
Reconciliation Act of 1990 amended section 1886(d)(5)(B)(ii) of the
Social Security Act to eliminate the requirement that the current
method for calculating the IME adjustment was to expire as of October
1, 1995, we needed to delete the incorrect reference to the October 1,
1995, expiration date in our September 1, 1995, final rule with comment
period.
Therefore, we are making the following corrections to the September
1, 1995, final rule with comment period:
Sec. 412.105 [Corrected]
1. On page 45848, column one, item 10, the phrase ``paragraph (b)
is revised to read as follows:'' is corrected to read ``paragraphs (b)
and (d) are revised to read as follows:''
2. On page 45848, column one, item 10, insert corrected paragraph
(d), which reads as follows:
* * * * *
(d) Determination of education adjustment factor. For discharges
occurring on or after October 1, 1988, each hospital's education
adjustment factor is calculated as follows:
* * * * *
Sec. 413.40 [Corrected]
3. On page 45850, column one, Sec. 413.40(g)(1), in the third line
the phrase ``under paragraph (e) of this section'' is corrected to read
``under paragraph (g) of this section''.
4. On pages 45867 through 45882, in Table 3C--Hospital Case Mix
Indexes for Discharges Occurring in Federal Fiscal Year 1994, Hospital
Average Hourly Wage for Federal Fiscal Year 1996 Wage Index, the
average hourly wage is corrected as follows:
------------------------------------------------------------------------
Corrected
Provider Case mix Avg. hourly avg. hourly
index wage wage
------------------------------------------------------------------------
090004 01.6239 22.47 22.45
090005 01.2725 25.88 25.02
090008 01.5653 19.96 23.02
210003 01.5173 26.44 26.40
210005 01.1988 18.75 18.50
210008 01.3734 19.80 19.78
210026 01.3603 22.97 22.82
210060 01.0967 21.07 21.23
230002 01.2674 18.51 18.81
330023 01.1830 21.41 21.64
340039 01.2728 17.98 18.05
340064 01.2236 15.48 17.13
340098 01.6534 17.84 17.68
340166 01.3806 18.12 18.14
390174 01.7096 23.29 23.19
390226 01.7113 22.03 21.84
450025 01.4725 15.12 15.36
450029 01.4012 11.81 12.01
450121 01.5746 18.89 19.39
450196 01.4781 13.63 14.62
------------------------------------------------------------------------
[[Page 2726]]
5. On pages 45883 through 45889, in Table 4A--Wage Index and
Capital Geographic Adjustment Factor (GAF) for Urban Areas, the MSA
titles and counties are corrected as follows:
------------------------------------------------------------------------
MSA Corrected MSA
------------------------------------------------------------------------
1123 *Boston-Brockton-Nashua, MA- *Boston-Worcester-Lawrence-Lowell-
NH. Brockton, MA-NH.
1960 Davenport-Rock Island-Moline, Davenport-Moline-Rock Island, IA-IL.
IA-IL.
5483 *New Haven-Bridgeport- *New Haven-Bridgeport-Stamford-
Stamford-Danbury-Waterbury, CT. Waterbury-Danbury, CT.
6483 *Providence-Warwick, RI...... *Providence-Warwick-Pawtucket, RI.
7440 *San Juan-Bayamon, PR........ Counties also include: Morovis, PR;
Naguabo, PR.
------------------------------------------------------------------------
6. On pages 45883 through 45889, in Table 4A--Wage Index and
Capital Geographic Adjustment Factor (GAF) for Urban Areas, the wage
index values and GAFs are corrected as follows:
------------------------------------------------------------------------
Changed
Urban area Wage GAF wage Changed
index index GAF
------------------------------------------------------------------------
0720 Baltimore, MD.... 0.9866 0.9908 0.9865 0.9907
1520 Charlotte- 0.9668 0.9771 0.9661 0.9767
Gastonia-Rock
Hill, NC-SC.
2160 Detroit, MI...... 1.0834 1.0564 1.0837 1.0566
2281 Dutchess Co., NY. 1.0697 1.0472 1.0754 1.0510
2800 Fort Worth- 1.0052 1.0036 1.0066 1.0045
Arlington, TX.
3290 Hickory-Morganton- 0.7983 0.8570 0.8002 0.8584
Lenoir, NC.
4080 Laredo, TX....... 0.6750 0.7640 0.6834 0.7705
4640 Lynchburg, VA.... 0.8205 0.8733 0.8319 0.8816
6160 Philadelphia, PA- 1.1098 1.0739 1.1092 1.0736
NJ.
8840 Washington, DC-MD- 1.1075 1.0724 1.1116 1.0751
VA-WV.
9080 Wichita Falls, TX 0.7763 0.8408 0.7826 0.8455
------------------------------------------------------------------------
7. On pages 45889 through 45890, in Table 4B--Wage Index and
Capital Geographic Adjustment Factor (GAF) for Rural Areas, the wage
index values and the GAFs are corrected as follows:
------------------------------------------------------------------------
Changed
Non-urban Area Wage GAF wage Changed
index index GAF
------------------------------------------------------------------------
North Carolina.............. 0.7983 0.8570 0.8002 0.8584
Texas....................... 0.7302 0.8063 0.7316 0.8073
------------------------------------------------------------------------
8. On pages 45890 through 45891, in Table 4C--Wage Index and
Capital Geographic Adjustment Factor (GAF) for Hospitals that are
Reclassified, the wage index values and the GAFs are corrected as
follows:
------------------------------------------------------------------------
Changed
Area reclassified to Wage GAF wage Changed
index index GAF
------------------------------------------------------------------------
Charlotte-Gastonia-Rock
Hill, NC-SC................ 0.9668 0.9771 0.9661 0.9767
Detroit, MI................. 1.0834 1.0564 1.0837 1.0566
Dutchess Co., NY............ 1.0546 1.0371 1.0583 1.0396
Fort Worth-Arlington, TX.... 1.0052 1.0036 1.0066 1.0045
Philadelphia, PA-NJ......... 1.1098 1.0739 1.1092 1.0736
Washington, DC-MD-VA-WV..... 1.1075 1.0724 1.1116 1.0751
Rural North Carolina........ 0.7983 0.8570 0.8002 0.8584
------------------------------------------------------------------------
9. On pages 45891 through 45892, in Table 4D--Average Hourly Wage
for Urban Areas, the average hourly wage is corrected as follows:
------------------------------------------------------------------------
Corrected
Urban area Average average
hourly wage hourly wage
------------------------------------------------------------------------
Baltimore, MD................................. 18.6758 18.6732
Charlotte-Gastonia-Rock Hill, NC-SC........... 18.3004 18.2886
Detroit, MI................................... 20.4975 20.5027
Dutchess Co., NY.............................. 20.2495 20.3568
Fort Worth-Arlington, TX...................... 19.0148 19.0420
Laredo, TX.................................... 12.7772 12.9369
Lynchburg, VA................................. 15.5313 15.7477
Philadelphia, PA-NJ........................... 21.0452 21.0345
[[Page 2727]]
Washington, DC-MD-VA-WV....................... 20.9642 21.0413
Wichita Falls, TX............................. 14.6944 14.8144
------------------------------------------------------------------------
10. On pages 45892 through 45893, in Table 4E--Average Hourly Wage
for Rural Areas, the average hourly wage is corrected as follows:
------------------------------------------------------------------------
Corrected
Urban area Average average
hourly wage hourly wage
------------------------------------------------------------------------
North Carolina................................ 15.1058 15.1415
Texas......................................... 13.8226 13.8482
------------------------------------------------------------------------
(Catalog of Federal Domestic Assistance Program No. 93.778, Medical
Assistance Program; No. 93.773 Medicare--Hospital Insurance; and No.
93.774, Medicare--Supplementary Medical Insurance)
Dated: December 7, 1995.
Michael Carleton,
Acting Deputy Assistant Secretary for Information Resource Management.
[FR Doc. 96-1532 Filed 1-26-96; 8:45 am]
BILLING CODE 4120-01-P
Complete official Federal Register PDF
FR Doc. 96-1517 Airworthiness Directives; General Dynamics (Convair) Model 240 Series Airplanes, Including Model T-29 (Military) Airplanes; Model 340 and 440 Series Airplanes; and Model C-131 (Military) Airplanes; Including Those Modified for Turbo-Propeller Power
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2705-2706]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1517]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
14 CFR Part 39
[Docket No. 95-NM-19-AD; Amendment 39-9501; AD 96-03-04]
Airworthiness Directives; General Dynamics (Convair) Model 240
Series Airplanes, Including Model T-29 (Military) Airplanes; Model 340
and 440 Series Airplanes; and Model C-131 (Military) Airplanes;
Including Those Modified for Turbo-Propeller Power
AGENCY: Federal Aviation Administration, DOT.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This amendment adopts a new airworthiness directive (AD),
applicable to various General Dynamics (Convair) airplanes, that
requires revising the Airplane Flight Manual to require that the flight
crew limit the flap settings during certain icing conditions and air
temperatures. This amendment is prompted by reports indicating that
incidents involving uncommanded pitch excursions have occurred due to
ice contaminated tailplane stall (ICTS) that occurred during or
following flight in icing conditions. If flap settings are increased
for landing when conditions for ICT S are present, elevator control
could be affected adversely and the airplane could descend
uncontrollably. The actions specified by this AD are intended to ensure
that the flight crew is advised of the potential hazard related to
increasing the flap settings when conditions for ICTS are present, and
the procedures necessary to address it.
EFFECTIVE DATE: February 28, 1996.
ADDRESSES: Information pertaining to this rulemaking action may be
examined at the Federal Aviation Administration (FAA), Transport
Airplane Directorate, Rules Docket, 1601 Lind Avenue SW., Renton,
Washington; or at the FAA, Los Angeles Aircraft Certification Office,
Transport Airplane Directorate, 3960 Paramount Boulevard, Lakewood,
California.
FOR FURTHER INFORMATION CONTACT: Andrew Gfrerer, Aerospace Engineer,
Systems and Equipment Branch, ANM-130L, FAA, Transport Airplane
Directorate, Los Angeles Aircraft Certification Office, 3960 Paramount
Boulevard, Lakewood, California 90712; telephone (310) 627-5338; fax
(310) 627-5210.
SUPPLEMENTARY INFORMATION: A proposal to amend part 39 of the Federal
Aviation Regulations (14 CFR part 39) to include an airworthiness
directive (AD) that is applicable to various General Dynamics (Convair)
airplanes was published in the Federal Register on June 16, 1995 (60 FR
31648). That action proposed to require revising the FAA-approved
Airplane Flight Manual (AFM) to require that the flight crew limit the
flap settings during certain icing conditions and air temperatures.
Interested persons have been afforded an opportunity to participate
in the making of this amendment. Due consideration has been given to
the comments received.
One commenter supports the proposed rule.
One commenter supports the proposed rule, but believes that an
allowance should be made for using a setting of greater than flaps 30
after icing conditions have been encountered if outside air
temperatures in the landing area are well above freezing. The commenter
indicates that icing conditions may be encountered at cruising
altitudes, but the ground temperatures could be much warmer. The
commenter believes that there is virtually no chance that ice would
remain on the tail. From the commenter's experience, all ice that has
collected on the wing leading edges, engine nacelles, windscreens, and
windshield wipers will have disappeared by the time the indicating
outside air temperature has reached +5 degrees Celsius on descent.
In light of these remarks, the commenter suggests that the AFM
revision required by paragraph (a) of the proposed rule be reworded as
follows:-
``Flap selection is limited to a maximum of 30 degrees after icing
conditions have been encountered if the indicated OAT on approach is +5
degrees Celsius or lower; or if icing conditions are anticipated during
approach and landing; or when the outside air temperature is +5 degrees
Celsius or below and any visible moisture is present.''
The FAA does not concur with the commenter's suggestion. Operators
cannot generally assume that accreted ice will not be present on wings
and tailplanes if the outside air temperatures are above +5 degrees
Celsius on approach. Ice sublimation, melting, and shedding are not
only functions of temperature, but also are dependent upon other
factors such as the nature, size, and extent of ice accretion;
operation of ice protection systems; time of flight in temperatures
above freezing; and airplane speed.
The commenter's concern regarding incurring a flap extension
limitation after encountering, and then departing, icing conditions has
merit. However, the airplane must be free of ice before the flaps are
extended to greater than 30 degrees. Since ice can accrete on
tailplanes with a small leading edge radius when there is no evidence
of ice accretion on the wings, a method of visual inspection of the
wings, tailplanes, and/or proven ice detectors or ice evidence probes
would be necessary to assure clean surfaces.
One commenter requests that the proposed AD be withdrawn. The
commenter states that the airplane can be operated quite safely within
the environment to which it is certified when the anti-icing system is
operational and functioning, and when that system is used in the manner
in which it was intended.-
The FAA does not concur with the commenter's request. Test pilots
of Convair Model 5800 series airplanes actually experienced evidence of
ice contaminated tailplane stall (ICTS) during pushover maneuver flight
tests. (Model 5800 series airplanes are similar to Model 340 series
airplanes equipped with turbo-prop engines.) For this reason the type
certificate holder agreed with the FAA that a flap extension
restriction during operation in icing conditions is necessary. The
specific flight test used to determine susceptibility to ICTS is a
pushover maneuver to generate an increased angle of attack on the
horizontal tailplane. This maneuver is performed with ice shapes on the
tailplane and flaps in approach and landing positions, at speeds from
near approach to maximum for the configurations. The test procedure
requires a push force throughout the maneuver to zero load factor. A
force reversal would be indicative of an elevator hinge moment reversal
caused by airflow separation due to accreted ice and an increased angle
of attack due to pitch rate, and would define the aircraft as
susceptible to ICTS. Because all affected Convair airplane models have
tailplane designs that are similar to the model tested, this AD
requires a flap limitation.-
The FAA has revised this final rule to clarify that the unsafe
condition
[[Page 2706]]
specified in this AD can occur if the flap settings are increased when
conditions for ICTS are present.
After careful review of the available data, including the comments
noted above, the FAA has determined that air safety and the public
interest require the adoption of the rule as proposed.
There are approximately 282 Model 240 series airplanes, including
Model T-29 (military) airplanes; Model 340 and 440 series airplanes;
Model C-131 (military) airplanes, and those models modified for turbo-
propeller power; of the affected design in the worldwide fleet. The FAA
estimates that 197 airplanes of U.S. registry will be affected by this
AD, that it will take approximately 1 work hour per airplane to
accomplish the required actions, and that the average labor rate is $60
per work hour. Based on these figures, the cost impact of the AD on
U.S. operators is estimated to be $11,820, or $60 per airplane.-
The cost impact figure discussed above is based on assumptions that
no operator has yet accomplished any of the requirements of this AD
action, and that no operator would accomplish those actions in the
future if this AD were not adopted.
The regulations adopted herein will not have substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government. Therefore, in
accordance with Executive Order 12612, it is determined that this final
rule does not have sufficient federalism implications to warrant the
preparation of a Federalism Assessment.
For the reasons discussed above, I certify that this action (1) is
not a ``significant regulatory action'' under Executive Order 12866;
(2) is not a ``significant rule'' under DOT Regulatory Policies and
Procedures (44 FR 11034, February 26, 1979); and (3) will not have a
significant economic impact, positive or negative, on a substantial
number of small entities under the criteria of the Regulatory
Flexibility Act. A final evaluation has been prepared for this action
and it is contained in the Rules Docket. A copy of it may be obtained
from the Rules Docket at the location provided under the caption
ADDRESSES.
List of Subjects in 14 CFR Part 39
Air transportation, Aircraft, Aviation safety, Safety.
Adoption of the Amendment
Accordingly, pursuant to the authority delegated to me by the
Administrator, the Federal Aviation Administration amends part 39 of
the Federal Aviation Regulations (14 CFR part 39) as follows:
PART 39--AIRWORTHINESS DIRECTIVES -
1. The authority citation for part 39 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40113, 44701.
Sec. 39.13 [Amended]
2. Section 39.13 is amended by adding the following new
airworthiness directive:
96-03-04 General Dynamics (Convair): Amendment 39-9501. Docket 95-
NM-19-AD.
Applicability: All Model 240 series airplanes, including Model
T-29 (military) airplanes; Model 340 and 440 series airplanes; and
Model C-131 (military) airplanes; including those models modified
for turbo-propeller power (commonly referred to as Model 580, 600,
and 640 series airplanes); certificated in any category.
Compliance: Required as indicated, unless accomplished
previously.
To ensure that the flight crew is advised of the potential
hazard associated with increasing the flap settings when ice
contaminated tailplane stall (ICTS) conditions are present, and the
procedures necessary to address it, accomplish the following:
(a) Within 30 days after the effective date of this AD, revise
the Limitations Section of the FAA-approved Airplane Flight Manual
(AFM) to include the following procedures, which will limit the flap
settings during certain icing conditions and air temperatures. This
may be accomplished by inserting a copy of this AD in the AFM.
``FLAP LIMITATION IN ICING CONDITIONS
Flap selection is limited to a maximum of 30 degrees after icing
conditions have been encountered; or when icing conditions are
anticipated during approach and landing; or when the outside air
temperature is +5 degrees Celsius or below and any visible moisture
is present.''
(b) An alternative method of compliance or adjustment of the
compliance time that provides an acceptable level of safety may be
used if approved by the Manager, Los Angeles Aircraft Certification
Office (ACO), FAA, Transport Airplane Directorate. Operators shall
submit their requests through an appropriate FAA Principal
Maintenance Inspector, who may add comments and then send it to the
Manager, Los Angeles ACO.
Note: Information concerning the existence of approved
alternative methods of compliance with this AD, if any, may be
obtained from the Los Angeles ACO.
(c) Special flight permits may be issued in accordance with
sections 21.197 and 21.199 of the Federal Aviation Regulations (14
CFR 21.197 and 21.199) to operate the airplane to a location where
the requirements of this AD can be accomplished.
(d) This amendment becomes effective on February 28, 1996.
Issued in Renton, Washington, on January 23, 1996.
Darrell M. Pederson,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 96-1517 Filed 1-26-96; 8:45 am]
BILLING CODE 4910-13-U
Complete official Federal Register PDF
FR Doc. 96-1511 Foreign Option Transactions
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2717-2719]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1511]
=======================================================================
-----------------------------------------------------------------------
COMMODITY FUTURES TRADING COMMISSION
17 CFR Part 30
Foreign Option Transactions
AGENCY: Commodity Futures Trading Commission.
ACTION: Order.
-----------------------------------------------------------------------
SUMMARY: The Commodity Futures Trading Commission (Commission) is:
confirming that the Part 30 Order issued on February 17, 1993 (the
``Initial Order'') to the Tokyo Grain Exchange (TGE) continues in
effect subsequent to the merger on October 1, 1993 of the TGE with the
Tokyo Sugar Exchange (TSE) with the TGE as the surviving entity; and
allowing the option contract on the raw sugar futures contract traded
on TGE to be offered or sold to persons located in the United States.
This Order is issued pursuant to Commission rules 30.3 and 30.10,
17 CFR 30.3 and 30.10 (1995), which: granted an exemption to designated
members of the Exchange from the application of certain of the
Commission's foreign futures and option rules based on substituted
compliance with comparable Japanese regulatory and self-regulatory
requirements; and authorized options on U.S. soybean futures contracts
traded on the TGE to be offered or sold in the United States, 58 FR
10953 (Feb. 23, 1993). By this Order, the Commission also acknowledges
the substitution of the merged TGE as the party to several ongoing
information sharing and financial intermediary recognition arrangements
entered into with the former TGE, the Ministry of Agriculture, Forestry
and Fisheries (``MAFF'') and the Commission as described in the Initial
Order.
EFFECTIVE DATE: February 28, 1996.
FOR FURTHER INFORMATION CONTACT: Jane C. Kang, Esq. or Robert
Rosenfeld, Esq., Division of Trading and Markets, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581. Telephone: (202) 418-5435.
SUPPLEMENTARY INFORMATION: The Commission has issued the following
Order:
United States of America Before The Commodity Futures Trading
Commission
Order Pursuant to Commission Rules 30.3 and 30.10 Confirming that the
Initial Order to the TGE Continues in Effect Subsequent to the Merger
of TGE and TSE and Permitting Option Contracts on the Raw Sugar Futures
Contract Traded on the TGE To Be Offered or Sold to Persons Located in
the United States Thirty Days After Publication of This Notice in the
Federal Register Absent Further Notice
In the Initial Order,1 the Commission exempted certain
designated members of the TGE from the application of certain of the
foreign futures and option rules based on substituted compliance with
comparable Japanese regulatory and self-regulatory requirements and
allowed option contracts on U.S. soybean futures contracts traded on
the TGE to be offered or sold in the United States.2 Among other
conditions, the Initial Order specified that:
\1\ See 58 FR 10953 (February 23, 1993).
\2\ Commission rule 30.3(a), 17 CFR 30.3(a), makes it unlawful
for any person to engage in the offer or sale of a foreign option
product until the Commission, by order, authorizes such foreign
option to be offered or sold in the United States.
Except as otherwise permitted under the Commodity Exchange Act
and regulations thereunder, * * * no offer or sale of any Tokyo
Grain Exchange option product in the United States shall be made
until thirty days after publication in the Federal Register of
notice specifying the particular option(s) to be offered or sold
---------------------------------------------------------------------------
pursuant to this Order.
On October 1, 1993, the membership of the TSE merged with the TGE
with the TGE as the surviving entity. The merger was approved by the
MAFF, the government regulator with oversight responsibility for both
exchanges.
The Exchange has represented, among other things, that the basis
upon which the Commission issued the Initial Order as well as the terms
and conditions set forth therein continue in effect with respect to TGE
subsequent to the merger with TSE.3 In particular, the Exchange
has represented that: 4
\3\ In this connection, the Initial Order was issued, in part,
based on the Exchange's commitment to phase in physical segregation
requirements for customer property. Specifically, a special
enforcement order issued by MAFF on December 14, 1990 required that
one quarter of all customer property held by an FCM be physically
segregated in accordance with Article 92-2 of the CEL, with an
additional quarter to be segregated on April 1 of each subsequent
year until April 1, 1996, when 100% of all customer property will be
required to be segregated. Therefore, 75% of customer property is
currently subject to physical segregation at the TGE. Under the CEL,
the segregation protection is supplemented by the Guarantee Money
Fund, the Commodity Transaction Responsible Reserve Fund, Membership
Trust Money and the Compensation Fund.
\4\ See letter dated June 14, 1995 from Seiji Mori, TGE, to
Andrea M. Corcoran, Commission and letters dated July 11 and July
28, 1995 from Itsuji Yanagisawa, TGE, to Jane C. Kang, Commission.
(1) the recognition and continued oversight by MAFF of TGE
remain unaffected by the merger;
(2) the TSE futures and options which are now traded on the TGE
Sugar Market are designated and traded according to the requirements
of the Japanese Commodity Exchange Law (``CEL''), which the
Commission considered in issuing the Initial Order to the TGE; and
[[Page 2718]]
(3) no significant rule changes have been implemented at TGE as
a result of the merger: the only modifications made to date have
been those necessary to bring futures and options contracts traded
at TSE within the TGE regulatory structure.
In particular, the TGE has summarized relevant changes resulting
from the merger as follows:
(1) Membership. Although many TSE members were also TGE members,
TSE had an additional category of membership--associate members who
are permitted to trade only for their own accounts and must execute
their trades through a futures commission merchant (``FCM'') member
of the TGE. Therefore, TGE rules were amended to add associate
members to the existing regular member and FCM categories.
(2) Creation of Two Markets. The integrated, centrally located
TGE marketplace now consists of a TGE Agricultural Market, trading
commodities previously associated with TGE and a TGE Sugar Market,
trading commodities previously associated with TSE.
(3) Staff. Staff of the two exchanges merged to form staff of
the TGE to ensure there is no diminution in oversight or staff
expertise. The 38 staff members who are responsible for market
surveillance comprise one-third of the total Exchange staff.
By letter dated June 14, 1995, TGE requested that the Commission
confirm that the Initial Order continues in effect relative to the
merged entity which came into existence on October 1, 1993 and
supplement the Initial Order authorizing the offer and sale in the
United States of options on the U.S. soybean futures contract by also
authorizing the TGE's option contract on the raw sugar futures contract
to be offered or sold to persons located in the United States. 5
\5\ The TGE's application had submitted terms for two option
contracts on raw sugar futures contracts. The last trading day for
one of those contracts was October 31, 1995. Accordingly, this Order
authorizes the one option contract on the raw sugar futures contract
which started trading on January 1, 1995 as described below in the
``Contract Specifications''.
---------------------------------------------------------------------------
Based upon the foregoing, and subject to the terms and conditions
specified in the Initial Order, the Commission hereby publishes this
Order in the Federal Register confirming the continued applicability of
the Initial Order to the newly merged entity, TGE, and allowing the
option contract based on the raw sugar futures contract traded on the
TGE to be offered or sold to persons located in the United States
thirty days after publication of this Order in the Federal Register,
unless prior to that date the Commission receives any comments which
may result in a determination to delay the effective date of the Order
pending review of such comments. Under such circumstances the
Commission will provide notice.
Contract Specifications Options on Raw Sugar Futures (March 1996
Contract)
Year Contract Began Trading--May 1992
Trading Hours
Morning: Opening Session, 9:10 a.m.-9:30 a.m.; Continuous Session
9:30 a.m.-11:30 a.m.
Afternoon: Opening Session, 1:00 p.m.-1:15 p.m.; Continuous
Session, 1:15 p.m.-3:00 p.m.; Closing Session, 3:00 p.m.-3:15 p.m.
Contract Unit--One TGE Raw sugar futures contract
Delivery Months--January, March, May, July, September and November
within a 15 month period
Price Quotation--Yen per 1,000 kilogram
Minimum Price Fluctuation--10 yen per 1,000 kilogram (500 yen per
contract)
Maximum Daily Price Fluctuation--1,000 yen per 1,000 kilogram with
variable limits effective under certain conditions.
Strike Price Increment--1,000 yen per 1,000 kilogram intervals with one
strike price at-the-money and minimum of three exercise prices above
and three below.
Speculative Position Limits--None
Last Trading Day--The last business day 3 months prior to the delivery
month of the underlying futures contract.
Expiration Date--3:45 p.m. of the last trading day
Automatic Exercise--None
Exercise Style--American style. The option holder shall give an
exercise notice to the FCMs by 3:30 p.m. of any business day up to the
last trading day. FCMs and regular members shall give an exercise
notice to the FCMs from 3:00 p.m. to 3:45 p.m. of any business day up
to the last trading day. The Exchange shall proportionally assign an
exercised position to the option writer.
Customer Margin--The writer shall deposit 50,000 yen (the half amount
of the initial margin of the underlying futures contract) plus the
option premium per one contract to FCMs.
Commission Fee
New Order, 3,000 yen or less per one contract
Resale/Repurchase (for liquidation), 2,000 yen or less per one
contract.
Note: The first trading day of March 1996 contract started from
January 4, 1995.
List of Subjects in 17 CFR Part 30
Commodity futures, Commodity options, Foreign transactions.
Accordingly, 17 CFR Part 30 is amended as set forth below:
PART 30--FOREIGN FUTURES AND FOREIGN OPTION TRANSACTIONS
1. The authority citation for Part 30 continues to read as follows:
Authority: Secs. 2(a)(1)(A), 4, 4c, and 8a of the Commodity
Exchange Act, 7 U.S.C. 2, 6, 6c and 12a.
2. Appendix B to Part 30 is amended by adding the following entry
after the existing entries for the ``Tokyo Grain Exchange'' to read as
follows:
Appendix B.--Option Contracts Permitted To Be Offered or Sold in the
U.S. Pursuant to Sec. 30.3(a)
------------------------------------------------------------------------
FR date and
Exchange Type of contract citation
------------------------------------------------------------------------
* * * * *
* *
Tokyo Grain Exchange........ Option Contract on 1996; ____FR____
the Raw Sugar
Futures Contract.
* * * * *
* *
------------------------------------------------------------------------
[[Page 2719]]
Issued in Washington, D.C. on January 22, 1996.
Jean A. Webb,
Secretary to the Commission.
[FR Doc. 96-1511 Filed 1-26-96; 8:45 am]
BILLING CODE 6351-01-P
Complete official Federal Register PDF
FR Doc. 96-1509 Deletion of Option Regulation Requiring That Futures Commission Merchants Give Notification of Disciplinary Actions to Their Designated Self-Regulatory Organizations; Regulation 33.4(b)(6)
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2719-2720]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1509]
-----------------------------------------------------------------------
COMMODITY FUTURES TRADING COMMISSION
17 CFR Part 33
Deletion of Option Regulation Requiring That Futures Commission
Merchants Give Notification of Disciplinary Actions to Their Designated
Self-Regulatory Organizations; Regulation 33.4(b)(6)
AGENCY: Commodity Futures Trading Commission.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Commodity Futures Trading Commission (``Commission'') is
amending 17 CFR Part 33 to delete Regulation 33.4(b)(6), under which a
board of trade must adopt rules that require each member futures
commission merchant (``FCM'') that engages in the offer or sale of Part
33 option contracts to give notice to the FCM's designated self-
regulatory organization (``DSRO'') of any disciplinary action taken
against the FCM or any of its associated persons by the Commission or
by another self-regulatory organization (``SRO''). The purpose of this
deletion is to eliminate unnecessary recordkeeping requirements
affecting FCMs.
EFFECTIVE DATE: February 28, 1996.
FOR FURTHER INFORMATION CONTACT:
Kimberly A. Browning, Attorney, Commodity Futures Trading Commission,
Division of Trading and Markets, Three Lafayette Centre, 1155 21 Street
NW., Washington, DC 20581. Telephone (202) 418-5490.
SUPPLEMENTARY INFORMATION:
I. Background
Regulation 33.4(b)(6) is part of a group of regulations that date
from the Commission's three-year pilot program, instituted by the
Commission on November 3, 1981, for the trading on domestic exchanges
of options on non-agricultural futures contracts. The establishment of
the pilot program was the culmination of a long history of Commission
efforts to provide for the trading of commodity options in a regulated
environment. Subsequently, the Commission adopted a pilot program that
expanded the trading of options to non-agricultural physical
commodities. 47 FR 65996 (December 22, 1982). On January 23, 1984, the
Commission adopted a separate three-year pilot program that expanded
the trading of options on futures contracts to domestic agricultural
commodities. 49 FR 2752. Overall, the Commission found that each pilot
program had been a success.\1\
\1\ By February 9, 1987, the Commission had made the programs
permanent. Option trading on non-agricultural futures was made
permanent effective August 1, 1986. 51 FR 17464 (May 13, 1986); 51
FR 27529 (August 1, 1986). Option trading on agricultural futures
and options on non-agricultural physicals were made permanent
effective February 9, 1987. 52 FR 777 (January 9, 1987).
---------------------------------------------------------------------------
Part 33 of the Commission's regulations governs domestic exchange-
traded commodity option transactions. Regulation 33.4, in conjunction
with the requirements of Section 5 of the Commodity Exchange Act
(``Act''), sets forth the requirements which a board of trade must meet
in order to be designated as a contract market for the trading of
option contracts. Part 33, including Regulation 33.4, was adopted
concurrently with the initial implementation of the first pilot program
in 1981. Under Regulation 33.4(b)(6), a board of trade must adopt rules
that require each member FCM which engages in the offer or sale of Part
33 option contracts to give notice to the FCM's DSRO of any
disciplinary action taken against the FCM or any of its associated
persons by the Commission or by another SRO.
By letter dated September 11, 1992, the Chicago Board of Trade
(``CBT'') petitioned the Commission for deletion of Regulation
33.4(b)(6). In support of its petition, the CBT explained that, along
with other futures exchanges, it has joined the National Futures
Association (``NFA'') in implementing a centralized repository for the
entry of information on exchange disciplinary actions the (``NFA
Clearinghouse'').\2\ The CBT stated that it believes that because the
NFA Clearinghouse includes data on Commission, NFA and exchange
disciplinary actions, the reporting requirements imposed on FCMs by
Regulation 33.4(b)(6) are now duplicative and should be abolished.\3\
\2\ For background on the NFA Clearinghouse, see generally 58 FR
4949 (January 19, 1993).
\3\ It should be noted that on September 4, 1992, the Commission
proposed the deletion of two other provisions in Regulation 33.4:
Regulation 33.4(b)(4)(iii) and Regulation 33.4(b)(8). 57 FR 40626.
On December 14, 1992, the deletion of these two regulations became
final. See 57 FR 58976. Under these regulations, boards of trade
designated as contract markets for options were required to adopt
rules requiring member FCMs that engaged in the offer or sale of
commodity options regulated under Part 33 to send copies of customer
complaints, the record of the final disposition thereof, and copies
of all promotional material to the member's DSRO.
---------------------------------------------------------------------------
The NFA Clearinghouse went into effect in late January 1991. At
that time, several exchanges began to file their disciplinary action
data electronically into the NFA Clearinghouse database through what
the NFA refers to as the exchange disciplinary action portion for the
NFA Clearinghouse. The NFA Clearinghouse, which the exchanges have
entered into voluntarily, permits the Commission and the exchanges to
enter and review disciplinary action data, including disciplinary
actions taken against an FCM or any of its associated persons by the
Commission or by another SRO, via computer terminals at their
respective locations.\4\
\4\ Currently, the exchanges are required to submit hardcopy
notices of disciplinary actions to the Commission pursuant to
Regulation 9.11. Ultimately, however, it is anticipated that data
will be entered into the NFA Clearinghouse in lieu of filing
hardcopy notices. Until the Commission permits such data entry
directly into the NFA Clearinghouse, in lieu of such filings,
exchanges must continue to file hardcopy notices with the Commission
within the 30-day requirement of Regulation 9.11.
---------------------------------------------------------------------------
II. Proposed Rule
On January 19, 1993, the Commission's proposal to delete Regulation
33.4(b)(6) was published in the Federal Register (58 FR 4948). This
proposal was made in response to the CBT's September 11, 1992 petition
for deletion of Regulation 33.4(b)(6). The Commission stated that the
NFA Clearinghouse appeared to satisfy the objective of Regulation
33.4(b)(6) by providing a repository for, among other things, exchange
disciplinary actions. In making the proposal to delete Regulation
33.4(b)(6), the Commission stated that before it approved final
deletion of the regulation, it intended to examine exchange and NFA
refinements to the operation of the NFA Clearinghouse to determine
whether the system would serve the purpose of Regulation 33.4(b)(6).
III. Comments Received
The Commission received one comment letter, from the NFA, that
supported the proposed deletion of Regulation 33.4(b)(6). The NFA
commented that it believes that Regulation 33.4(b)(6) places an
unnecessary regulatory burden upon FCMs because the Commission, members
of the public, and any DSRO may already obtain disciplinary
information, without an FCM's specific disclosure, by accessing the NFA
Clearinghouse.
IV. Final Rule
Commission staff has been monitoring each exchange's use of the NFA
Clearinghouse. Since August 1991, the majority of the exchanges have
been
[[Page 2720]]
electronically filing their respective disciplinary actions into the
NFA Clearinghouse in an accurate and timely manner, including
disciplinary actions taken against an FCM or any of its associated
persons by the Commission or by another SRO, thus satisfying the
purpose of Regulation 33.4(b)(6). Typically, exchanges enter directly
or with the assistance of NFA, disciplinary action data into the NFA
Clearinghouse in an accurate and timely manner.\5\
\5\ The Commission's deletion of the reporting requirement is
based, in part, on the existence of the NFA Clearinghouse which
provides an adequate substitute mechanism by which SROs may obtain
disciplinary information. Should there be any material changes in
the operation of the NFA Clearinghouse, the Commission would
necessarily evaluate the need for any supplementary reporting
requirements.
---------------------------------------------------------------------------
The disciplinary action data that the exchanges have agreed to
enter into the NFA Clearinghouse by the NFA and that are being entered
include: (1) The respondent's name; (2) the rule number violated and a
description of the rule; (3) which of the ten uniform categories of
rule violations adopted by the Joint Compliance Committee (``JCC''),\6\
applies to the disciplinary action; \7\ (4) the date of the violation;
(5) the effective date of the disciplinary action; (6) the sanction or
penalty imposed on the named respondent; (7) the name of the exchange
committee that imposed the sanction; and (8) whether the offense cited
is one that renders the named respondent ineligible from serving on an
exchange disciplinary committee, oversight panel, arbitration panel or
governing board under the requirements of Commission Regulation
1.63.\8\
\6\ The JCC was formed in May 1989 and consists of senior
compliance officials from each exchange and the NFA. Commission
staff is present at each meeting as observers. The JCC was
established to aid the development of improved compliance systems
through joint exchange efforts and information sharing among the
self-regulators. In addition, the JCC has undertaken efforts to
enhance exchange compliance with Commission regulations by
developing uniform standards and definitions where appropriate.
\7\ The ten uniform categories of rule violations adopted by the
JCC include: trade practice, sales practice, speculative position
limits, financial, financial and position reporting, floor
recordkeeping, office recordkeeping, registration, decorum and
attire, and general conduct.
\8\ Commission Regulation 1.63 prohibits an individual from
serving on exchange disciplinary committees, oversight panels,
arbitration panels or governing boards who, among other things, was
found within the prior three years by a final decision of a SRO, an
administrative law judge, a court of competent jurisdiction or the
Commission to have committed a disciplinary offense or who currently
is subject to an agreement with the Commission or any SRO not to
apply for registration with the Commission or membership in any SRO.
For a complete listing of the conditions under Commission Regulation
1.63 that prohibit an individual from serving on such exchange
committees, panels, or boards, see 55 FR 7884 (March 6, 1990).
---------------------------------------------------------------------------
In addition, on March 15, 1995, the Commission advised the JCC that
the Clearinghouse must include exchange membership denial actions and
requested that the exchange enter into the Clearinghouse all membership
denial actions from January 1990 to the present to bring the
Clearinghouse up-to-date. Currently, the exchanges are entering such
data into the Clearinghouse.
V. Conclusion
The Commission believes that, consistent with the other deletions
made of Regulation 33.4(b)(4)(iii) and Regulation 33.4(b)(8), the
requirements set forth in Regulation 33.4(b)(6) also should be deleted.
The Commission also believes that the NFA Clearinghouse satisfies the
objective of Regulation 33.4(b)(6) by providing an adequate repository
for, among other things, exchange disciplinary actions. The Commission
no longer believes that it is necessary for FCMs that engage in the
offer or sale of Part 33 option contracts to give notice to the FCM's
DSRO of any disciplinary action taken against the FCM or any of its
associated persons by the Commission or by another SRO. Accordingly,
the Commission amends 17 CFR Part 33 by deleting Regulation 33.4(b)(6).
VI. Related Matters
A. Regulatory Flexibility Act
The Regulatory Flexibility Act (RFA) 5 U.S.C. 601 et seq., requires
that agencies, in proposing rules, consider the impact of those rules
on small businesses. The Commission previously has established that
contract markets and FCMs are not ``small entities'' for purposes of
the RFA. 47 FR 18618-18621 (April 30, 1982). This deletion to Part 33
will permit contract markets to delete rules affecting FCMs and thereby
relieve them of that requirement.
B. Paperwork Reduction Act
The Paperwork Reduction Act of 1980 (``PRA'') 44 U.S.C. 3501 et
seq., imposes certain requirements on federal agencies (including the
Commission) in connection with their conducting or sponsoring any
collection of information as defined by the PRA. In compliance with the
PRA, the Commission previously submitted this rule in proposed form and
its associated information collection requirements to the Office of
Management and Budget (``OMB''). The OMB approved the collection of
information associated with this rule on October 2, 1991 and assigned
OMB control number 3038-0007 to the rule. While this rule has no
burden, the group of rules of which this is a part has the following
burden:
Average burden hours per response................................50.32.
Number of respondents.........................................190,19.7.
Frequency of response......................................on occasion.
Copies of the OMB approved information collection package
associated with this rule may be obtained from the Office of Management
and Budget, Room 3220, NEOB Washington, DC, (202) 395-7340.
List of Subjects in 17 CFR Part 33
Regulation of domestic exchange-traded commodity option
transactions.
In consideration of the foregoing and pursuant to the authority
contained in the Act and, in particular, section 4(b) of the Act, the
Commission proposes to amend Part 33 of Title 17 of the Code of Federal
Regulations as follows:
PART 33--REGULATION OF DOMESTIC EXCHANGE-TRADED COMMODITY OPTION
TRANSACTIONS
1. The authority citation for Part 33 continues to read as follows:
Authority: 7 U.S.C. 2, 2a, 4, 6, 6a, 6b, 6e, 6f, 6g, 6i, 6j, 6k,
6l, 6m, 6n, 6o, 7, 7a, 7b, 8, 9, 11, 12a, 13a-1, 13b, 19, and 21,
unless otherwise noted.
Sec. 33.4 [Amended]
2. Section 33.4(b)(6) is removed.
Issued in Washington, DC, January 23, 1996 by the Commodity
Futures Trading Commission.
Jean A. Webb,
Secretary of the Commission.
[FR Doc. 96-1509 Filed 1-26-96; 8:45 am]
BILLING CODE 6351-01-M
Complete official Federal Register PDF
FR Doc. 96-1506 User FeesCommercial Aircraft and Vessels; Phytosanitary Certificates
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2660-2665]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1506]
-----------------------------------------------------------------------
DEPARTMENT OF AGRICULTURE
Animal and Plant Health Inspection Service
7 CFR Part 354
[Docket No. 94-074-2]
RIN 0579-AA68
User Fees--Commercial Aircraft and Vessels; Phytosanitary
Certificates
AGENCY: Animal and Plant Health Inspection Service, USDA.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: We are amending the user fee regulations by lowering the fees
charged for certain agricultural quarantine and inspection services we
provide in connection with the arrival of an international commercial
aircraft at a port in the customs territory of the United States. We
are also amending the user fee regulations by raising the fees charged
for export certification of plants and plant products. We have
determined, based on a review of our user fees, that the fees must be
adjusted to reflect the actual cost of providing these services. In
addition, we are amending the user fee regulations to clarify the
exemption for certain vessels which sail only between the United States
and Canada.
EFFECTIVE DATE: March 1, 1996.
FOR FURTHER INFORMATION CONTACT: For information concerning program
operations, contact Mr. Don Thompson, Staff Officer, Port Operations,
PPQ, APHIS, 4700 River Road, Unit 136, Riverdale, MD 20737-1236, (301)
734-8295.
For information concerning rate development, contact Ms. Donna
Ford, PPQ User Fees Section Head, FSSB, BAD, APHIS, 4700 River Road,
Unit 54, Riverdale, MD 20737-1232, (301) 734-5901.
SUPPLEMENTARY INFORMATION:
Background
The regulations in 7 CFR 354.3 (referred to below as the
``regulations'') contain provisions for the collection of user fees for
certain international services provided by the Animal and Plant Health
Inspection Service (APHIS). Among the services covered by these user
fees are: (1) Servicing international commercial aircraft and vessels
arriving at ports in the customs territory of the United States; and
(2) certifying plants and plant products for export.
On May 24, 1995, we published a document in the Federal Register
(60 FR 27437-27441, Docket 94-074-1) proposing various changes to these
regulations.
We solicited comments concerning our proposal for 30 days ending
June 23, 1995. We received 45 comments by that date from trade
associations connected with the air travel industry, trade associations
representing various sectors of the lumber industry, producers in the
lumber, flower, and other plant or plant-related industries, members of
Congress, and private individuals. The comments are discussed below by
topic.
International Commercial Aircraft
We proposed to amend the user fee for agricultural quarantine and
inspection (AQI) services provided by APHIS in connection with the
arrival of an international commercial aircraft at a port in the
customs territory of the United States. (The customs territory of the
United States is defined in the regulations as the 50 States, the
District of Columbia, and Puerto Rico.) the current user fee for
services for international commercial aircraft is $61. We proposed to
lower this user fee from $61 to $53 for each arrival. We determined the
proposed fee based on a review of user fees collected in FY 1993 and FY
1994 and a projection of our cost and revenue for FY 1995. As stated in
our proposal, the lower fee is necessary to avoid collecting more
revenue than needed to cover the costs of the services we provide.
Only three comments directly addressed the proposed fee reduction.
One commenter expressed no ``specific objection'' to lowering the fee,
but ``[took] exception to * * * lowering the fee charged * * * while
overlooking the inadequate passenger inspection staffing levels.'' A
second commenter stated that ``it is almost impossible to reconcile
this proposed reduction with the current levels of service provided by
APHIS * * *''. The third commenter expressed displeasure with our
collecting user fees both from air passengers and from airlines, and
suggested that the passenger fee alone should be adequate to cover all
costs.
We are not making any changes based on these comments. The
inspection service provided to airline passengers is different than the
inspection service provided for aircraft. We therefore charge separate
user fees for these services. Aircraft user fees are paid by the
airlines, passenger user fees are paid by the individual passengers,
and the amount of each fee is based on the cost of providing each
service.
All government agencies are currently under mandate to reduce staff
year ceilings, i.e. the number of employees. We have no plans to reduce
the staff year ceilings in the AQI program and we are considering ways
to increase such staff year ceilings. However, we would have to review
any increases carefully to ensure sufficient staffing in other APHIS
and U.S. Department of Agriculture programs.
One commenter stated that the commercial aircraft inspection fee is
``contrary to and inconsistent with the international obligations of
the United States, and thus must be withdrawn.'' The comment suggested
that this APHIS user fee violates the Convention on International Civil
Aviation (``Chicago Convention'') and certain specified bilateral air
transport service agreements and treaties, such as the U.S. Air
Transport Agreement with Italy. The comment stated that this issue has
been raised in previous rulemakings on APHIS user fees.
Although we have never previously specifically addressed the U.S.
Air Transport Agreement with Italy, we believe our previous discussions
of these issues are also pertinent to this agreement. Its language is
similar, if not identical, to the many bilateral Air Transport Services
Agreements to which the United States is a party, and which we have
addressed in previous Federal Register documents.
[[Page 2661]]
On April 12, 1991, we discussed this subject in a final rule
published in the Federal Register (56 FR 14837-14846, Docket No. 91-
028; see pages 14840 and 14841), and concluded that APHIS complied with
the General Agreement on Tariffs and Trade (GATT), the Caribbean Basin
Economic Recovery Act, the U.S. Air Transport Agreement with Austria,
the U.S.-Jamaican Bilateral Aviation Agreement of 1969, and that the
International Civil Aviation Convention (ICAO) does not apply to APHIS.
Again, on January 9, 1992, in a final rule published in the Federal
Register (57 FR 755-773, Docket No. 91-135, see pp. 762-763), we
responded to the same or similar concerns. At that time, we addressed:
(1) The Chicago Convention; (2) bilateral air transport agreements with
Switzerland and the United Kingdom; (3) the United States-Japan Treaty
of Friendship, Commerce and Navigation; (4) GATT; and (5) ICAO. We
continue to believe that the Chicago Convention and ICOA are
inapplicable to APHIS and that the user fees are in compliance with the
bilateral air transport agreements as well as the United States-Japan
Treaty of Friendship, Commerce and Navigation, and GATT.
International Commercial Vessels
The May 24, 1995 proposal also sought to clarify the exemption from
user fees for any vessel which sails only between United States and
Canadian ports. To aid the identification of vessels eligible for this
exemption, we proposed to require the Masters of such vessels to state
in their General Declaration, Customs Form 1301, that the vessel has
sailed solely between the United States and Canada for the previous 2
years.
None of the comments specifically addressed the proposal to clarify
this exemption. One commenter, however, stated that the exemption is
inequitable and should be abolished because it allows these ships to be
inspected without payment of any user fees, and the result is that
those who pay user fees for other APHIS services subsidize vessel
inspections.
These vessels were originally exempt from paying the user fee
because they pose little animal or plant disease or pest risk to United
States agriculture, and APHIS does not provide agricultural quarantine
inspection services for them (see 56 FR 8150). There has been no change
in the animal or plant risk posed by these vessels and we still do not
provide inspection services to them. Therefore, we are not making any
change in our proposal based on this comment.
Phytosanitary Certificates
The May 24, 1995, proposed rule also proposed to raise user fees
for certifying plants and plant products for export. APHIS inspectors
and designated State employees issue phytosanitary certificates in
accordance with the International Plant Protection Convention and
regulations in 7 CFR part 353, certifying that agricultural products
being exported from the United States are free from injurious insects
and diseases.
Virtually all of the comments we received addressed these user
fees. With one exception, the commenters were opposed to any fee
increase. The comments raised the following issues:
1. Economic Impact/Benefit to User
Many commenters stated that the fees are unfair or too high, and
raise the cost of doing business because they cannot be passed on. Some
commenters were particularly concerned that small businesses will be
harmed by the proposed increases in user fees.
APHIS sympathizes with these commenters and has attempted to
minimize the cost of the services, thereby keeping the user fees at the
lowest possible level for all users. Also, APHIS previously established
a user fee category for low value commercial shipments in an attempt to
minimize the impact on small businesses.
However, when Congress authorized APHIS to prescribe and collect
user fees to recover the costs of inspecting plants and plant products
for export, it specifically reduced APHIS' appropriation by the
estimated amount of providing such services. Currently, APHIS is not
appropriated funds to cover the cost of providing these services.
Therefore, APHIS must charge user fees which recover the full cost of
providing the service. For this reason, APHIS cannot exempt certain
classes of users, such as small businesses, from the user fees, and
cannot charge user fees which recover less than the full cost of
providing the service.
Another commenter stated that there is no benefit to the user that
``caused'' the fee increase. We believe the commenter's intended
meaning was that there is no benefit to the user which justifies the
fee increase.
We disagree. The proposed user fees are designed to recover the
cost of providing phytosanitary certificates. These certificates are
not required by APHIS or any other agency of the Federal Government.
They are required by foreign countries importing the plant or plant
products and are provided to the exporters solely for their benefit.
The exporters could not import their plant and plant products into most
foreign countries without such a certificate.
2. Eliminate Phytosanitary Certificate Requirements
Several commenters suggested that phytosanitary certificates should
not or need not be required for certain products. As discussed above,
phytosanitary certificates are required by the country importing the
plant or plant product; they are not required by APHIS, the U.S.
Department of Agriculture, or any other agency or organization within
the Federal Government. Therefore, we are unable to eliminate
certificate requirements. However, on August 16, 1995, we published a
proposal in the Federal Register (60 FR 42472-42479, Docket No. 90-117-
1, see p. 72474) to allow, under an agreement with the European Union,
approved producers in the United States to complete their own
certificates for kiln-dried lumber and other plant products. The
certificate requirement would not be eliminated, but obtaining a
certificate would be much simpler and less time consuming for the
recipient. We will continue to work with other countries for
improvements such as these.
3. Relationship of User Fee to Time Spent Providing Service
Several comments suggested that we adjust our user fees to take
into account how long it takes to provide the service or whether we
conduct an on-site inspection.
After carefully considering this comment we have determined not to
make any changes in the proposed regulation. The time spent by APHIS
employees is only part of the cost that we must recover through user
fees. Supplies, overhead, equipment, telephone, and numerous support
costs must be included. A service may be provided faster in one
instance than another; however, our proposed user fees reflect the
average cost of providing particular services on a nationwide basis. To
adjust the fee on the basis of the time it takes to provide the service
would increase the cost of the fees by the additional time and expense
involved in customizing the fee for each individual inspection and
issuance of a phytosanitary certificate. We believe such a system would
be expensive to administer and the additional expenses of such a system
would, in turn, have to be included in the fee, raising it further.
[[Page 2662]]
4. Competitiveness
Many comments stated that our proposed user fees would make it
difficult or impossible for U.S. products to compete in the
international marketplace, especially as some foreign countries,
including Canada, do not charge for phytosanitary certificates. Some
comments also stated that our proposed user fees are anti-competitive
because some countries do not require certificates from exporters in
certain other countries. Comments also stated that our proposed user
fees contradict efforts to increase U.S. exports and will inhibit
exports.
We have carefully considered these comments, but are not making any
changes based on them. Although some countries do not currently charge
for issuing phytosanitary certificates, user fees for this service are
being adopted by more and more countries. In fact, as of May 17, 1995,
Canada charges a user fee for all export phytosanitary certificates
(see May 17, 1995, Canada Gazette Part II, Vol. 129, No. 10, SOR/DORS/
95-218). Other countries, including New Zealand, France, Australia,
Belgium and The Netherlands, also charge user fees for export
phytosanitary certificates. U.S. exporters are therefore not at a
competitive disadvantage compared with exporters in other countries.
To the best of our knowledge, there are no countries which do not
require phytosanitary certificates. However, some countries do not
enforce their requirements in all cases. Also, some countries have
negotiated with individual trading partners and agreed to adjust
certain specific requirements, such as, for example, who fills out the
form and who conducts the inspection, to make certificates easier or
cheaper to obtain. For example, as mentioned elsewhere in this
document, we proposed to allow, under an agreement with the European
Union, approved producers in the United States to complete their own
certificates for kiln-dried lumber and certain other plant products.
Because APHIS inspectors would not inspect each export shipment, costs
would be reduced for both APHIS and the exporter. In this situation the
certificate requirement would not be eliminated, but obtaining a
certificate would be simpler and less time consuming.
5. APHIS Costs and Procedures
Several comments suggested that APHIS should keep its costs as low
as possible, to keep user fees as low as possible. Other comments, many
of which made specific suggestions, stated that APHIS should improve
its service. The suggestions included changes in procedures and
paperwork.
We are always trying to reduce our costs and operate as efficiently
as possible to maintain APHIS user fees at the lowest possible level.
All of the suggestions made by commenters will be carefully considered.
If we determine that changes in procedures and paperwork requirements
are practical and desirable, we will publish proposed changes for
public comment in the Federal Register.
6. Effective Date
One comment suggested that we delay the effective date of any final
rule until January 1996. We understand the commenter's desire to make
business plans and not have business already settled affected by
increases in our user fees. This rule will not take effect until 30
days after the date it is published in the Federal Register. This delay
should give the commenter and others time to prepare.
7. Calculations
One comment objected that a disproportionate share of APHIS costs
is allocated to agricultural exports. The comment appears to say that
APHIS is recovering 21 percent of the total cost for our agricultural
quarantine and inspection (AQI) program through user fees for
phytosanitary certificates. The comment also compares aircraft user
fees with phytosanitary certificate fees and states that each aircraft
fee covers up to 300 individual passenger inspections.
Neither of these statements is correct. User fees for phytosanitary
certificates recover only that portion of the total costs of the AQI
program attributable to phytosanitary certificate issuance.
Phytosanitary certificates actually account for less than 5 percent of
total AQI program costs. More than 95 percent of total AQI program
costs is recovered through other user fees or through appropriated
funds. Among the other user fees is a fee for international commercial
aircraft. The user fee for international commercial aircraft recovers
only the portion of total AQI program costs attributable to
international commercial aircraft inspections. It does not cover
inspection of aircraft passengers. Passengers on international
commercial aircraft pay a separate user fee for inspection services.
This user fee recovers only that portion of total AQI program costs
attributable to international commercial aircraft passenger
inspections. Therefore, we are making no changes based on these
comments.
8. State-Issued Phytosanitary Certificates
A couple of comments addressed the fact that phytosanitary
certificates are issued by some States, and those State-issued
certificates often cost less than federally-issued certificates. The
commenters were concerned that APHIS is ``losing business'' to States.
The commenters were also concerned that recipients of State-issued
certificates are not paying any fee to APHIS, although the certificates
themselves are provided by APHIS, which must also maintain files, track
certificates, and otherwise manage the program.
APHIS provides a service to the public and is not ``in business''
as such. Because APHIS seeks to provide efficient and economical
service, designated State officials are permitted to issue
phytosanitary certificates. Users have the option of obtaining a
phytosanitary certificate from a designated State official, which is
often more convenient, and saves substantial time and transportation
costs.
The commenters are correct that APHIS provides certificates to
States and provides oversight of State programs. Although we have
decided not to make any changes in the proposed regulations at this
time, we will analyze the issue to determine if further adjustments in
the user fees are warranted. If we determine that changes are
desirable, we will publish proposed changes for comment in the Federal
Register.
9. New Fee
One comment suggested that we establish a new category of user fee
for issuing phytosanitary certificates for the reexport of
noncommercial shipments. We are not aware of the need for such an
additional category of user fee at this time. However, we will keep
this suggestion in mind as we continue to review the user fee program.
If we determine that there is a demand for this type of certificate, we
will publish a proposed fee for public comment in the Federal Register.
10. Miscellaneous
One commenter asked who pays for other services. We have user fees
for other services, where appropriate, and the users of those services
pay for them. We do not have user fees for domestic programs. User fees
apply only to import and export services.
The same commenter asked why we ``encourage foreign airlines.''
This comment was apparently prompted by our proposal to lower the user
fee for international commercial aircraft. This
[[Page 2663]]
user fee applies to all commercial aircraft arriving in the customs
territory of the United States. Ownership of the aircraft--foreign or
domestic--is irrelevant. The user fee is designed to recover the cost
of inspection services provided to each aircraft. The fact that we
proposed to lower the user fee only reflects the fact that the costs of
providing this service were lower than anticipated.
Another commenter stated that there is a double charge for State
certificates which are then endorsed by APHIS. We believe the commenter
has misunderstood the system for issuing Federal phytosanitary
certificates. Federal phytosanitary certificates are issued only by
APHIS officials or, in some States which cooperate with APHIS, by
designated State officials. Users pay only one fee for a Federal
phytosanitary certificate, although the certificate may be obtained
from a State or APHIS official.
Some States require a State phytosanitary certificate before
allowing plants or plant products to be moved into their territory from
other parts of the United States. State phytosanitary certificates are
generally not valid for exports to another country.\1\ If a shipper
obtains, and pays for, a State phytosanitary certificate to ship a
commodity interstate, and the shipper then decides to export the plant
or plant products instead, then the shipper must obtain a Federal
certificate either from the State, if it issues Federal phytosanitary
certificates, or from APHIS. If the shipper obtains a certificate from
APHIS, the user fee due for APHIS' certification is not a double
charge: The Federal phytosanitary certificate is a separate document
issued for a different purpose.
\1\ For certain products from certain States, some countries may
accept a State phytosanitary certificate.
---------------------------------------------------------------------------
There are two ways to obtain a federally-issued phytosanitary
certificate for plants regulated under the Endangered Species Act of
1973, as amended (16 U.S.C. 1531 et seq.). The exporter has a choice--
he or she can either obtain a State phytosanitary certificate and
forward it to certain designated APHIS offices, which will issue a
Federal phytosanitary certificate to the exporter by mail; or the
exporter can bring the plants to the nearest designated APHIS office
and APHIS personnel will issue the Federal phytosanitary certificate
directly to the exporter. Which method to use is up to the exporter. If
the exporter chooses to obtain a State phytosanitary certificate and
forward it to APHIS, there will be two fees--one for the State
phytosanitary certificate and one for the Federal phytosanitary
certificate. However, the exporter would save the cost of transporting
the plants to the designated APHIS office.
One commenter stated that he could not figure out in advance what
the user fee would be for a phytosanitary certificate and did not
understand how to obtain a refund of overpayments. This situation only
results when a prospective exporter buys a block of phytosanitary
certificates from APHIS, paying a fixed amount per certificate. Because
the user fee varies for different types of certificates, the actual
user fee due for a particular phytosanitary certificate is not known
until the certificate is complete. For example, the user fee due for a
low value commercial shipment may be less than the user fee already
paid for the certificate. Under these circumstances, the user is
entitled to a refund from APHIS. We have an established refund system.
The user should contact the APHIS office where the block of
certificates was purchased to arrange for a refund.
One commenter also stated that APHIS no longer issues phytosanitary
certificates for as many different plant and plant products as the
agency once did. This is correct. Because importing countries have
stopped requiring phytosanitary certificates for some plants and plant
products, APHIS has stopped issuing phytosanitary certificates for
these plants and plant products.
11. Regulatory Impact Analysis
One comment stated that we have not conducted an economic analysis
of the proposed phytosanitary certificate fees. This is incorrect. Our
analysis was included in the proposed regulations at 60 FR 27439-27440.
An updated analysis, using the most current data available at the time
this was written, is a part of this document.
One comment stated that if we raise the user fees for phytosanitary
certificates, the number of certificates APHIS issues will decline. The
commenter may be correct. However, we do not have data to show how much
of a decline might occur. Regardless, we are required to recover the
cost of providing the service. Therefore, it is necessary to increase
our fees for issuing phytosanitary certificates.
Another comment questioned our statement that $3 billion in exports
was certified during 1993, and suggested it should be much higher. We
have rechecked all of our figures and find that the commenter is
correct. In fact, approximately $39 billion in agricultural exports was
certified in 1993. Our original figure included only fruits and
vegetables; major exports such as lumber and wood products and grain
and cereals were not included. We have revised our Regulatory
Flexibility Act analysis to reflect the correct figure.
Four comments disagreed with our conclusion that the proposed fees
would not have a significant economic impact on a substantial number of
small entities. One stated that we should compare the total user fees
paid by the affected industry with the profit generated by that
industry, rather than comparing user fee costs with overall value of
exports. Another stated that our analysis was valid only as to large
wholesale agriculture shipments.
We have carefully reviewed our analysis. Based on the data
available to us, we continue to believe the proposed fees will not have
a significant economic impact on a substantial number of small
entities. We would have compared the amount of proposed user fees with
business profits if this were possible. However, information on profits
from sales is proprietary for many small entities and not part of the
public record. In order to minimize any potential impact from increased
user fees, small exporters could work through brokers to combine
shipments.
Therefore, based on the rationale set forth in the proposed rule
and in this document, we are adopting the provisions of the proposal as
a final rule, without change.
Executive Order 12866 and Regulatory Flexibility Act
This rule has been reviewed under Executive Order 12866. The rule
has been determined to be significant for the purposes of Executive
Order 12866 and, therefore, has been reviewed by the Office of
Management and Budget.
This rule will increase the user fees for phytosanitary
certificates to recover the cost to APHIS of providing export
certification services for plants and plant products. This rule will
also reduce the user fee for international commercial aircraft to
correspond with the cost to APHIS of providing services. Amendments to
user fees are necessary to adjust for changes in service volume and
service costs.
Federal phytosanitary certificates must be issued by APHIS or, as
explained earlier, by designated State employees in States that
cooperate with APHIS, to be accepted in international commerce. Federal
phytosanitary certificates must accompany the majority of agricultural
commodities (except livestock products) traded. Traded commodities
generally include
[[Page 2664]]
cereals and grains (such as soybeans, wheat, and corn), fruits and
vegetables, other nursery and horticultural products, and lumber and
wood products. In 1993, the value of exported agricultural products
requiring phytosanitary certificates was estimated at $39 billion.
Current user fees for phytosanitary certificates do not fully
recover APHIS' costs for services performed. In fiscal year 1994, the
total cost of providing phytosanitary certificate services was
$4,314,000, while total fee collections amounted only to $3,015,000
when the fees were $30 for commercial certificates and $19 for
noncommercial certificates. The reason for the discrepancy is that we
overestimated the number of certificates and underestimated the time to
issue a certificate, thereby underestimating the cost of issuing each
certificate. The total program cost for the 1995 fiscal year, which we
should have recovered through user fees, was estimated at $4,707,000.
This amount includes costs associated with the direct charges for
program delivery and associated allocations for program direction and
support, agency support, departmental charges, and Office of the
General Counsel services. If the proposed fee increases are adopted,
estimated collections would rise to $4,717,947 annually.
Exporters of agricultural commodities will be affected by this
rule. The Regulatory Flexibility Act requires APHIS to address the
economic impact of imposing user fees on ``small'' entities. The Small
Business Administration (SBA) criteria for a small wholesale business
engaged in the trading of fresh fruits and vegetables is that the
business have 100 or fewer employees. SBA criteria for a small crop
production business is that it have annual revenues up to $500,000.
Approximately 98,387 federally-issued phytosanitary certificates
were issued in 1994. Certificates for commercial shipments are issued
to wholesale businesses engaged in the trading of cereals and grains,
fresh fruits and vegetables, other nursery and horticultural products,
and lumber and wood products. Certificates are also issued to export
brokers who handle shipments of produce from various sources. The
proportion of exporters in this group which may qualify as small is
unknown. It is likely that a large number of these brokers employ fewer
than 100 workers.
The value of an average commercial shipment greatly exceeds the
increase in the $30 user fee up to the $50 user fee. The total value of
agricultural products requiring phytosanitary certificates exported in
1993, estimated at $39 billion, is sufficiently large to incorporate
the 0.012 percent ($4.7 million) in total user fee collection;
consequently, the impact on U.S. producers and exporters is expected to
be very small.
Phytosanitary certificates for noncommercial exporters are
generally issued to individuals and to exporters of low value
commodities. The user fee for this category of phytosanitary
certificate will increase from $19 to $23, an increase of 21 percent.
Although user fees represent a proportionately larger share of the
total value of noncommercial and low value exports, these small exports
may possess a much higher value in the foreign country than in the
United States. Moreover, exports by individuals may be gift items with
nonmonetary values offsetting some of the effect of the fee increase.
SBA criteria for a small airline is that it have 1,500 or fewer
employees. Data from the 1988 Census indicates that there were 67
domestic and international airline operators employing a total of
481,000 employees. Although the size distribution of air carriers that
enter the customs territory of the United States is unknown, the effect
of the proposed user fee change, regardless of carrier size, is
positive--we are proposing a 13 percent user fee reduction, from $61 to
$53 per aircraft. The lower fee is sufficient to recover the full cost
of providing aircraft inspection services, without collecting more
revenue than needed to recover costs. The estimated cost to provide
inspection services for international commercial aircraft in FY 1995 is
$18 million. At the proposed user fee of $53 per aircraft and a
projected FY 1995 commercial aircraft volume of 346,204, total
collections would amount to $18.3 million.
Under these circumstances, the Administrator of the Animal and
Plant Health Inspection Service has determined that this action will
not have a significant economic impact on a substantial number of small
entities.
Executive Order 12372
This program/activity is listed in the Catalog of Federal Domestic
Assistance under No. 10.025 and is subject to Executive Order 12372,
which requires intergovernmental consultation with State and local
officials. (See 7 CFR part 3015, subpart V.)
Executive Order 12778
This rule has been reviewed under Executive Order 12778, Civil
Justice Reform. This rule: (1) Preempts all State and local laws and
regulations that are inconsistent with this rule; (2) has no
retroactive effect; and (3) does not require administrative proceedings
before parties may file suit in court challenging this rule.
Paperwork Reduction Act
In accordance with the Paperwork Reduction Act of 1980 (44 U.S.C.
3501 et seq.), the information collection or recordkeeping requirements
included in this rule have been approved by the Office of Management
and Budget (OMB), and there are no new requirements. The assigned OMB
control number is 1515-0062.
List of Subjects in 7 CFR Part 354
Exports, Government employees, Imports, Plant diseases and pests,
Quarantine, Reporting and recordkeeping requirements, Travel and
transportation expenses.
Accordingly, 7 CFR part 354 is amended as follows:
PART 354--OVERTIME SERVICES RELATING TO IMPORTS AND EXPORTS; AND
USER FEES
1. The authority citation for part 354 continues to read as
follows:
Authority: 7 U.S.C. 2260; 21 U.S.C. 136 and 136a; 49 U.S.C.
1741; 7 CFR 2.17, 2.51, and 371.2(c).
Sec. 354.3 [Amended]
2. Section 354.3 is amended as follows:
a. By revising paragraph (b)(2)(vi) to read as set forth below.
b. In paragraph (e)(1), the last sentence, by removing ``$61.00''
and adding ``$53'' in its place.
c. In paragraph (g)(5)(i)(A), by removing ``$30'' and adding
``$50'' in its place.
d. In paragraph (g)(5)(i)(B), by removing ``$19'' and adding
``$23'' in its place.
e. In paragraph (g)(5)(ii), by removing ``$19'' and adding ``$23''
in its place.
f. In paragraph (g)(5)(iii)(A), by removing ``$30'' and adding
``$50'' in its place.
g. In paragraph (g)(5)(iii)(B), by removing ``$19'' and adding
``$23'' in its place.
h. In paragraph (g)(5)(iv), by removing ``$30'' and adding ``$50''
in its place.
i. In paragraph (g)(5)(v), by removing ``$6'' and adding ``$7'' in
its place.
j. In paragraph (h)(2), by removing ``$6'' and adding ``$7'' in its
place.
k. By adding at the end of the section the following: ``(Approved
by the Office of Management and Budget under control numbers 1515-0062,
0579-0094, or 0579-0052)''.
[[Page 2665]]
Sec. 354.3 User fees for certain international services.
* * * * *
(b) * * *
(2) * * *
(vi) Any vessel which sails only between United States and Canadian
ports, when the Master of such vessel arriving from Canada certifies,
in the ``Remarks'' block of the General Declaration, Customs Form 1301,
that the vessel has sailed solely between the United States and Canada
for the previous 2 years.
* * * * *
(Approved by the Office of Management and Budget under control
numbers 1515-0062, 0579-0094, or 0579-0052)
Done in Washington, DC, this 24th day of January 1996.
Lonnie J. King,
Administrator, Animal and Plant Health Inspection Service.
[FR Doc. 96-1506 Filed 1-26-96; 8:45 am]
BILLING CODE 3410-34-P
Complete official Federal Register PDF
FR Doc. 96-1492 Thrift Savings Plan Participation for Certain Employees of the District of Columbia Financial Responsibility and Management Authority
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2872-2874]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1492]
[[Page 2871]]
_______________________________________________________________________
Part II
Federal Retirement Thrift Investment Board
_______________________________________________________________________
5 CFR Part 1620
Thrift Savings Plan Participation for Certain Employees of the District
of Columbia Financial Responsibility and Management Authority; Interim
Rule
Federal Register / Vol. 61, No. 19 / Monday, January 29, 1996 / Rules
and Regulations
[[Page 2872]]
FEDERAL RETIREMENT THRIFT INVESTMENT BOARD
5 CFR Part 1620
Thrift Savings Plan Participation for Certain Employees of the
District of Columbia Financial Responsibility and Management Authority
AGENCY: Federal Retirement Thrift Investment Board.
ACTION: Interim rule with request for comments.
-----------------------------------------------------------------------
SUMMARY: The Executive Director of the Federal Retirement Thrift
Investment Board is publishing interim regulations to implement section
102(e) of the District of Columbia Financial Responsibility and
Management Assistance Act of 1995 (Act). Under this Act, persons who
separate from Federal employment and who are employed within two months
by the District of Columbia Financial Responsibility and Management
Authority may elect to participate in the Federal retirement system in
which they last participated before separating from Federal service.
These regulations address participation in the Thrift Savings Plan
(TSP) by eligible employees who elect Federal retirement coverage. They
do not apply to eligibility to participate in retirement programs
administered by the Office of Personnel Management (OPM).
DATES: This interim rule is effective January 29, 1996.Comments must be
received on or before March 29, 1996.
ADDRESSES: Comments may be sent to: Patrick J. Forrest, Federal
Retirement Thrift Investment Board, 1250 H Street, NW., Washington,
D.C. 20005.
FOR FURTHER INFORMATION CONTACT: Patrick J. Forrest, (202) 942-1662.
SUPPLEMENTARY INFORMATION: The Federal Retirement Thrift Investment
Board (Board) administers the Thrift Savings Plan (TSP), which was
established by the Federal Employees' Retirement System Act of 1986
(FERSA), Pub. L. 99-335, 100 Stat. 514 (1986), which has been codified,
as amended, largely at 5 U.S.C. 8401-8479 (1994). The TSP is a tax-
deferred retirement savings plan for Federal employees that is similar
to cash or deferred arrangements established under section 401(k) of
the Internal Revenue Code.
The District of Columbia Financial Responsibility and Management
Assistance Act of 1995 (Act), Pub. L. 104-8, section 101, 109 Stat. 97,
100, established the District of Columbia Financial Responsibility and
Management Assistance Authority (Authority) as an entity within the
Government of the District of Columbia. The Act provides that
individuals who commence employment with the Authority within two
months of separating from Federal service may elect to retain their
participation in the ``retirement system in which the individual last
participated before so separating * * *.'' Id., section 102(e)(1)(A),
109 Stat. at 102. Although this language is not explicit with respect
to the TSP, the Act contemplates TSP participation because the TSP is a
component of the Federal Employees' Retirement System (FERS) and the
Civil Service Retirement System (CSRS).
Section 1653.113 of these interim regulations provides that the
Authority must notify an employee of his or her right to participate in
the TSP at the time the employee is required to be notified of his or
her right to elect Federal retirement coverage. Because the TSP is an
important part of the Federal employee's total retirement package, an
employee should be advised of eligibility for TSP participation in
order to make an educated decision whether to elect Federal retirement
coverage.
Section 1620.114 provides that some employees may be eligible to
contribute to the TSP immediately upon employment with the Authority,
while others would be eligible to participate in the TSP during
subsequent TSP open seasons.
Section 1620.114(a) pertains to employees who leave Federal service
and are employed by the Authority with a break in service of less than
31 full calendar days. These employees are treated as though they
transferred from one Federal agency to another with no break in
service. Therefore, if such an employee had a valid TSP contribution
election in effect on the date the employee separated from the Federal
service, the employee's contributions to the TSP will continue without
interruption pursuant to the election that was in effect upon
separation. If such an employee was eligible to participate in the TSP
prior to separation but did not have a valid TSP election in effect on
the date that he or she separated from the Federal service, the
employee will be eligible to contribute to the TSP during the first
open season beginning after the date he or she commences employment
with the Authority. If such an employee was not previously eligible to
participate in the TSP, the employee will become eligible during the
second open season beginning after the date he or she began to work for
the Federal Government, not with the Authority.
Section 1620.114(b) pertains to employees who were separated from
Federal service for 31 or more full calendar days but less than 2
months before they were employed by the Authority. Section
1620.114(b)(1) provides that if such an employee was previously
eligible to participate in the TSP, he or she will be eligible to
contribute to the TSP during the first open season beginning after the
date he or she is employed by the Authority. Section 1620.114(b)(2)
provides that if the employee was not previously eligible to
participate in the TSP, he or she will be eligible to contribute to the
TSP during the second open season beginning after the date he or she is
employed by the Authority.
Section 1620.114(b)(3) provides that if an employee covered under
section 1620.114(b)(1) or (b)(2) commences employment with the
Authority during an open season but before the election period (the
last month of the open season), that open season is considered the
employee's first open season.
These rules are applied in the following examples:
Example Number 1: Assume an employee leaves Federal service and 40
days later, on December 15, 1995 (which is during an open season),
commences employment with the Authority. Assume also that the employee
elects retirement coverage under CSRS. Assume further that the employee
was eligible to contribute to the TSP at the time she separated from
the Federal agency. Because she commenced employment with the Authority
after 31 or more full calendar days, but within 2 months after
separating from Federal service, section 1620.114(b) applies. Because
she previously was eligible to contribute to the TSP, section
1620.114(b)(1) applies. Therefore, the employee is eligible to
contribute to the TSP during the first open season beginning after the
date the employee commenced employment with the Authority. Furthermore,
because the employee was hired during a TSP open season, but not during
the last month of an open season, section 1620.114(b)(3) provides that
the open season during which she commences employment with the
Authority is her first open season. Accordingly, the employee would be
eligible to contribute to the TSP beginning in the first full pay
period in January 1996. (Note that under section 1620.115(a), if the
employee was covered by FERS, she would be entitled to Agency Automatic
(1%) Contributions beginning in the first full pay period in January
1996, whether or not she elected to contribute to the TSP; and that she
would be entitled to
[[Page 2873]]
matching contributions if she did elect to contribute.)
Example Number 2: Assume an employee begins working for the Federal
Government on February 28, 1995, and is recruited by the Authority to
begin working on October 30, 1995. Assume further that the employee
separates from Federal service one week before commencing service with
the Authority, and that he elects continued retirement coverage under
FERS once he starts working for the Authority. Because he commenced
employment with the Authority with less than a 31 day break in service,
1620.114(a) applies. Because he was not previously eligible to
contribute to the TSP, section 1620.114(a)(3) applies and provides that
he is eligible to contribute to the TSP during the second open season
beginning after the date he first began working for the Federal
Government. The employee's first open season was the May 15, 1995, to
July 31, 1995, open season, during which he was employed by the Federal
Government. His second open season is the November 15, 1995, to January
31, 1996, open season, during which he will be employed by the
Authority. Therefore, the employee can contribute to the TSP in the
first full pay period in January 1996. (Also note that under section
1620.115(a), because the employee is covered by FERS, he would be
entitled to Agency Automatic (1%) Contributions beginning in the first
full pay period in January 1996, whether or not he elected to
contribute; and that he would be entitled to matching contributions if
he did elect to contribute.)
Section 1620.117 provides that an employee of the Authority who
elects Federal retirement coverage must notify the TSP recordkeeper
that he or she has commenced employment with the Authority if the
employee separated from Federal service with an outstanding TSP loan.
It may be possible for such employees to continue their TSP loan
payments and thereby avoid repaying in full or having a taxable
distribution declared, if their loan payments resume before their loan
accounts are closed.
Regulatory Flexibility Act
I certify that these regulations will not have a significant
economic impact on a substantial number of small entities because the
regulations will affect only a small number of former Federal employees
and a single agency of the Government of the District of Columbia.
Paperwork Reduction Act
I certify that these regulations do not require additional
reporting under the criteria of the Paperwork Reduction Act of 1980.
Waiver of Notice of Proposed Rulemaking and 30-Day Delay of Effective
Date
Under 5 U.S.C. 553 (b)(3)(B) and (d)(3), I find that good cause
exists for waiving the general notice of proposed rulemaking and for
making these regulations effective in less than 30 days. Elections made
under these regulations will affect qualifying employees' participation
in the TSP retroactive to their entry on duty with the Authority. The
intent of the legislation is to allow eligible employees to participate
in the TSP as soon as practicable. A delay in the effective date of
these regulations would be contrary to the intent of the legislation
and to the public interest because it would delay the election
opportunity for eligible employees during the initial staffing of the
Authority.
Unfunded Mandates Reform Act of 1995
Pursuant to the Unfunded Mandates Reform Act of 1995, Pub. L. 104-
4, section 201, 109 Stat. 48, 64, the effect of this regulation on
State, local, and tribal governments and on the private sector has been
assessed. This regulation will not compel the expenditure in any one
year of $100 million or more by any State, local, or tribal governments
in the aggregate or by the private sector. Therefore, a statement under
section 202, 109 Stat. 48, 64-65, is not required.
List of Subjects in 5 CFR Part 1620
District of Columbia, Employment benefit plans, Government
employees, Retirement, Pensions.
Federal Retirement Thrift Investment Board.
Roger W. Mehle,
Executive Director.
For the reasons set out in the preamble, 5 CFR Chapter VI is
amended as set forth below:
PART 1620--CONTINUATION OF ELIGIBILITY
1. The authority citation for part 1620 is revised to read as
follows:
Authority: 5 U.S.C. 8474 and 8432b; Pub. L. 99-591, 100 Stat.
3341; Pub. L. 100-238, 101 Stat. 1744; Pub. L. 100-659, 102 Stat.
3910; Pub. L. 104-4, 109 Stat. 48.
2. Subpart I is added to part 1620 to read as follows:
Subpart I--Certain Employees of the District of Columbia Financial
Responsibility and Management Assistance Authority.
Sec.
1620.110 Scope.
1620.111 Definitions.
1620.112 Eligibility requirements.
1620.113 Notice to an employee of his or her right to participate
in the TSP.
1620.114 Employee contributions.
1620.115 Employer contributions.
1620.116 TSP contributions.
1620.117 TSP loan payments.
1620.118 Failure to participate or delay in participation.
1620.119 Other regulations.
Subpart I--Certain Employees of the District of Columbia Financial
Responsibility and Management Assistance Authority
Sec. 1620.110 Scope.
The District of Columbia Financial Responsibility and Management
Assistance Authority (Authority) was established by the District of
Columbia Financial Responsibility and Management Assistance Act of 1995
(the Act), Public Law 104-8, 109 Stat. 97. Although the Authority is an
agency of the District of Columbia Government, any individual who is
employed by the Authority within two months after being separated from
Federal service may elect to retain his or her participation in the
retirement system in which the individual last participated before
separating from Federal service. This subpart governs participation in
the Thrift Savings Plan (TSP) by employees of the Authority who elect
to be covered by FERS or CSRS.
Sec. 1620.111 Definitions.
As used in this subpart:
Authority means the District of Columbia Financial Responsibility
and Management Authority.
Basic pay means basic pay as defined in 5 U.S.C. 8431.
CSRS means the Civil Service Retirement System established by
subchapter III of chapter 83 of title 5, United States Code, or any
equivalent Government retirement plan.
Election period means the last calendar month of an open season and
is the period in which an election to make or change contributions
during that open season can first become effective.
FERS means the Federal Employees' Retirement System established by
chapter 84 of title 5, United States Code, and any equivalent
retirement system.
Open season means the period during which employees may make an
election with respect to their contributions to the Thrift Savings
Plan.
[[Page 2874]]
Recordkeeper means the organization under contract to the Board to
perform recordkeeping services. This currently is the National Finance
Center, United States Department of Agriculture, P.O. Box 61500, New
Orleans, Louisiana 70161- 1500.
Retirement election means an election by an eligible employee of
the Authority to remain covered by either CSRS or FERS.
Thrift Savings Plan (TSP) election means a request by an eligible
employee to start contributing to the TSP, to terminate contributions
to the TSP, to change the amount of contributions made to the TSP each
pay period (including a request to terminate contributions), or to
change the allocation of TSP contributions among the TSP investment
funds, as described at 5 CFR 1600.4. A TSP election must be made on
Form TSP-1, Thrift Savings Plan Election Form.
Sec. 1620.112 Eligibility requirements.
To be eligible to participate in the TSP, an employee of the
Authority must:
(a) Have been separated from the Federal service for not more than
2 months before commencing employment with the Authority;
(b) Have been covered by FERS or CSRS immediately before separating
from Federal service; and
(c) Have elected to be covered by FERS or CSRS within the time
permitted by the United States Office of Personnel Management.
Sec. 1620.113 Notice to an employee of his or her right to participate
in the TSP.
The Authority must notify an employee of his or her right to
participate in the TSP at the time the employee is required to be
notified of his or her right to elect to be covered under FERS or CSRS.
Sec. 1620.114 Employee contributions.
(a) An employee of the Authority who is separated from Federal
service for less than 31 full calendar days before commencing
employment with the Authority and who elects to be covered by FERS or
CSRS within the time period mandated by the United States Office of
Personnel Management will be eligible to contribute to the TSP as
though he or she had transferred to the Authority from the losing
Federal agency, i.e., as though the employee did not have a break in
service as defined by the TSP.
(b) An employee who is employed by the Authority after 31 or more
full calendar days but within 2 months after separating from Federal
service and who elects to be covered by FERS or CSRS within the time
period permitted by the United States Office of Personnel Management
will be eligible to contribute to the TSP as follows:
(1) If the employee was previously eligible to participate in the
TSP, the employee will be eligible to contribute to the TSP in the
first open season (as determined in accordance with paragraph (b)(3) of
this section) beginning after the date the employee commences
employment with the Authority.
(2) If the employee was not previously eligible to participate in
the TSP, the employee will be eligible to contribute to the TSP in the
second open season (as determined in accordance with paragraph (b)(3)
of this section) beginning after the date the employee commences
employment with the Authority.
(3) If an employee of the Authority who is described in paragraphs
(b)(1) and (b)(2) of this section is employed by the Authority during
an open season, but before the election period (the last calendar month
of the open season), the open season during which the employee is
employed will be considered the employee's first open season.
(c) TSP contributions from employees of the Authority must be made
from the employee's basic pay for service with the Authority and are
subject to the limits described at 5 CFR Part 1600, subpart C.
Sec. 1620.115 Employer contributions.
(a) If an eligible employee of the Authority elects to be covered
by FERS, the Authority must contribute on the employee's behalf each
pay period to the Thrift Savings Fund, in accordance with Board
procedures, an amount equal to 1 percent of the employee's basic pay
paid to such employee for that period of service, as required by 5
U.S.C. 8432(c)(1)(A), beginning:
(1) Immediately upon employment with the Authority if the employee
separated from Federal service less than 31 full calendar days before
commencing employment with the Authority and was eligible to
participate in the TSP when he or she separated from Federal service;
or
(2) With the first pay period in which the employee is eligible to
contribute to the TSP (as determined in accordance with Sec. 1620.114
of this subpart) for all other FERS employees of the Authority.
(b) If a FERS employee of the Authority elects to participate in
the TSP under Sec. 1620.114 of this subpart, the Authority must
contribute on behalf of such employee each pay period to the Thrift
Savings Fund, in accordance with Board procedures, any matching
contributions which he or she is eligible to receive under 5 U.S.C.
8432(c).
Sec. 1620.116 TSP contributions.
The Authority is responsible for transmitting, in accordance with
Board procedures, any employee and employer contributions that are
required by this subpart to the Board's Recordkeeper.
Sec. 1620.117 TSP loan payments.
The Authority shall deduct and transmit TSP loan payments for
employees in accordance with 5 CFR part 1655 and Board procedures. An
employee of the Authority who separates from Federal service with an
outstanding TSP loan and who elects to be covered under FERS or CSRS
must notify the recordkeeper that he or she has commenced employment
with the Authority.
Sec. 1620.118 Failure to participate or delay in participation.
If an employee of the Authority who elects to be covered by FERS or
CSRS fails to participate or is delayed in participating in the TSP
because of a delay in the implementation of the Act or in the
promulgation of the regulations in this subpart, the employee may
request that retroactive corrective action be taken in accordance with
5 CFR 1605.2(b)(2), as if the delay were attributable to employing
agency error. Lost earnings shall be payable pursuant to 5 CFR part
1606 due to delay described in this section, as if the delay were
attributable to employing agency error.
Sec. 1620.119 Other regulations.
The Authority and individuals covered by Sec. 1620.110 of this
subpart are governed by the regulations in 5 CFR chapter VI, to the
extent the regulations in 5 CFR chapter VI are not inconsistent with
this subpart.
[FR Doc. 96-1492 Filed 1-26-96; 8:45 am]
BILLING CODE 6760-01-P
Complete official Federal Register PDF
FR Doc. 96-1489 Securities Credit Transactions; List of Marginable OTC Stocks; List of Foreign Margin Stocks
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2667-2671]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1489]
=======================================================================
-----------------------------------------------------------------------
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. There are
no additions to or deletions from the previous Foreign List.
EFFECTIVE DATE: February 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 additions to and deletions
from the OTC List, which was last published on October 30, 1995 (60 FR
55183), and became effective November 13, 1995. A copy of the complete
OTC List is available from the Federal Reserve Banks.
The OTC List includes those stocks 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.
There are no new additions, deletions or changes to the Board's
Foreign List, which was last published on October 30, 1995 (60 FR
55183), and which became effective November 13, 1995. The Foreign List
includes those foreign equity securities that meet the criteria in
section 220.17 of Regulation T and are eligible for margin treatment at
broker-dealers on the same basis as domestic margin securities. A copy
of the complete Foreign List is available from the Federal Reserve
Banks.
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)
[[Page 2668]]
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(u) 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.
Deletions From the List of Marginable OTC Stocks
Stocks Removed for Failing Continued Listing Requirements
ACCESS HEALTHNET, INC.
$.001 par common
ALPHAREL, INC.
Warrants (expire 12-12-95)
BIO-TECHNOLOGY GENERAL CORP.
Warrants (expire 12-19-95)
BIOMEDICAL WASTE SYSTEMS, INC.
$.001 par common
BRENDLE'S INCORPORATED
$1.00 par common
CLIFF'S DRILLING COMPANY
No par convertible exchangeable prefeeerf
COMET SOFTWARE INTERNATIONAL
Ordinary shares (NIS .01)
CPI AEROSTRUCTRUES, INC.
$.001 par common
DEP CORPORATION
$.01 par common
Class A, $.01 par common
DIPLOMAT CORPORATION
Warrants () expire 11-04-98)
ECOSCIENCE CORPORATION
$.01 par common
EFI ELECTRONICS CORPORATION
$.0001 par common
HAMBURGER HAMLET RESTAURANTS, INC.
$.01 par common
HFS INCORPORATED
Warrants (expire 08-10-98)
HUDSON TECHNOLOGIES, INC.
Warrants (expire 11-02-99)
INDENET, INC.
Class B, warrants (expire 08-31-98)
INTERFACE SYSTEMS, INC.
Warrants (expire 12-29-95)
INTERFACE, INC.
8% convertible debentures due 2013
INTERNATIONAL NURSING SERVICE
12% cumulative convertible preferred
INTERNATIONAL TOURIST ENTERTAINMENT CORP.
$.001 par common
LM ERICSSON TELEPHONE COMPANY
Rights
LOUISVILLE GAS & ELECTRIC CO.
7.45% preferred stock
MEDALLIANCE INC.
$.01 par common
MET-COIL SYSTEMS CORPORATION
$.01 par common
MICROS-TO-MAINFRAMES, INC.
Warrants (expire 10-26-97)
MONACO FINANCE, INC.
Class B, warrants (expire 12-11-95)
NDC AUTOMATION, INC.
$.01 par common
ORBIT INTERNATIONAL CORPORATION
$.10 par common
PEASE OIL AND GAS COMPANY
Series A, $.01 par cumulative convertible preferred
PHARMACIA CORPORATION
American Depositary Receipts
PINNACLE BANC GROUP, INC. (IL)
$4.69 par common
PROGRAOUP, INC.
$.50 par common
RAMTRON INTERNATIONAL CORP.
Series C, $.01 par convertible preferred
REN CORPORATION--USA
No par common
REXON, INCORPORATED
No par common
SAYETT GROUP, INC.
$.01 par common
SUNSTATES CORPORATION
$.33\1/3\ par common
$3.75 par cumulative preferred
WORK RECOVERY, INC.
$.004 par common
ZYNAXIS, INC.
$.01 par common
Stocks Removed for Listing on a National Securities Exchange or
Being Involved in an Acquisition
AAMES FINANCIAL CORPORATION
$.01 par common
ACX TECHNOLOGIES, INC.
$.01 par common
ADVANCE ROSS CORPORATION
$.10 par common
ADVANTAGE COMPANIES, INC.
No par common
AMERICAN CITY BUSINESS JOURNALS, INC.
$.01 par common
AMERICAN CONSUMER PRODUCTS, INC.
$.10 par common
AMERICAN ELECTRONIC COMPONENTS, INC.
No par common
AMFED FINANCIAL, INC.
$.01 par common
APPLIED IMMUNE SCIENCES, INC.
$.01 par common
ARAMED, INC.
$.01 par callable common
ARAN ENERGY PLC
American Depositary Receipts
BANCTEC, INC. (TX)
$.01 par common
BANK SOUTH CORPORATION (GA)
$5.00 par common
BAY RIDGE BANCORP, INC.
$.10 par common
BIOSAFETY SYSTEMS, INC.
$.01 par common
BOLLE AMERICA, INC.
$.01 par common
BRAINTREE SAVINGS BANK (MA)
$1.00 par common
C C H INC.
Class A, $1.00 par common
Class B, $1.00 par common
CAPITAL BANCORPORATION, INC. (MO)
$.10 par common
Depositary shares
CARELINE, INC.
$.0001 par common
CF BANCORP, INC.
$.01 par common
CHARTER FEDERAL SAVINGS BANK (VA)
$.01 par common
CITIZENS FEDERAL BANK, FSB
Series 1993 A, 8.75% par noncumulative preferred
COLUMBIA FIRST BANK, FSB
$.01 par common
COMDATA HOLDINGS CORPORATION
$.01 par common
CORNERSTONE FINANCIAL CORP.
No par common
CSF HOLDINGS, INC.
$.01 par common
D F & R RESTAURANTS, INC.
$.01 par common
DATA MEASUREMENTS CORPORATION
$.01 par common
DATA SWITCH CORPORATION
$.01 par common
DELRINA CORPORATION
No par common
DELTA AND PINE LAND COMPANY
$.10 par common
DEVRY INC.
$.01 par common
ELCO INDUSTRIES, INC.
$5.00 par common
FAIRFIELD COMMUNITIES, INC.
$.01 par common
FALCON PRODUCTS, INC.
$.02 par common
FAR EAST NATIONAL BANK (CA)
$1.25 par common
FIRST UNITED SAVINGS BANK, FSB (IN)
[[Page 2669]]
$.01 par common
FIRSTFED MICHIGAN CORPORATION
$.01 par common
FOUNDERS FINANCIAL CORPORATION (FL)
$1.00 par common
FRAME TECHNOLOGY CORPORATION
No par common
FSB FINANCIAL CORPORATION
$.01 par common
GAMING CORPORATION OF AMERICA
$.02 par common
GARDEN STATE BANCSHARES, INC. (NJ)
No par common
GREAT COUNTRY BANK (CT)
$1.00 par common
GRIFFIN TECHNOLOGY INCORPORATED
$.05 par common
GROWTH FINANCIAL CORP. (NJ)
$1.00 par common
HAWKEYE BANCORPORATION (IA)
No par common
HEART TECHNOLOGY, INC.
$.01 par common
HELIAN HEALTH GROUP, INC.
$.01 par common
HERITAGE FEDERAL BANCSHARES, INC. (TN)
$1.00 par common
HOLLINGER INTERNATIONAL, INC.
Class A, $.01 par common
HORTON, D.R., INC.
$.01 par common
HUFFMAN KOOS, INC.
$.01 par common
HUNGARIAN TELEPHONE & CABLE CORP.
$.001 par common
INSITUFORM MID-AMERICA, INC.
Class A, $.01 par common
INTEGRATED SILICON SOLUTION, INC.
$.001 par common
INTERCONTINENTAL BANK (FL)
$2.00 par common
JOSLYN CORPORATION
$1.25 par common
KBK CAPITAL CORPORATION
$.01 par common
KENTUCKY MEDICAL INSURANCE CO.
Class A, $2.80 par common
LANNET DATA COMMUNICATIONS LTD.
Ordinary shares, NIS .1 par value
LAWYERS TITLE CORPORATION
No par common
LEARNING COMPANY, THE
$.001 par common
LEGENT CORPORATION
$.01 par common
LEXINGTON SAVINGS BANK (MA)
$.30 par common
LILLY INDUSTRIES, INC.
Class A, no par common
LINCOLN SAVINGS BANK (PA)
$1.00 par common
LOYOLA CAPITAL CORPORATION
$.10 par common
MAIN STREET COMMUNITY BANCORP, INC.
$.01 par common
MARBLE FINANCIAL CORPORATION
$1.00 par common
MAXTOR CORPORATION
$.01 par common
MEDICAL MANAGEMENT, INC.
$.001 par common
MEDICINE SHOPPE INTERNATIONAL, INC.
$.01 par common
MEGATEST CORPORATION
$.001 par common
MICHIGAN NATIONAL CORPORATION
$10.00 par common
MIDLANTIC CORPORATION
$3.00 par common
MILLER INDUSTRIES, INC.
$.01 par common
MULTIMEDIA, INC.
$.10 par common
NATIONAL BEVERAGE CORP.
$.01 par common
NETWORTH, INC.
$.01 par common
NEWPARK RESOURCES, INC.
$.01 par common
NEXGEN, INC.
$.0001 par common
NORRELL CORPORATION
No par common
NORWEB PLC
American Depositary Receipts
NU-WEST INDUSTRIES, INC.
$.01 par common
Class A, $100 par preferred
ORION PICTURES CORPORATION
$.25 par common
ORNDA HEALTHCORP
$.01 par common
PIEDMONT MANAGEMENT COMPANY INC.
$.50 par common
PIONEER HI-BRED INTERNATIONAL, INC.
$1.00 par common
PREMIER BANCORP, INC. (LA)
No par common
PRIME RESIDENTIAL, INC.
$.01 par common
RENAL TREATMENT CENTERS, INC.
$.01 par common
RETIREMENT CARE ASSOCIATES, INC.
$.0001 par common
RIO HOTEL AND CASINO, INC.
$.01 par common
ROADWAY SERVICES, INC.
No par common
ROBEC, INC.
$.01 par common
ROGERS CANTEL MOBILE COMMUNICATIONS, INC.
Class B, no par subordinated voting shares
ROPAK CORPORATION
$.01 par common
ROUSE COMPANY, THE
$.01 par common
Series A, convertible preferred stock
RS FINANCIAL CORPORATION
$1.00 par common
RULE INDUSTRIES, INC.
$.01 par common
SCIGENICS, INC.
$.01 par callable common
SCOTTS COMPANY, THE
Class A, $.01 par common
SHELTON BANCORP, THE (CT)
$1.00 par common
SHL SYSTEMHOUSE INC.
No par common
SIMMONS OUTDOOR CORPORATION
$.01 par common
SUNBELT COMPANIES, INC., THE
$.01 par common
SUNRISE BANCORP, INC. (NY)
$.10 par common
SYNTRO CORPORATION
$.01 par common
UNIVAX BIOLOGICS, INC.
$.01 par common
WEST ONE BANCORP (ID)
$1.00 par common
WSB BANCORP, INC. (MO)
$.01 par common
XYLOGICS, INC.
$.10 par common
Additions to the List of Marginable OTC Stocks
A.D.A.M. SOFTWARE, INC.
$.01 par common
AASCHE TRANSPORTATION SERVICES, INC.
Warrants (expire 02-09-2000)
ABACAN RESOURCE CORPORATION
No par common
ACCENT SOFTWARE INTERNATIONAL
Ordinary shares par NIS .01
ACTIVE APPAREL GROUP, INC.
$.002 par common
ADEPT TECHNOLOGY, INC.
No par common
ADVANCED ENERGY INDUSTRIES, INC.
$.001 par common
ADVANCED LIGHTING TECHNOLOGIES, INC.
$.001 par common
ADVENT SOFTWARE, INC.
$.01 par common
AFFILIATED COMMUNITY BANCORP, INC.
$.01 par common
AFFINITY TELEPRODUCTIONS, INC.
$.01 par common
AIR CANADA CORPORATION
Class A, non-voting par common
AJAY SPORTS, INC.
Series C, 10% par cumulative convertible preferred
ALL AMERICAN COMMUNICATIONS, INC.
Class B, non-voting, $.0001 par common
AMBANC HOLDING CO., INC.
$.01 par common
AMERICAN ECO CORPORATION
No par common
AMERIN CORPORATION
$.01 par common
AMISYS MANAGED CARE SYSTEMS, INC.
$.001 par common
AML COMMUNICATIONS, INC.
$.01 par common
AMX CORPORATION
$.01 par common
APPLIED MICROSYSTEMS CORPORATION
$.01 par common
ARBOR SOFTWARE CORPORATION
$.001 par common
AREA BANCSHARES CORPORATION
No par common
ARGYLE TELEVISION, INC.
Class A, $.01 par common
ARIEL CORPORATION
$.001 par common
Warrants (expire 01-25-2000)
ASCENT ENTERTAINMENT GROUP, INC.
$.01 par common
BALLARD POWER SYSTEMS, INC.
No par common
BALLY TOTAL FITNESS HOLDING CORPORATION
$.01 par common
BE SEMICONDUCTOR INDUSTRIES NV
Ordinary shares par NLG 5.00
BENCHMARQ MICROELECTRONICS, INC.
$.001 par common
CALIFORNIA MINING CORPORATION
[[Page 2670]]
No par common
CALLON PETROLEUM COMPANY
Series A, $.01 par convertible exchangeable preferred
CAPITAL CORP OF THE WEST
No par common
CARDIOMETRICS, INC.
$.01 par common
CARDIOVASCULAR DIAGNOSTICS, INC.
$.001 par common
CARNEGIE GROUP, INC.
$.01 par common
CASTELLE
No par common
CATALYST INTERNATIONAL, INC.
$.01 par common
CELERITEK, INC.
No par common
CFC INTERNATIONAL, INC.
$.01 par common
CHANTAL PHARMACEUTICAL CORPORATION
$.01 par common
CHARTER FINANCIAL, INC.
$.10 par common
CHARTER POWER SYSTEMS, INCORPORATED
$.01 par common
CHARTWELL RE CORPORATION
$.01 par common
CITRIX SYSTEMS, INC.
$.001 par common
CITYSCAPE FINANCIAL CORPORATION
$.01 par common
CKS GROUP, INC.
$.001 par common
CLARIFY INC.
$.0001 par common
COMPLETE MANAGEMENT, INC.
$.001 par common
COMPUMED, INC.
$.01 par common
COMSTOCK BANK (Nevada)
$.50 par common
CONSOLIDATED DELIVERY & LOGISTICS, INC.
$.01 par common
COOPER & CHYAN TECHNOLOGY, INC.
$.01 par common
CORESTAFF, INC.
$.01 par common
CORTECS INTERNATIONAL LIMITED
American Depositary Receipts
CORVITA CORPORATION
$.001 par common
COUNTRY STAR RESTAURANTS, INC.
$.001 par common
Series A, 6% par cumulative convertible prefered
CRONOS GROUP, THE
$2.00 par common
DATAWORKS CORPORATION
No par common
DIAGNOSTIC HEALTH SERVICES, INC.
No par common
Warrants (expire 06-22-98)
DIEHL GRAPHSOFT, INC.
No par common
EAGLE USA AIRFREIGHT, INC.
$.001 par common
EFFECTIVE MANAGEMENT SYSTEMS, INC.
Warrants (expire 09-06-2005)
ELCOM INTERNATIONAL, INC.
$.01 par common
ELECTROSTAR, INC.
$.01 par common
ELEXSYS INTERNATIONAL, INC.
$1.00 par common
EMCOR GROUP, INC.
$.01 par common
ENTERPRISE SYSTEMS, INC.
$.01 par common
EQUIVISION INC.
No par common
ERGO SCIENCE CORPORATION
$.01 par common
ESTENDED STAY AMERICA, INC.
$.01 par common
ETEC SYSTEMS, INC.
$.01 par common
FIRST CITY FINANCIAL CORPORATION
$.01 par special B preferred
FIRST COMMONWEALTH, INC.
$.001 par common
FIRST FINANCIAL BANCORP, INC. (Florida)
No par common
FIRST SAVINGS BANK OF WASHINGTON BANCORP, INC.
$.01 par common
FLUSHING FINANCIAL CORPORATION
$.01 par common
FOREFRONT GROUP, INC., THE
$.01 par common
FRACTAL DESIGN CORPORATION
$.001 par common
FRENCH FRAGRANCES, INC.
$.01 par common
FUISZ TECHNOLOGIES, LTD.
$.01 par common
GCR HOLDINGS, LIMITED
$.10 par ordinary shares
GELTEX PHARMACEUTICALS, INC.
$.01 par common
GENSIA, INC.
Rights (expire 12-31-96)
GLENDALE FEDERAL BANK, FSB (California)
Warrants (expire 08-21-2000)
GLIATECH INC.
$.01 par common
GT INTERACTIVE SOFTWARE CORPORATION
$.01 par common
GUARANTEE LIFE COMPANIES, INC., THE
$.01 par common
GYNECARE INC.
$.01 par common
HALSTEAD ENERGY CORPORATION
$.001 par common
HART BREWING, INC.
$.01 par common
HELP AT HOME, INC.
$.02 par common
Warrants (expire 12-05-2000)
HENRY SCHEIN, INC.
$.01 par common
HFNC FINANCIAL CORPORATION
$.01 par common
HIGHLAND FEDERAL BANK, F.S.B. (California)
$1.00 par common
HOME CENTERS (DIY) LIMITED
Ordinary Shares par NIS 1.00
HOME HEALTH CORPORATION OF AMERICA, INC.
$.01 par common
IDX SYSTEMS CORPORATION
$.01 par common
IMAGE SENSING SYSTEMS, INC.
$.01 par common
IMPERIAL GINSENG PRODUCTS LIMITED
No par common
IMPERIAL THRIFT AND LOAN ASSOCIAION
No par common
INCYTE PHARMACEUTICALS, INC.
$.001 par common
INSIGNIA SOLUTIONS, PLC
American Depositary Receipts
INTEVAC, INC
No par common
INVESTORS FINANCIAL SERVICES CORPORATION
$.01 par common
IPSWICH SAVINGS BANK (Massachusetts)
$.10 par common
ITALIAN OVEN, INC., THE
$.01 par common
ITEX CORPORATION
$.01 par common
JAVA CENTRALE, INC.
No par common
JERRY'S FAMOUS DELI, INC.
No par common
KENSEY NASH CORPORATION
$.001 par common
LAFAYETTE INDUSTRIES, INC.
$.01 par common
LASALLE RE HOLDINGS, LIMITED
$1.00 par common
LEARMONTH & BURCHETT MANAGEMENT SYSTEMS, INC.
American Depositary Receipts
LEARNING TREE INTERNATIONAL, INC.
$.0001 par common
LERNOUT & HAUSPIE SPEECH PRODUCTS, N.V.
No par common
LEXINGTON GLOBAL ASSET MANAGERS, INC.
$.01 par common
LITTLE FALLS BANCORP, INC.
$.10 par common
LOGANSPORT FINANCIAL CORP.
No par common
LUCOR, INC.
Class A, $.02 par common
LUMISYS INCORPORATED
$.001 par common
M.A.I.D., PLC
American Depositary Receipts
MECON, INC.
$.001 par common
META GROUP, INC.
$.01 par common
META-SOFTWARE, INC.
No par common
METATOOLS, INC.
$.001 par common
MICROFIELD GRAPHICS, INC.
No par common
MID-IOWA FINANCIAL CORP.
$.01 par common
MIDDLEBY CORPORATION, THE
$.01 par common
MOBILE MINI, INC.
$.01 par common
MOLECULAR DEVICES CORPORATION
$.001 par common
MORROW SNOWBOARDS, INC.
No par common
NAPRO BIOTHERAPEUTICS, INC.
$.0075 par common
Warrants (expire 08-01-98)
NATIONAL SURGERY CENTERS, INC.
$.01 par common
NATIONAL WIRELESS HOLDINGS, INC.
$.01 par common
NETWORK APPLIANCE CORPORATION
No par common
NEUROMEDICAL SYSTEMS, INC.
[[Page 2671]]
$.0001 par common
NIMBUS CD INTERNATIONAL, INC.
$.01 par common
NOODLE KIDOODLE, INC.
$.10 par common
NOR'WESTER BREWING COMPANY, INC.
No par common
NORTHWEST PIPE COMPANY
$.01 par common
NS & L BANCORP, INC. (Missouri)
$.01 par common
NUCO2, INC.
$.001 par common
OBJECTIVE SYSTEMS INTEGRATORS, INC.
No par common
OLS ASIA HOLDINGS LIMITED
American Depositary Receipts
Redeemable purchase warrants (expire 12-18-98)
ON-GARD SYSTEMS, INC.
$.001 par common
ORPHAN MEDICAL, INC.
$.01 par common
PAN AMERICAN SILVER CORP.
No par common
PAREXEL INTERNATIONAL CORPORATION
$.01 par common
PATHOGENESIS CORPORATION
$.001 par common
PATRIOT BANK CORPORATION
$.01 par common
PEEKSKILL FINANCIAL CORPORATION
$.01 par common
PERCLOSE INC.
$.001 par common
PETE'S BREWING COMPANY
No par common
PHARMACOPEIA, INC.
$.0001 par common
PHARMACYCLICS, INC.
$.0001 par common
PHARMHOUSE CORP.
$.01 par common
PHOTON DYNAMICS, INC.
No par common
PHYSIO-CONTROL INTERNATIONAL CORPORATION
$.01 par common
PIXAR
No par common
PPT VISION, INC.
$.10 par common
QUAD CITY HOLDINGS, INC.
$1.00 par common
QUINTEL ENTERTAINMENT, INC.
$.001 par common
RADISYS CORPORATION
No par common
RAINFOREST CARE, INC.
No par common
RATTLESNAKE HOLDING COMPANY, INC., THE
$.001 par common
RAYTEL MEDICAL CORPORATION
$.01 par common
READICARE, INC.
$.01 par common
REDWOOD TRUST, INC.
Warrants (expire 12-31-97)
REGENT ASSISTED LIVING, INC.
No par common
REPUBLIC SECURITY FINANCIAL CORPORATION (Florida)
Series C, 7% par cumulative convertible preferred
RESOURCE MORTGAGE CAPITAL, INC.
Series B, convertible preferred
RESPONSE ONCOLOGY, INC.
$.01 par common
ROADWAY EXPRESS, INC.
$.01 par common
ROSS TECHNOLOGY, INC.
$.01 par common
RSI SYSTEMS, INC.
$.01 par common
SAGEBRUSH INC.
No par common
SAIPIENS INTERNATIONAL CORPORATION NV
Common shares par NLG 1.00
SANDISK CORPORATION
$.001 par common
SANO CORPORATION
$.01 par common
SAVILLE SYSTEMS, PLC
American Depositary Receipts
SCANVEC COMPANY (1990), LTD.
Ordinary Shares NIS 1.00
SCHLOTZSKY'S INC.
No par common
SCOPUS TECHNOLOGY, INC.
$.001 par common
SECURE COMPUTING CORPORATION
$.01 par common
SEL-LAB MARKETING, INC.
$.01 par common
SHERIDAN HEALTHCARE, INC.
$.01 par common
SILICON STORAGE TECHNOLOGY, INC.
No par common
SIMON TRANSPORTATION SERVICES, INC.
$.01 par common
SMART MODULAR TECHNOLOGIES, INC.
No par common
SMT HEALTH SERVICES, INC.
$.01 par common
Warrants (expire 03-04-97)
SOFTWARE 2000, INC.
$.01 par common
SOURCE MEDIA, INC.
$.001 par common
SPACEHAB INCORPORATED
No par common
SPACETEC IMC CORPORATION
$.01 par common
SQA INC.
$.01 par common
STAR GAS PARTNERS, L.P.
Shares of beneficial interest
STERLING VISION, INC.
$.01 par common
STOLT-NIELSEN S.A.
American Depositary Receipts
SUPERIOR ENERGY SERVICES, INC.
Class B, warrants (expire 12-08-2000)
SYNAPTIC PHARMACEUTICAL CORPORATION
$.01 par common
SYNC RESEARCH, INC.
$.001 par common
TCI COMMUNICATIONS, INC.
Series A, 4\1/4\% par cumulative exchangeable preferred
TECHFORCE CORPORATION
$.01 par common
TECHNOLOGY RESEARCH CORPORATION
$.17 par common
TEE-COMM ELECTRONICS, INC.
Purchase warrants (expire 11-22-96)
TEGAL CORPORATION LTD.
$.01 par common
TEL-COM WIRELESS CABLE TV CORPORATION
$.001 par common
TOLLGRADE COMMUNICATIONS, INC.
$.20 par common
TRANS-INDUSTRIES, INC.
$.10 par common
TRIPLE P, N.V.
NLG .20 par common
ULTRADATA SYSTEMS, INC.
$.01 par common
Class A, warrants (expire 02-01-98)
UNISON HEALTHCARE CORPORATION
$.001 par common
UNITED AIR SPECIALISTS, INC.
No par common
UNITED PETROLEUM CORPORATION
$.01 par common
USCI INC.
$.0001 par common
VACATION BREAK U.S.A., INC.
$.01 par common
VDC CORPORATION, LTD.
$.10 par common
VENTURE SEISMIC, LTD.
No par common
Warrants (expire 11-06-2000)
VIEW TECH, INC.
$.01 par common
Warrants (expire 06-16-98)
VISIO CORPORATION
$.01 par common
VISIONEER, INC.
$.001 par common
VISTA 2000, INC.
$.01 par common
VITRAN CORPORATION, INC.
Class A, voting shares
WEGENER CORPORATION
$.01 par common
WESTELL TECHNOLOGIES, INC.
Class A, $.01 par common
WESTERN COUNTRY CLUBS, INC.
$.01 par common
WESTERN PACIFIC AIRLINES, INC.
$.001 par common
WIRELESS ONE, INC.
$.01 par common
XATA CORPORATION
$.01 par common
YES! ENTERTAINMENT CORPORATION
No par common
ZORAN CORPORATION
$.001 par common
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)), January 23, 1996.
William W. Wiles,
Secretary of the Board.
[FR Doc. 96-1489 Filed 1-26-96; 8:45 am]
BILLING CODE 6210-01-P
Complete official Federal Register PDF
FR Doc. 96-1484 Coastal Migratory Pelagic Resources of the Gulf of Mexico and South Atlantic; Trip Limit Reduction
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2728-2729]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1484]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
50 CFR Part 642
[Docket No. 950725189-5260-02; I.D. 012396A]
Coastal Migratory Pelagic Resources of the Gulf of Mexico and
South Atlantic; Trip Limit Reduction
AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and
Atmospheric Administration (NOAA), Commerce.
ACTION: Trip limit reduction.
-----------------------------------------------------------------------
SUMMARY: NMFS reduces the commercial trip limit in the hook-and-line
fishery for king mackerel in the Florida west coast sub-zone to 50 king
mackerel per day in or from the exclusive economic zone (EEZ). This
trip limit reduction is necessary to protect the overfished Gulf king
mackerel resource.
EFFECTIVE DATE: The 50-fish commercial trip limit is effective 12:01
a.m., local time, January 24, 1996, and remains in effect through June
30, 1996, unless changed by further notification in the Federal
Register.
FOR FURTHER INFORMATION CONTACT: Mark F. Godcharles, 813-570-5305.
SUPPLEMENTARY INFORMATION: The fishery for coastal migratory pelagic
fish (king mackerel, Spanish mackerel, cero, cobia, little tunny,
dolphin, and, in the Gulf of Mexico only, bluefish) is managed under
the Fishery Management Plan for the Coastal Migratory Pelagic Resources
of the Gulf of Mexico and South Atlantic (FMP). The FMP was prepared by
the Gulf of Mexico and South Atlantic Fishery Management Councils
(Councils) and is implemented by regulations at 50 CFR part 642 under
the authority of the Magnuson Fishery Conservation and Management Act.
Based on the Councils' recommended total allowable catch and the
allocation ratios in the FMP, NMFS implemented a commercial quota for
the Gulf migratory group of king mackerel in the Florida west coast
sub-zone at 865,000 lb (392,357 kg). That quota was further divided
into two equal quotas of 432,500 lb (196,179 kg) for vessels in each of
two groups by gear types--vessels fishing with run-around gillnets and
vessels using hook- and line gear.
In accordance with 50 CFR 642.28(b)(2)(ii), from the date that 75
percent of the sub-zone's commercial quota has been harvested until a
closure of the Florida west coast sub-zone has
[[Page 2729]]
been effected or the fishing year ends, king mackerel in or from the
EEZ may be possessed on board or landed from a permitted vessel in
amounts not exceeding 50 per day.
NMFS has determined that 75 percent of the commercial hook-and-line
quota for Gulf group king mackerel from the Florida west coast sub-zone
was reached on January 23, 1996. Accordingly, a 50-fish trip limit
applies to vessels in the commercial hook-and-line fishery for king
mackerel in or from the EEZ in the Florida west coast sub-zone
effective 12:01 a.m., local time, January 24, 1996.
The Florida west coast sub-zone extends from the Alabama/Florida
boundary (87 deg.31'06'' W. long.) to: (1) The Dade/Monroe County, FL
boundary (25 deg.20.4' N. lat.) from November 1 through March 31; and
(2) the Monroe/Collier County, FL boundary (25 deg.48' N. lat.) from
April 1 through October 31.
Classification
This action is taken under 50 CFR 642.28(c) and is exempt from
review under E.O. 12866.
Authority: 16 U.S.C. 1801 et seq.
Dated: January 23, 1996.
Richard W. Surdi,
Acting Director, Office of Fisheries Conservation and Management,
National Marine Fisheries Service.
[FR Doc. 96-1484 Filed 1-23-96; 5:02 pm]
BILLING CODE 3510-22-F
Complete official Federal Register PDF
FR Doc. 96-1443 Establishment of Class E Airspace; North Las Vegas Air Terminal, NV
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2713-2714]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1443]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
14 CFR Part 71
[Airspace Docket No. 95-AWP-41]
Establishment of Class E Airspace; North Las Vegas Air Terminal,
NV
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This action establishes a Class E airspace area at North Las
Vegas Air Terminal, Las Vegas, NV. The development of a Global
Positioning System (GPS) Standard Instrument Approach Procedure (SIAP)
to Runway (RWY) 12 has made this action necessary. The intended effect
of this action is to provide adequate controlled airspace for
Instrument Flight Rules (IFR) operations at North Las Vegas Air
Terminal, Las Vegas, NV.
EFFECTIVE DATE: 0901 UTC, April 25, 1996.
FOR FURTHER INFORMATION CONTACT:
Scott Speer, Airspace Specialist, System Management Branch, AWP-530,
Air Traffic Division, Western-Pacific Region, Federal Aviation
Administration, 15000 Aviation Boulevard, Lawndale, California 90261,
telephone (310) 725-6533.
SUPPLEMENTARY INFORMATION:
History
On December 6, 1995, the FAA proposed to amend part 71 of the
Federal Aviation Regulations (14 CFR part 71) by establishing a Class E
[[Page 2714]]
airspace area at North Las Vegas Air Terminal, Las Vegas, NV (60 FR
62351). The development of a GPS SIAP at North Las Vegas Air Terminal
has made this action necessary.
Interested parties were invited to participate in this rulemaking
proceeding by submitting written comments on the proposal to the FAA.
No comments to the proposal were received. Class E airspace
designations are published in paragraph 6005 of FAA Order 7400.9C,
dated August 17, 1995, and effective September 16, 1995, which is
incorporated by reference in 14 CFR 71.1. Class E airspace designations
listed in this document will be published subsequently in this Order.
The Rule
This amendment to part 71 of the Federal Aviation Regulations (14
CFR part 71) establishes a Class E airspace area at North Las Vegas Air
Terminal, Las Vegas, NV. The development of a CPS SIAP at North Las
Vegas Air Terminal has made this action necessary. The intended effect
of this action is to provide adequate Class E airspace for aircraft
executing the GPS RWY 12 SIAP at North Las Vegas Air Terminal, Las
Vegas, NV.
The FAA has determined that this regulation only involves an
established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current.
Therefore, this regulation--(1) is not a ``significant regulatory
action'' under Executive Order 12866; (2) is not a ``significant rule''
under DOT Regulatory Policies and Procedures (44 FR 10034; February 26,
1979); and (3) does not warrant preparation of a Regulatory Evaluation
as the anticipated impact is so minimal. Since this is a routine matter
that will only affect air traffic procedures and air navigation, it is
certified that this rule will not have a significant economic impact on
a substantial number of small entities under the criteria of the
Regulatory Flexibility Act.
List of Subjects in 14 CFR Part 71
Airspace, Incorporation by reference, Navigation (air).
Adoption of the Amendment
In consideration of the foregoing, the Federal Aviation
Administration amends 14 CFR part 71 as follows:
PART 71--[AMENDED]
1. The authority citation for 14 CFR part 71 continues to read as
follows:
Authority: 49 U.S.C. 106(g), 40103, 40113, 40120; E.O. 10854, 24
FR 9565, 3 CFR, 1959-1963 Comp., p. 389; 14 CFR 11.69.
Sec. 71.1 [Amended]
2. The incorporation by reference in 14 CFR 71.1 of the Federal
Aviation Administration Order 7400.9C, Airspace Designations and
Reporting Points, dated August 17, 1995, and effective September 16,
1995, is amended as follows:
Paragraph 6005 Class E airspace areas extending upward from 700
feet or more above the surface of the earth.
* * * * *
AWP NV E5 North Las Vegas Air Terminal, NV. [New]
North Las Vegas Air Terminal, NV
(lat. 36 deg.12'42'' N, long. 115 deg.11'45'')
That airspace extending upward from 700 feet above the surface
within a 6.9-mile radius of North Las Vegas Air Terminal.
* * * * *
Issued in Los Angeles, California, on January 12, 1996.
James H. Snow,
Acting Manager, Air Traffic Division, Western-Pacific Region.
[FR Doc. 96-1443 Filed 1-26-96; 8:45 am]
BILLING CODE 4910-13-M
Complete official Federal Register PDF
FR Doc. 96-1442 Amendment of Class E Airspace; Phoenix, AZ
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2711-2712]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1442]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
14 CFR Part 71
[Airspace Docket No. 95-AWP-42]
Amendment of Class E Airspace; Phoenix, AZ
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This action amends the Class E airspace area at Phoenix, AZ.
Additional controlled airspace is required for aircraft arriving
Phoenix Sky Harbor International Airport. The intended effect of this
action is to improve service to the users and reduce controller
workload for those aircraft inbound to Phoenix Sky Harbor International
Airport, Phoenix, AZ.
EFFECTIVE DATE: 0901 UTC, April 25, 1996.
FOR FURTHER INFORMATION CONTACT:
Scott Speer, Airspace Specialist, System Management Branch, AWP-530,
Air Traffic Division, Western-Pacific Region, Federal Aviation
Administration, 15000 Aviation Boulevard, Lawndale, California 90261,
telephone (310) 725-6533.
SUPPLEMENTARY INFORMATION:
History
On December 7, 1995, the FAA proposed to amend part 71 of the
Federal Aviation Regulations (14 CFR part 71) by amending the Class E
airspace area at Phoenix, AZ.
Interested parties were invited to participate in this rulemaking
proceeding by submitting written comments on the proposal to the FAA.
No comments to the proposal were received. Class E airspace
designations are published in paragraph 6005 of FAA Order 7400.9C,
dated August 17, 1995, and effective September 16, 1995, which is
incorporated by reference in 14 CFR 71.1. Class E airspace designations
listed in this document will be published subsequently in this order.
The Rule
The amendment to part 71 of the Federal Aviation Regulations (14
CFR part 71) amends the Class E airspace area at Phoenix, AZ. The
intended effect of this action is to provide additional controlled
airspace for aircraft arriving at Phoenix Sky Harbor International
Airport, Phoenix, AZ.
The FAA has determined that this regulation only involves an
established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current.
Therefore, this regulation--(1) is not a ``significant regulatory
action'' under Executive Order 12866; (2) is not a ``significant rule''
under DOT Regulatory Policies and Procedures (44 FR 10034; February 26,
1979); and (3) does not warrant preparation of a Regulatory Evaluation
as the anticipated impact is so minimal. Since this is a routine matter
that will only affect air traffic procedures and air navigation, it is
certified that this rule will not have a significant economic impact on
a substantial number of small entities under the criteria of the
Regulatory Flexibility Act.
List of Subjects in 14 CFR Part 71
Airspace, Incorporation by reference, Navigation (air).
Adoption of the Amendment
In consideration of the foregoing, the Federal Aviation
Administration amends 14 CFR part 71 as follows:
PART 71--[AMENDED]
1. The authority citation for 14 CFR part 71 continues to read as
follows:
Authority: 49 U.S.C. 106(g), 40103, 40113, 40120; E.O. 10854, 24
FR 9565, 3 CFR, 1959-1963 Comp., p. 389; 14 CFR 11.69.
Sec. 71.1 [Amended]
2. The incorporation by reference in 14 CFR 71.1 of the Federal
Aviation Administration Order 7400.9C, Airspace Designations and
Reporting Points, dated August 17, 1995, and effective September 16,
1995, is amended as follows:
Paragraph 6005 Class E airspace areas extending upward from 700
feet or more above the surface of the earth.
* * * * *
AWP AZ E5 Phoenix Sky Harbor International Airport, AZ [Revised]
Phoenix Sky Harbor International Airport, Phoenix, AZ
(lat. 33 deg.26'10'' N, long. 112 deg.00'34'' W)
Williams Gateway Airport, AZ
(lat. 33 deg.18'28'' N, long. 111 deg.39'19'' W)
Luke AFB, AZ
(lat. 33 deg.32'06'' N, long. 112 deg.22'59'' W)
That airspace extending upward from 700 feet above the surface
within a 17.4-mile radius of Luke AFB and within a 17.4-mile radius
of Williams Gateway Airport and within 2 parallel tangent lines
connecting the two 17.4-mile radius circles, and that airspace
northwest of Phoenix Sky Harbor International Airport bounded by a
line beginning at lat. 33 deg.59'00'' N, long. 112 deg.38'03'' W; to
lat. 33 deg.49'24'' N, long. 112 deg.25'34'' W, thence
counterclockwise via the 17.4-mile radius of Luke AFB to lat.
33 deg.42'00'' N, long. 112 deg.40'08'' W; to lat. 33 deg.44'00'' N,
long. 112 deg.45'03'' W; to lat. 33 deg.55'00'' N, long.
112 deg.45'03'' W, to the point of beginning. That airspace
extending upward from 1,200 feet above the surface bounded by a line
beginning at lat. 34 deg.10'00'' N, long. 112 deg.39'03'' W; to lat.
34 deg.10'00'' N, long. 111 deg.30'03'' W; to lat. 34 deg.00'00'' N,
long. 110 deg.52'02'' W; lat. 32 deg.33'00'' N, long.
110 deg.52'02'' W; to lat. 32 deg.33'00'' N, long. 112 deg.00'02''
W; to lat. 32 deg.51'00'' N, long. 112 deg.37'03'' W; to lat.
32 deg.51'00'' N, long. 113 deg.00'03'' W; to lat. 33 deg.19'00'' N,
long. 113 deg.00'03'' W; to lat. 33 deg.19'00'' N, long.
113 deg.10'03'' W; to lat. 34 deg.00'00'' N, long. 113 deg.10'03''
W; to lat. 34 deg.00'00'' N, long. 112 deg.52'03'' W, thence to the
point of beginning. That airspace extending upward from 5,500 feet
MSL west of Phoenix Sky Harbor International Airport bounded on the
north by the south edge of V-16, on the east by the west boundary of
the 1,200 foot portion of the Class E airspace area; on the south by
the north edge of V-66 and on the west by long. 114 deg.00'03'' W,
excluding that airspace within Restricted Areas R-2308A, R-2308B, R-
2308C, and R-2307. That airspace extending upward from 7,000 MSL
bounded on the north by lat. 34 deg.00'00'' N, on the east by long.
113 deg.10'03'' W; on the south by the north edge of V-16 and on the
west by long. 114 deg.00'03'' W. That airspace extending upward from
9,500 feet MSL bounded on the north by the south edge of V-12, on
the east by the west edge of V-327, on the south and southeast by
the north and northwest boundary of the 1,200 foot portion of the
Class E airspace area, and on the southwest by a line extending from
lat. 34 deg.08'48'' N, long. 112 deg.40'37'' W, to the point of
intersection on long. 113 deg.10'03'' W, and the south edge of V-12.
That airspace extending upward from 10,500 feet MSL bounded on the
north by the south edge of V-12/264, on the southeast by the
northwest edge of V-567 and on the west by the east
[[Page 2712]]
edge of V-327. That airspace extending upward from 10,500 feet MSL
bounded on the northwest by the southeast edge of V-567, on the
southeast by the northwest edge of V-95 and on the south by the
north boundary of the 1,200 foot portion of the Class E airspace
area.
* * * * *
Issued in Los Angeles, California, on January 12, 1996.
James H. Snow,
Acting Manager, Air Traffic Division, Western-Pacific Region.
[FR Doc. 96-1442 Filed 1-26-96; 8:45 am]
BILLING CODE 4910-13-M
Complete official Federal Register PDF
FR Doc. 96-1441 Establishment of Class E Airspace; Sandpoint, ID
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2712-2713]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1441]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
14 CFR Part 71
[Airspace Docket No. 95-ANM-23]
Establishment of Class E Airspace; Sandpoint, ID
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This action establishes the Sandpoint, Idaho, Class E
airspace. This action is necessary to accommodate a Global Positioning
System (GPS) Standard Instrument Approach Procedure (SIAP) to Dave Wall
Field, Sandpoint, Idaho. A minor correction is being made in the
geographic position coordinates of Dave Wall Field and Spokane
Fairchild AFB, Washington. An inadvertent error in the Notice of
Proposed Rulemaking is also corrected to reflect the intent to create a
new Class E airspace, not revise an existing Class E airspace.
EFFECTIVE DATE: 0901 UTC, April 25, 1996.
FOR FURTHER INFORMATION CONTACT:
James C. Frala, System Management Branch, ANM-535/A, Federal Aviation
Administration, Docket No. 95-ANM-23, 1601 Lind Avenue S.W., Renton,
Washington, 98055-4056; telephone number: (206) 227-2535.
SUPPLEMENTARY INFORMATION:
History
On October 24, 1995, the FAA proposed to amend part 71 of the
Federal Aviation Regulations (14 CFR part 71) to establish Class E
airspace at Sandpoint, Idaho, to accommodate a new GPS SIAP to Dave
Wall Field (60 FR 54458). Interested parties were invited to
participate in the rulemaking proceeding by submitting written comments
on the proposal. No comments were received.
The geographic coordinates for Spokane Fairchild AFB, Washington
and Dave Wall Field, Sandpoint, Idaho, as provided by the National
Ocean
[[Page 2713]]
Service, and the National Flight Data Digest Number 237 dated December
11, 1995, respectively, are corrected herein. The coordinates for this
airspace docket are based on North American Datum 83. Class E airspace
areas extending upward from 700 feet or more above the surface of the
earth are published in paragraph 6005 of FAA Order 7400.9C dated August
17, 1995, and effective September 16, 1995, which is incorporated by
reference in 14 CFR 71.1. The Class E airspace listed in this document
will be published subsequently in the Order.
The Rule
This amendment to part 71 of Federal Aviation Regulations
establishes Class E airspace at Sandpoint, Idaho. The FAA has
determined that this regulation only involves an established body of
technical regulations for which frequent and routine amendments are
necessary to keep them operationally current. It, therefore, (1) is not
a ``significant regulatory action'' under Executive Order 12866; (2) is
not a ``significant rule'' under DOT Regulatory Policies and Procedures
(44 FR 11034; February 26, 1979); and (3) does not warrant preparation
of a regulatory evaluation as the anticipated impact is so minimal.
Since this is a routine matter that will only affect air traffic
procedures and air navigation, it is certified that this rule will not
have a significant economic impact on a substantial number of small
entities under the criteria of the Regulatory Flexibility Act.
List of Subjects in 14 CFR Part 71
Airspace, Incorporation by reference, Navigation (air).
Adoption of the Amendment
In consideration of the foregoing, the FAA amends 14 CFR part 71 as
follows:
PART 71--[AMENDED]
1. The authority citation for 14 CFR part 71 continues to read as
follows:
Authority: 49 U.S.C. 106(g), 40103, 40113, 40120; E.O. 10854, 24
FR 9565, 3 CFR, 1959-1963 Comp., p. 389; 14 CFR 11.69.
Sec. 71.1 [Amended]
2. The incorporation by reference in 14 CFR 71.1 of the Federal
Aviation Administration Order 7400.9C, Airspace Designations and
Reporting Points, dated August 17, 1995, and effective September 16,
1995, is amended as follows:
Paragraph 6005 Class E airspace areas extending upward from 700
feet or more above the surface of the earth.
* * * * *
ANM ID E5 Sandpoint, ID [New]
Dave Wall Field, Sandpoint, ID
(lat. 48 deg.17'55'' N, long. 116 deg.33'39'' W)
Spokane Fairchild AFB, WA
(lat. 47 deg.36'54'' N, long. 117 deg.39'29'' W)
That airspace extending upward from 700 feet above the surface
within a 8-mile radius of Dave Wall Field; that airspace extending
upward from 1,200 feet above the surface bounded on the north by
lat. 48 deg.30'00'' N, on the east by the Idaho/Montana state
boundary, on the south by the north edge of V-120, and on the west
by the 45.3-mile radius of the Fairchild AFB and the east edge of
V112; excluding Federal airways.
* * * * *
Issued in Seattle, Washington, on January 9, 1996.
Richard E. Prang,
Acting Assistant Manager, Air Traffic Division, Northwest Mountain
Region.
[FR Doc. 96-1441 Filed 1-26-96; 8:45 am]
BILLING CODE 4910-13-M
Complete official Federal Register PDF
FR Doc. 96-1440 Revocation of Class E5 Airspace; Farmington, PA
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2714-2715]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1440]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
14 CFR Part 71
[Airspace Docket No. 95-AEA-02]
Revocation of Class E5 Airspace; Farmington, PA
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This final rule revokes Class E5 airspace areas extending
upward from 700 feet above the surface of the earth at Farmington, PA.
This airspace was established for a Standard Instrument Approach
Procedure (SIAP), VOR RWY 23, serving Nemacolin Airport. This SIAP has
been canceled.
EFFECTIVE DATE: 0901 UTC, February 29, 1996.
FOR FURTHER INFORMATION CONTACT:
Mr. Francis T. Jordan, Jr., Airspace Specialist, System Management
Branch, AEA-530, FAA Eastern Region, Federal Building #111, John F.
Kennedy International Airport, Jamaica, New York 11430; telephone:
(718) 553-4521.
SUPPLEMENTARY INFORMATION:
History
On Monday, January 30, 1995, the FAA proposed to amend part 71 of
the Federal Aviation Regulations (14 CFR part 71) by revoking the Class
E5 airspace at Farmington, PA. This airspace extended upward from 700
feet above the surface for a SIAP serving the Nemacolin Airport, a
private use airport. The SIAP has been canceled and there are no other
instrument procedures at that airport.
Interested parties were invited to participate in this rulemaking
proceeding by submitting written comment on the proposal to the FAA. No
comments objecting to the proposal were received. Class E airspace
designations for airspace areas extending upward from 700 feet or more
above the surface of the earth are published in paragraph 6005 of FAA
Order 7400.9C dated August 17, 1995, and effective September 16, 1995,
which is incorporated by reference in 14 CFR 71.1. The Class E airspace
designation listed in this document will be subsequently removed from
the Order.
The Rule
This amendment to part 71 of the Federal Aviation Regulations (14
CFR part 71) amends the Class E airspace at Farmington, PA by revoking
the Class E5 airspace associated with the former standard instrument
approach procedure at Nemacolin Airport.
The FAA has determined that this regulation only involves an
established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current. It
therefore--(1) is not a ``significant regulatory action'' under
Executive Order 12866; (2) is not a ``significant rule'' under DOT
Regulatory Policies and Procedures (44 FR 11034; February 1979); and
(3) does not warrant preparation of a regulatory evaluation as the
anticipated impact is so minimal. Since this is a routine matter that
will only affect air traffic procedures and air navigation, it is
certified that this rule will not have a significant economic impact on
a substantial number of small entities under the criteria of the
Regulatory Flexibility Act.
List of Subjects in 14 CFR Part 71
Airspace, Incorporation by reference, Navigation (air).
Adoption of the Amendment
In consideration of the foregoing, the Federal Aviation
Administration amends 14 CFR part 71 as follows:
PART 71--[AMENDED]
1. The authority citation for part 71 continues to read as follows:
Authority: 49 U.S.C. 106(g), (40103, 40113, 40120; E.O. 10854,
24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389; 14 CFR 11.69.
Sec. 71.1 [Amended]
2. The incorporation by reference in 14 CFR 71.1 of Federal
Aviation
[[Page 2715]]
Administration Order 7400.9C, Airspace Designations and Reporting
Points, dated August 17, 1995 and effective September 16, 1995, is
amended as follows:
Paragraph 6005 Class E airspace areas extending upward from 700
feet or more above the surface of the earth.
* * * * *
AEA PA E5 Farmington, PA [Removed]
* * * * *
Issued in Jamaica, New York, on January 12, 1996.
John S. Walker,
Manager, Air Traffic Division.
[FR Doc. 96-1440 Filed 1-26-96; 8:45 am]
BILLING CODE 4910-13-M
Complete official Federal Register PDF
FR Doc. 96-1437 Establishment of Class E Airspace; Stuart, FL
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Page 2712]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1437]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
14 CFR Part 71
[Airspace Docket No. 95-ASO-25]
Establishment of Class E Airspace; Stuart, FL
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This amendment establishes Class E airspace at Stuart, FL. GPS
RWY 11 and GPS RWY 29 Standard Instrument Approach Procedures (SIAP's)
have been developed for Witham Field. Controlled airspace extending
upward from 700 feet above the surface (AGL) is needed to accommodate
these SIAP's and for instrument flight rules (IFR) operations at the
airport. The operating status of the airport will change from VFR to
include IFR operations concurrent with publication of these SIAP's.
EFFECTIVE DATE: 0901 UTC, April 25, 1996.
FOR FURTHER INFORMATION CONTACT:
Benny L. McGlamery, System Management Branch, Air Traffic Division,
Federal Aviation Administration, P.O. Box 20636, Atlanta, Georgia
30320; telephone (404) 305-5570.
SUPPLEMENTARY INFORMATION:
History
On November 24, 1995, the FAA proposed to amend part 71 of the
Federal Aviation Regulations (14 CFR part 71) by establishing Class E
airspace at Stuart, FL (60 FR 58020). This action will provide adequate
Class E airspace for IFR operations at Witham Field.
Interested parties were invited to participate in this rulemaking
proceeding by submitting written comments on the proposal to the FAA.
No comments objecting to the proposal were received. Designations for
Class E airspace extending upward from 700 feet or more above the
surface are published in Paragraph 6005 of FAA Order 7400.9C dated
August 17, 1995, and effective September 16, 1995. The Class E airspace
designation listed in this document will be published subsequently in
the Order.
The Rule
This amendment to part 71 of the Federal Aviation Regulations (14
CFR part 71) establishes Class E airspace at Stuart, FL, to accommodate
GPS RWY 11 and GPS RWY 29 SIAP's and for IFR operations at Witham
Field. The operating status of the airport will be changed from VFR to
include IFR operations concurrent with publication of these SIAP's.
The FAA has determined that this regulation only involves an
established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current.
It, therefore, (1) is not a ``significant regulatory action'' under
Executive Order 12866; (2) is not a ``significant rule'' under DOT
Regulatory Policies and Procedures (44 FR 11034; February 26, 1979);
and (3) does not warrant preparation of a regulatory evaluation as the
anticipated impact is so minimal. Since this is a routine matter that
will only affect air traffic procedures and air navigation, it is
certified that this rule will not have a significant economic impact on
a substantial number of small entities under the criteria of the
Regulatory Flexibility Act.
List of Subjects in 14 CFR Part 71
Airspace, Incorporation by reference, Navigation (air).
Adoption of the Amendment
In consideration of the foregoing, the Federal Aviation
Administration amends 14 CFR part 71 as follows:
PART 71--[AMENDED]
1. The authority citation for 14 CFR part 71 continues to read as
follows:
Authority: 49 U.S.C. 106(g); 40103, 40113, 40120; EO 10854, 24
FR 9565, 3 CFR, 1959-1963 Comp., p. 389; 14 CFR 11.69.
Sec. 71.1 [Amended]
2. The incorporation by reference in 14 CFR 71.1 of Federal
Aviation Administration Order 7400.9C, Airspace Designations and
Reporting Points, dated August 17, 1995, and effective September 16,
1995, is amended as follows:
Paragraph 6005 Class E airspace areas extending upward from 700
feet above the surface of the earth.
* * * * *
ASO FL E5 Stuart, FL [New]
Witham Field, FL
(lat. 27 deg.10'51'' N, long. 80 deg.13'19'' W)
That airspace extending upward from 700 feet above the surface
within a 6.5-mile radius of Witham Field.
* * * * *
Issued in College Park, Georgia, on January 17, 1996.
Benny L. McGlamery,
Acting Manager, Air Traffic Division, Southern Region.
[FR Doc. 96-1437 Filed 1-26-96; 8:45 am]
BILLING CODE 4910-13-M
Complete official Federal Register PDF
FR Doc. 96-1436 Amendment of Class E Airspace; Lovelock, NV; Correction
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Page 2713]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1436]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
14 CFR Part 71
[Airspace Docket No. 95-AWP-32]
Amendment of Class E Airspace; Lovelock, NV; Correction
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Final rule; correction.
-----------------------------------------------------------------------
SUMMARY: This action corrects certain geographic coordinates that were
inadvertently inserted in the final rule that was published in the
Federal Register on January 3, 1996, Airspace Docket No. 95-AWP-32. The
final rule amends Class E airspace at Lovelock, NV.
EFFECTIVE DATE: 0901 UTC February 29, 1996.
FOR FURTHER INFORMATION CONTACT:
Scott Speer, Airspace Specialist, System Management Branch, AWP-530,
Air Traffic Division, Western-Pacific Region, Federal Aviation
Administration, 15000 Aviation Boulevard, Lawndale, California 90261,
telephone (310) 725-6533.
SUPPLEMENTARY INFORMATION:
History
Federal Register Document 96-58, Airspace Docket No. 95-AWP-32,
published on January 3, 1996 (61 FR 121), revised the description of
the Class E airspace area at Lovelock, NV. An error was made by
duplicating the geographic coordinates for a portion of the airspace
description for the Lovelock, NV, Class E airspace area. This action
corrects that error.
Correction to Final Rule
Accordingly, pursuant to the authority delegated to me, the
geographic coordinates in a portion of the airspace description for the
Class E airspace area at Lovelock, NV, as published in the Federal
Register on January 3, 1996 (61 FR 121), (Federal Register Document 96-
58), are corrected as follows:
Sec. 71.1 [Corrected]
AWP NV E5 Lovelock, NV [Corrected]
On page 122, column 2, the geographic coordinates for the Class
E airspace at Lovelock, NV are corrected by removing ``(and that
airspace bounded by a line beginning at lat. 40 deg.23'00'' N, long.
118 deg.29'00'' W; to lat. 40 deg.32'00'' N, long. 118 deg.14'00''
W; to lat. 40 deg.22'00'' N, long. 118 deg.14'00'' W; to lat.
40 deg.18'00'' N, long. 118 deg.23'00'' W, thence to the point of
beginning.).''
Issued in Los Angeles, California, on January 12, 1996.
James H. Snow,
Acting Manager, Air Traffic Division, Western-Pacific Region.
[FR Doc. 96-1436 Filed 1-26-96; 8:45 am]
BILLING CODE 4910-13-M
Complete official Federal Register PDF
FR Doc. 96-1434 Amendment to Class E Airspace; St. George, UT
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Page 2715]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1434]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
14 CFR Part 71
[Airspace Docket No. 95-ANM-21]
Amendment to Class E Airspace; St. George, UT
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This action amends the St. George, Utah, Class E airspace.
This action is necessary to accommodate a Global Positioning System
(GPS) Standard Instrument Approach Procedure (SIAP) to Runway 34 at St.
George Municipal Airport, St. George, Utah.
EFFECTIVE DATE: 0901 UTC, February 29, 1996.
FOR FURTHER INFORMATION CONTACT:
James C. Frala, System Management Branch, ANM-535/A, Federal Aviation
Administration, Docket No. 95-ANM-21, 1601 Lind Avenue S.W., Renton,
Washington 98055-4056; telephone number: (206) 227-2535.
SUPPLEMENTARY INFORMATION:
History
On October 24, 1995, the FAA proposed to amend part 71 of the
Federal Aviation Regulations (14 CFR part 71) to amend Class E airspace
at St. George, Utah, to accommodate a new GPS SIAP to Runway 34 at St.
George Municipal Airport (60 FR 54457). Interested parties were invited
to participate in the rulemaking proceeding by submitting written
comments on the proposal. No comments were received.
This action is the same as the proposal except for errors
(corrected herein) in geographical coordinates of the airspace
description. The coordinates for this airspace docket are based on
North American Datum 83. Class E airspace areas extending upward from
700 feet or more above the surface of the earth are published in
paragraph 6005 of FAA Order 7400.9C dated August 17, 1995, and
effective September 16, 1995, which is incorporated by reference in 14
CFR 71.1 The Class E airspace listed in this document will be published
subsequently in the Order.
The Rule
This amendment to part 71 of Federal Aviation Regulations amends
Class E airspace at St. George, Utah. The FAA has determined that this
regulation only involves an established body of technical regulations
for which frequent and routine amendments are necessary to keep them
operationally current. It, therefore, (1) is not a ``significant
regulatory action'' under Executive Order 12866; (2) is not a
``significant rule'' under DOT Regulatory Policies and Procedures (44
FR 11034; February 26, 1979); and (3) does not warrant preparation of a
regulatory evaluation as the anticipated impact is so minimal. Since
this is a routine matter that will only affect air traffic procedures
and air navigation, it is certified that this rule will not have a
significant economic impact on a substantial number of small entities
under the criteria of the Regulatory Flexibility Act.
List of Subjects in 14 CFR Part 71
Airspace, Incorporation by reference, Navigation (air).
Adoption of the Amendment
In consideration of the foregoing, the FAA amends 14 CFR part 71 as
follows:
PART 71--[AMENDED]
1. The authority citation for 14 CFR part 71 continues to read as
follows:
Authority: 49 U.S.C. 106(g), 40103, 40113, 40120; E.O. 10854, 24
FR 9565, 3 CFR, 1959-1963 Comp., p. 389; 14 CFR 11.69.
Sec. 71.1 [Amended]
2. The incorporation by reference in 14 CFR 71.1 of the Federal
Aviation Administration Order 7400.9C, Airspace Designations and
Reporting Points, dated August 17, 1995, and effective September 16,
1995, is amended as follows:
Paragraph 6005 Class E airspace areas extending upward from 700
feet or more above the surface of the earth.
* * * * * *
ANM UT E5 St. George, UT [Revised]
St. George Municipal Airport, UT
(lat. 37 deg.05'29'' N, long. 113 deg.35'35'' W)
St. George VOR/DME
(lat. 37 deg.05'17'' N, long. 113 deg.35'31'' W)
That airspace extending upward from 700 feet above the surface
within 8.3 miles northeast and 5.3 miles southwest of the St. George
VOR/DME 131 deg. and 311 deg. radials extending from 6.1 miles
northwest to 16.1 miles southeast, and within 4.3 miles each side of
the St. George VOR/DME 183 deg. radial extending from the VOR/DME to
13.5 miles south; that airspace extending upward from 1,200 feet
above the surface within the 20.1-mile radius of the St. George VOR/
DME, extending clockwise from the 058 deg. radial to the 239 deg.
radial, and within 10.1 miles east and 7.4 miles west of the St.
George VOR/DME 183 deg. radial extending from the 20.1-mile radius
to 32.7 miles south of the VOR/DME; and that airspace extending
upward from 1,200 feet above the surface bounded by a line beginning
at lat. 37 deg.57'00''N, long. 114 deg.02'00''W; to lat.
37 deg.46'00'' N, long. 113 deg.23'00'' W; to lat. 37 deg.38'15'' N,
long. 113 deg.22'18'' W; to lat. 37 deg.38'42'' N long.
113 deg.16'48'' W; to lat. 37 deg.38'20'' N, long. 113 deg.12'40''
W; to lat. 37 deg.17'20'' N, long. 113 deg.20'00'' W; to lat.
37 deg.12'35'' N, long. 113 deg.30'20'' W; to lat. 37 deg.15'33'' N,
long. 113 deg.34'27'' W; to lat. 37 deg.05'40'' N, long.
113 deg.45'00'' W, thence to the point of beginning.
* * * * *
Issued in Seattle, Washington, on January 5, 1996.
Richard E. Prang,
Acting Assistant Manager, Air Traffic Division, Northwest Mountain
Region.
[FR Doc. 96-1434 Filed 1-26-96; 8:45 am]
BILLING CODE 4910-13-M
Complete official Federal Register PDF
FR Doc. 96-1433 Standard Instrument Approach Procedures; Miscellaneous Amendments
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2715-2717]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1433]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
14 CFR Part 97
[Docket No. 28427; Amdt. No. 1704]
Standard Instrument Approach Procedures; Miscellaneous Amendments
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This amendment establishes, amends, suspends, or revokes
Standard Instrument Approach Procedures (SIAPs) for operations at
certain airports. These regulatory actions are needed because of
changes occurring in the National Airspace System, such as the
commissioning of new navigational facilities, addition of new
obstacles, or changes in air traffic requirements. These changes are
designed to provide safe and efficient use of the navigable airspace
and to promote safe flight operations under instrument flight rules at
the affected airports.
DATES: An effective date for each SIAP is specified in the amendatory
provisions.
Incorporation by reference-approved by the Director of the Federal
Register on December 31, 1980, and reapproved as of January 1, 1982.
[[Page 2716]]
ADDRESSES: Availability of matter incorporated by reference in the
amendment is as follows:
For Examination
1. FAA Rules Docket, FAA Headquarters Building, 800 Independence
Avenue, SW., Washington, DC 20591;
2. The FAA Regional Office of the region in which affected airport
is located; or
3. The Flight Inspection Area Office which originated the SIAP.
For Purchase
Individual SIAP copies may be obtained from:
1. FAA Public Inquiry Center (APA-200), FAA Headquarters Building,
800 Independence Avenue, SW., Washington, DC 20591; or
2. The FAA Regional Office of the region in which the affected
airport is located.
By Subscription
Copies of all SIAPs, mailed once every 2 weeks, are for sale by the
Superintendent of Documents, U.S. Government Printing Office,
Washington, DC 20402.
FOR FURTHER INFORMATION CONTACT: Paul J. Best, Flight Procedures
Standards Branch (AFS-420), Technical Programs Division, Flight
Standards Service, Federal Aviation Administration, 800 Independence
Avenue, SW., Washington, DC 20591; telephone (202) 267-8277.
SUPPLEMENTARY INFORMATION: This amendment to part 97 of the Federal
Aviation Regulations (14 CFR part 97) establishes, amends, suspends, or
revokes Standard Instrument Approach Procedures (SIAPs). The complete
regulatory description on each SIAP is contained in the appropriate FAA
Form 8260 and the National Flight Data Center (FDC)/Permanent (P)
Notices to Airmen (NOTAM) which are incorporated by reference in the
amendment under 5 U.S.C. 552(a), 1 CFR part 51, and Sec. 97.20 of the
Federal Aviations Regulations (FAR). Materials incorporated by
reference are available for examination or purchase as stated above.
The large number of SIAPs, their complex nature, and the need for a
special format make their verbatim publication in the Federal Register
expensive and impractical. Further, airmen do not use the regulatory
text of the SIAPs, but refer to their graphic depiction of charts
printed by publishers or aeronautical materials. Thus, the advantages
of incorporation by reference are realized and publication of the
complete description of each SIAP contained in FAA form documents is
unnecessary. The provisions of this amendment state the affected CFR
(and FAR) sections, with the types and effective dates of the SIAPs.
This amendment also identifies the airport, its location, the procedure
identification and the amendment number.
The Rule
This amendment to part 97 of the Federal Aviation Regulations (14
CFR part 97) establishes, amends, suspends, or revokes SIAPs. For
safety and timeliness of change considerations, this amendment
incorporates only specific changes contained in the content of the
following FDC/P NOTAM for each SIAP. The SIAP information in some
previously designated FDC/Temporary (FDC/T) NOTAMs is of such duration
as to be permanent. With conversion to FDC/P NOTAMs, the respective
FDC/T NOTAMs have been cancelled.
The FDC/P NOTAMs for the SIAPs contained in this amendment are
based on the criteria contained in the U.S. Standard for Terminal
Instrument Approach Procedures (TERPS). In developing these chart
changes to SIAPs by FDC/P NOTAMs, the TERPS criteria were applied to
only these specific conditions existing at the affected airports. All
SIAP amendments in this rule have been previously issued by the FAA in
a National Flight Data Center (FDC) Notice to Airmen (NOTAM) as an
emergency action of immediate flight safety relating directly to
published aeronautical charts. The circumstances which created the need
for all these SIAP amendments requires making them effective in less
than 30 days.
Further, the SIAPs contained in this amendment are based on the
criteria contained in the TERPS. Because of the close and immediate
relationship between these SIAPs and safety in air commerce, I find
that notice and public procedure before adopting these SIAPs are
impracticable and contrary to the public interest and, where
applicable, that good cause exists for making these SIAPs effective in
less than 30 days.
Conclusion
The FAA has determined that this regulation only involves an
established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current.
It, therefore--(1) is not a ``significant regulatory action'' under
Executive Order 12866; (2) is not a ``significant rule'' under DOT
Regulatory Policies and Procedures (44 FR 11034; February 26, 1979);
and (3) does not warrant preparation of a regulatory evaluation as the
anticipated impact is so minimal. For the same reason, the FAA
certifies that this amendment will not have a significant economic
impact on a substantial number of small entities under the criteria of
the Regulatory Flexibility Act.
List of Subjects in 14 CFR Part 97
Air Traffic Control, Airports, Navigation (Air).
Issued in Washington, DC on December 29, 1995.
Thomas C. Accardi,
Director, Flight Standards Service.
Adoption of the Amendment
Accordingly, pursuant to the authority delegated to me, part 97 of
the Federal Aviation Regulations (14 CFR part 97) is amended by
establishing, amending, suspending, or revoking Standard Instrument
Approach Procedures, effective at 0901 UTC on the dates specified, as
follows:
PART 97--STANDARD INSTRUMENT APPROACH PROCEDURES
1. The authority citation for part 97 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40103, 40113, 40120, 44701; and 14
CFR 11.49(b)(2).
2. Part 97 is amended to read as follows:
Secs. 97.23, 97.25, 97.27, 97.29, 97.31, 97.33, 97.35 [Amended]
By amending: Sec. 97.23 VOR, VOR/DME, VOR or TACAN, and VOR/DME or
TACAN; Sec. 97.25 LOC, LOC/DME, LDA, LDA/DME, SDF, SDF/DME; Sec. 97.27
NDB, NDB/DME; Sec. 97.29 ILS, ILS/DME, ISMLS, MLS, MLS/DME, MLS/RNAV;
Sec. 97.31 RADAR SIAPs; Sec. 97.33 RNAV SIAPs; and Sec. 97.35 COPTER
SIAPs, identified as follows:
* * * Effective Upon Publication
[[Page 2717]]
--------------------------------------------------------------------------------------------------------------------------------------------------------
FDC date State City Airport FDC No. SIAP
--------------------------------------------------------------------------------------------------------------------------------------------------------
12/13/95............. TN Memphis............. Memphis Intl........ FDC 5/6679 ILS RWY 18L, AMDT 7B...
12/13/95............. TN Memphis............. Memphis Intl........ FDC 5/6680 ILS RWY 36R CAT/III/, AMDT 10...
12/13/95............. TN Memphis............. Memphis Intl........ FDC 5/6681 ILS RWY 36R AMDT 10...
12/13/95............. TN Memphis............. Memphis Intl........ FDC 5/6682 ILS RWY 36R/CAT II/, AMDT 10...
12/13/95............. TN Memphis............. Memphis Intl........ FDC 5/6683 NDB RWY 36R, AMDT 7...
12/13/95............. TN Memphis............. Memphis Intl........ FDC 5/6684 RADAR-1, AMDT 37...
12/13/95............. TN Memphis............. Memphis Intl........ FDC 5/6685 DEP PROCS/TKOF MNMS AMDT 12...
12/14/95............. SC Summerville......... Summerville/ FDC 5/6705 NDB or GPS RWY 5, ORIG-A...
Dorchester County.
12/15/95............. IA Des Moines.......... Des Moines Intl..... FDC 5/6715 ILS RWY 13L, AMDT 6...
12/15/95............. OH Wadsworth........... Wadsworth Muni...... FDC 5/6726 NDB or GPS RWY 2, AMDT 5...
12/18/95............. OH Wadsworth........... Wadsworth Muni...... FDC 5/6746 VOR/DME-A AMDT 1...
12/20/95............. KY Louisville.......... Louisville Intl- FDC 5/6805 ILS RWY 35, ORIG...
Standiford Field.
12/20/95............. MO Kansas City......... Kansas City Intl.... FDC 5/6785 ILS RWY 19L, ORIG-A...
12/21/95............. MA Worcester........... Worcester Muni...... FDC 5/6835 VOR/DME RWY 33, ORIG...
--------------------------------------------------------------------------------------------------------------------------------------------------------
[FR Doc. 96-1433 Filed 1-26-96; 8:45 am]
BILLING CODE 4910-13-M
Complete official Federal Register PDF
FR Doc. 96-1419 Reorganization Action Necessary To Create the Office of Workplace Diversity
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2727-2728]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1419]
=======================================================================
-----------------------------------------------------------------------
FEDERAL COMMUNICATIONS COMMISSION
47 CFR Part 0
[DA 95-2199]
Reorganization Action Necessary To Create the Office of Workplace
Diversity
AGENCY: Federal Communications Commission.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This amendment to the Commission's Rules establishes the
Office of Workplace Diversity to administer the Commission's Internal
Equal Opportunity Program, formerly administered by the Office of the
Managing Director, Associate Managing Director for Human Resources
Management. This action is taken to streamline operations and improve
efficiency.
FOR FURTHER INFORMATION CONTACT: Harvey Lee at (202) 776-1887.
EFFECTIVE DATE: January 29, 1996.
SUPPLEMENTARY INFORMATION:
Order
Adopted: December 13, 1995
Released: January 18, 1996
By the Managing Director:
1. On October 16, 1994, the Commission adopted a proposed
reorganization the purpose of which was to establish the Office of
Workplace Diversity to administer the Commission's internal Equal
Opportunity Program. This program was previously administered by the
Office of the Managing Director, Associate Managing for Human Resources
Management. The implementation of the proposed reorganization requires
amendment to Part 0 of the Commission's Rules and Regulations. In
accordance with the Commission's action, this Order makes necessary
revisions in Part 0 of the Commission's Rules.
2. The amendments adopted herein pertain to agency organization.
Therefore, the notice and comment and effective date provisions of
Section 4 of the Administrative Procedure Act, 5 U.S.C. Sec. 553, are
inapplicable. Authority for the amendments is contained in Sections
4(i) and 5(b) of the Communications Act of 1934, as amended.
4. Accordingly, it is ordered, pursuant to the authority delegated
under 47 C.F.R. Sec. 0.231(d) and effective upon publication in the
Federal Register, that Part 0 of the Rules and Regulations be amended
as set forth below.
List of Subjects in 47 CFR Part 0
Authority delegated, organization and functions (Government
agencies).
Federal Communications Commission.
Andrew S. Fishel,
Managing Director.
Final Rules
Part 0 of Chapter I of Title 47 of the Code of Federal Regulations
is amended as follows:
PART 0--COMMISSION ORGANIZATION
1. The authority citation for Part 0 continues to read as follows:
Authority: Section 5, 48 Stat. 1068, as amended; 47 U.S.C. 155.
2. A new centered heading and a new Section 0.81 is added to
Subpart A to read as follows:
Office of Workplace Diversity
Sec. 0.81 Functions of the Office.
(a) The Office of Workplace Diversity (OWD), as a staff office to
the Commission, shall develop, coordinate, evaluate, and recommend to
the Commission policies, programs, and practices that foster a diverse
workforce and promote and ensure equal opportunity for all employees
and applicants for employment. A principal function of the Office is to
lead, advise, and assist the Commission, including all of its component
Bureau/Office managers, supervisors, and staff, at all levels, on ways
to promote inclusion and full participation of all employees in pursuit
of the Commission's mission. In accordance with this function, the
Office shall:
(1) Conduct independent analyses of the Commission's policies and
practices to ensure that those policies and practices foster diversity
in the workplace and ensure equal opportunity and equal treatment for
employees and applicants; and
(2) Advise the Commission, Bureaus, and Offices of their
responsibilities under Title VII of the Civil Rights Act of 1964, as
amended; Section 501 of the Rehabilitation Act of 1973, as amended; Age
Discrimination in Employment Act of 1967, as amended; Executive Order
11478; and all other statutes, Executive Orders, and regulatory
provisions relating to workplace diversity, equal employment
opportunity, nondiscrimination, and civil rights.
(b) The Office has the following duties and responsibilities:
(1) Through its Director, serves as the principal advisor to the
Chairman and Commission officials on all aspects of workplace
diversity, affirmative recruitment, equal employment
[[Page 2728]]
opportunity, non-discrimination, and civil rights;
(2) Provides leadership and guidance to create a work environment
that values and encourages diversity in the workplace;
(3) Is responsible for developing, implementing, and evaluating
programs and policies to foster a workplace whose diversity reflects
the diverse makeup of the Nation, enhances the mission of the
Commission, and demonstrates the value and effectiveness of a diverse
workforce;
(4) Is responsible for developing, implementing, and evaluating
programs and policies that promote understanding among members of the
Commission's workforce of their differences and the value of those
differences and provide a channel for communication among diverse
members of the workforce at all levels;
(5) Develops, implements, and evaluates programs and policies to
ensure that all members of the Commission's workforce and candidates
for employment have equal access to opportunities for employment,
career growth, training, and development and are protected from
discrimination and harassment;
(6) Develops and recommends Commission-wide workforce diversity
goals and reports on achievements;
(7) Is responsible for developing, implementing, and evaluating
programs and policies to enable all Bureaus and Offices to manage a
diverse workforce effectively and in compliance with all equal
employment opportunity and civil rights requirements;
(8) Works closely with the Associate Managing Director--Human
Resources Management to ensure compliance with Federal and Commission
recruitment and staffing requirements;
(9) Manages the Commission's equal employment opportunity
compliance program. Responsibilities in this area include processing
complaints alleging discrimination, recommending to the Chairman final
decisions on EEO complaints within the Commission, and providing
counseling services to employees and applicants on EEO matters;
(10) Develops and administers the Commission's program of
accessibility and accommodation for disabled persons in accordance with
applicable regulations;
(11) Represents the Commission at meeting with other public and
private groups and organizations on matters counseling workplace
diversity and equal employment opportunity and workplace diversity
issues;
(12) Maintains liaison with and solicits views of organizations
within and outside the Commission on matters relating to equal
opportunity and workplace diversity.
3. A new centered heading and a new Section 0.391 is added to
Subpart B to read as follows:
Office of Workplace Diversity
Sec. 0.391 Authority delegated.
The Director, Office of Workplace Diversity, or his/her designee,
is hereby delegated authority to:
(a) Manage the Commission's internal EEO compliance program
pursuant to Title VII of the Civil Rights Act of 1964, as amended, the
Rehabilitation Act of 1973, as amended, the Age Discrimination in
Employment Act of 1967, as amended, the Equal Pay Act, and other
applicable laws, rules, regulations, and Executive Orders, with
authority that includes appointing EEO counselors, investigators, and
mediators; investigating complaints of employment discrimination, and
recommending to the Chairman final agency decisions on EEO complaints;
(b) Mediate EEO complaints;
(c) Develop the Commission's affirmative action goals and
objectives;
(d) Collect and analyze data on the Commission's affirmative action
and EEO activities and accomplishments;
(e) Prepare and release reports on EEO, affirmative action,
workplace diversity, and related subjects;
(f) Review personnel activities, including hiring, promotions,
discipline, training, awards, and performance recognition for
conformance with EEO and workplace diversity goals, objectives and
requirements;
(g) Conduct studies and collect data on workplace diversity issues
and problems;
(h) Assume representational role on behalf of the Commission at
conferences, meetings, and negotiations on EEO and workplace diversity
issues;
(i) Develop programs and strategies designed to foster and
encourage fairness, equality, and inclusion of all employees in the
workforce.
[FR Doc. 96-1419 Filed 1-26-96; 8:45 am]
BILLING CODE 6712-01-P
Complete official Federal Register PDF
FR Doc. 96-1411 Airworthiness Directives; Curtiss-Wright R1820 Series Reciprocating Engines
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2701-2703]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1411]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
14 CFR Part 39
[Docket No. 94-ANE-36; Amendment 39-9471; AD 94-11-10]
Airworthiness Directives; Curtiss-Wright R1820 Series
Reciprocating Engines
AGENCY: Federal Aviation Administration, DOT.
ACTION: Final rule, request for comments.
-----------------------------------------------------------------------
SUMMARY: This document publishes in the Federal Register an amendment
adopting Airworthiness Directive (AD) 94-11-10 that was sent previously
to certain U.S. owners and operators of Curtiss-Wright R1820 series
reciprocating engines, installed on the following U.S. registered
aircraft: N313WB, N7044L, N815SH, and N83AW by individual letters. This
AD requires engines certified to operate on 91 octane or higher avgas
to undergo a teardown and analytical inspection for detonation damage,
and engines certified to operate on 80 octane avgas to undergo
inspection for evidence of possible internal engine damage. This
amendment is prompted by reports that aircraft with certain Curtiss-
Wright engines installed were fueled with a contaminated fuel mixture
between May 22 and June 2, 1994, at Sacramento Executive (SAC) airport,
or between May 18 and June 2, 1994, at Sacramento Metro (SMF) airport.
The actions specified by this AD are intended to prevent detonation due
to low octane, which can result in severe engine damage and subsequent
failure.
DATES: Effective February 13, 1996, to all persons except those persons
to whom it was made immediately effective by priority letter AD 94-11-
10, issued on June 23, 1994, which contained the requirements of this
amendment.
Comments for inclusion in the Rules Docket must be received on or
before March 29, 1996.
ADDRESSES: Submit comments in triplicate to the Federal Aviation
Administration (FAA), New England Region, Office of the Assistant Chief
Counsel, Attention: Rules Docket No. 94-ANE-36, 12 New England
Executive Park, Burlington, MA 01803-5299.
FOR FURTHER INFORMATION CONTACT: Locke Easton, Aerospace Engineer,
Engine and Propeller Standards Staff, FAA, Engine and Propeller
Directorate, 12 New England Executive Park; telephone (617) 238-7113,
fax (617) 238-7199.
SUPPLEMENTARY INFORMATION: On June 23, 1994, the Federal Aviation
Administration (FAA) issued priority letter airworthiness directive
(AD) 94-11-10, applicable to Curtiss-Wright R1820 series reciprocating
engines, installed on the following U.S. registered aircraft: N313WB,
N7044L, N815SH, and N83AW, which requires teardown and analytical
inspection for engines certified to operate on 91 or higher octane
aviation gasoline (avgas), and differential compression test and
examination of the oil filter for engines certified to operate on 80
octane avgas. That action was prompted by reports of reports of
aviation gasoline (avgas) being contaminated by Jet A fuel. After
investigation, the source of the contamination has been determined to
be the refiner of the avgas. Through its distribution system, the
refiner inadvertently caused Jet A fuel to be loaded into distribution
tanks intended for avgas. Contaminated avgas from these distribution
tanks was then shipped to local fuel distributors. The FAA has
determined that aircraft with certain Franklin engines installed were
fueled with this contaminated mixture between May 22 and June 2, 1994,
at
[[Page 2702]]
Sacramento Executive (SAC) airport, or between May 18 and June 2, 1994,
at Sacramento Metro (SMF) airport. The list of U.S. registered aircraft
specified in the applicability paragraph of this AD is based on
investigation of fueling records secured from the two affected
airports, which the FAA has determined to represent the population of
affected engines. This condition, if not corrected, could result in
detonation due to low octane, which can result in severe engine damage
and subsequent failure.
This AD requires engines certified to operate on 91 octane or
higher avgas to undergo a teardown and analytical inspection for
detonation damage, and engines certified to operate on 80 octane avgas
to undergo inspection for evidence of possible internal engine damage.
Engineering analysis of operating these engines with avgas contaminated
with Jet A fuel indicates that actual damage to the engine may range
from unnoticeable to very severe, according to the duration of run,
engine power level, and level of contamination. Damage may be
characterized by increased operating temperatures resulting in damaged
intake valves and burned pistons, and excessive loads imposed by
detonation. Since internal damage may not be assessed by any other
method, engines certified to operate on 91 octane or higher avgas must
undergo a teardown and analytical inspection and any parts showing
signs of detonation damage must be replaced. Investigation revealed the
lowest octane level of the contaminated fuel to be 83 octane, therefore
engines certified to operate on 80 octane avgas need not undergo a
teardown and analytical inspection unless evidence of internal engine
damage is present by the required differential compression test and
examination of the oil filter for metal particles. The refiner has
advised the FAA that it may pay for any reasonable expense associated
with the inspection and/or disassembly in accordance with the
mechanic's and manufacturer's recommendations.
Since the unsafe condition described is likely to exist or develop
on other engines of the same type design, the FAA issued priority
letter AD 94-11-10 to prevent detonation due to low octane. The AD
requires teardown and analytical inspection for engines certified to
operate on 91 or higher octane avgas, and differential compression test
and examination of the oil filter for engines certified to operate on
80 octane avgas.
Since it was found that immediate corrective action was required,
notice and opportunity for prior public comment thereon were
impracticable and contrary to the public interest, and good cause
existed to make the AD effective immediately by individual letters
issued on June 23, 1994, to certain U.S. owners and operators of
Curtiss-Wright R1820 series reciprocating engines, installed on the
following U.S. registered aircraft: N313WB, N7044L, N815SH, and N83AW.
These conditions still exist, and the AD is hereby published in the
Federal Register as an amendment to Section 39.13 of part 39 of the
Federal Aviation Regulations (14 CFR part 39) to make it effective to
all persons.
Comments Invited
Although this action is in the form of a final rule that involves
requirements affecting flight safety and, thus, was not preceded by
notice and an opportunity for public comment, comments are invited on
this rule. Interested persons are invited to comment on this rule by
submitting such written data, views, or arguments as they may desire.
Communications should identify the Rules Docket number and be submitted
in triplicate to the address specified under the caption ADDRESSES. All
communications received on or before the closing date for comments will
be considered, and this rule may be amended in light of the comments
received. Factual information that supports the commenter's ideas and
suggestions is extremely helpful in evaluating the effectiveness of the
AD action and determining whether additional rulemaking action would be
needed.
Comments are specifically invited on the overall regulatory,
economic, environmental, and energy aspects of the rule that might
suggest a need to modify the rule. All comments submitted will be
available, both before and after the closing date for comments, in the
Rules Docket for examination by interested persons. A report that
summarizes each FAA-public contact concerned with the substance of this
AD will be filed in the Rules Docket.
Commenters wishing the FAA to acknowledge receipt of their comments
submitted in response to this notice must submit a self-addressed,
stamped postcard on which the following statement is made: ``Comments
to Docket Number 94-ANE-36.'' The postcard will be date stamped and
returned to the commenter.
The regulations adopted herein will not have substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government. Therefore, in
accordance with Executive Order 12612, it is determined that this final
rule does not have sufficient federalism implications to warrant the
preparation of a Federalism Assessment.
The FAA has determined that this regulation is an emergency
regulation that must be issued immediately to correct an unsafe
condition in aircraft, and is not a ``significant regulatory action''
under Executive Order 12866. It has been determined further that this
action involves an emergency regulation under DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979). If it is determined
that this emergency regulation otherwise would be significant under DOT
Regulatory Policies and Procedures, a final regulatory evaluation will
be prepared and placed in the Rules Docket. A copy of it, if filed, may
be obtained from the Rules Docket at the location provided under the
caption ADDRESSES.
List of Subjects in 14 CFR Part 39
Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.
Adoption of the Amendment
Accordingly, pursuant to the authority delegated to me by the
Administrator, the Federal Aviation Administration amends part 39 of
the Federal Aviation Regulations (14 CFR part 39) as follows:
PART 39--AIRWORTHINESS DIRECTIVES
1. The authority citation for part 39 continues to read as follows:
Authority: 49 USC 106(g), 40101, 40113, 44701.
Sec. 39.13 [Amended]
2. Section 39.13 is amended by adding the following new
airworthiness directive:
94-11-10 Curtiss-Wright: Amendment 39-9471. Docket 94-ANE-36.
Applicability: Curtiss-Wright R1820 series reciprocating
engines, installed on the following U.S. registered aircraft:
N313WB, N7044L, N815SH, and N83AW.
Note: This airworthiness directive (AD) applies to each engine
identified in the preceding applicability provision, regardless of
whether it has been modified, altered, or repaired in the area
subject to the requirements of this AD. For engines that have been
modified, altered, or repaired so that the performance of the
requirements of this AD is affected, the owner/operator must use the
authority provided in paragraph (c) to request approval from the
Federal Aviation Administration (FAA). This approval may address
either no action, if the current configuration eliminates the unsafe
condition, or different actions necessary to
[[Page 2703]]
address the unsafe condition described in this AD. Such a request
should include an assessment of the effect of the changed
configuration on the unsafe condition addressed by this AD. In no
case does the presence of any modification, alteration, or repair
remove any engine from the applicability of this AD.
Compliance: Required as indicated, unless accomplished
previously.
To prevent detonation due to low octane, which can result in
severe engine damage and subsequent failure, accomplish the
following:
(a) For engines that are certified to operate on only 91 or
higher octane aviation gasoline (avgas) within the next 2 hours time
in service (TIS) after the effective date of this airworthiness
directive (AD) perform an engine teardown and analytical inspection,
and replace with serviceable parts as necessary in accordance with
the applicable overhaul manuals.
(b) For engines that are certified to operate on 80 octane
avgas, within the next 2 hours TIS after the effective date of this
AD conduct a differential compression test on all cylinders in
accordance with the applicable maintenance manuals, and examine the
oil filter by cutting the oil filter apart and spreading the filter
paper out to look for metal particles. If metal particles are
present, or if one or more cylinders shows unacceptable compression
as specified in the applicable maintenance manuals, perform an
engine teardown and analytical inspection, and replace with
serviceable parts as necessary in accordance with the applicable
overhaul manuals.
Note: Additional guidance for conducting differential
compression tests is contained in paragraph 692 of Advisory Circular
(AC) No. 43.13-1A, dated 1988.
(c) An alternative method of compliance or adjustment of the
compliance time that provides an acceptable level of safety may be
used if approved by the Manager, Engine and Propeller Standards
Staff. The request should be forwarded through an appropriate FAA
Maintenance Inspector, who may add comments and then send it to the
Manager, Engine and Propeller Standards Staff.
Note: Information concerning the existence of approved
alternative methods of compliance with this airworthiness directive,
if any, may be obtained from the Engine and Propeller Standards
Staff.
(d) Special flight permits may be issued in accordance with
sections 21.197 and 21.199 of the Federal Aviation Regulations (14
CFR 21.197 and 21.199) to operate the aircraft to a location where
the requirements of this AD can be accomplished.
(e) This amendment becomes effective February 13, 1996, to all
persons except those persons to whom it was made immediately
effective by priority letter AD 94-11-10, issued June 23, 1994,
which contained the requirements of this amendment.
Issued in Burlington, Massachusetts, on January 11, 1996.
Jay J. Pardee,
Manager, Engine and Propeller Directorate, Aircraft Certification
Service.
[FR Doc. 96-1411 Filed 1-26-96; 8:45 am]
BILLING CODE 4910-13-U
Complete official Federal Register PDF
FR Doc. 96-1410 Airworthiness Directives; Franklin Model 6A4-150-B3 and 6A4-165- B3 Reciprocating Engines
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2703-2705]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1410]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
14 CFR Part 39
[Docket No. 95-ANE-70; Amendment 39-9489, AD 96-02-04]
Airworthiness Directives; Franklin Model 6A4-150-B3 and 6A4-165-
B3 Reciprocating Engines
AGENCY: Federal Aviation Administration, DOT.
ACTION: Final rule; request for comments.
-----------------------------------------------------------------------
SUMMARY: This amendment adopts a new airworthiness directive (AD) that
is applicable to Franklin Model 6A4-150-B3 and 6A4-165-B3 reciprocating
engines, installed on the following U.S. registered aircraft: N6209M,
N74231, and N752C. This action supersedes priority letter AD 94-14-11
that currently requires engines certified to operate on 91 octane or
higher avgas to undergo a teardown and analytical inspection for
detonation damage, and engines certified to operate on 80 octane avgas
to undergo inspection for evidence of possible internal engine damage.
This action revises incorrect engine model numbers listed in the
priority letter AD. This amendment is prompted by updated information
that has identified the correct engine model numbers. The actions
specified by this AD are intended to prevent detonation due to low
octane, which can result in severe engine damage and subsequent
failure.
DATES: Effective February 13, 1996.
Comments for inclusion in the Rules Docket must be received on or
before March 29, 1996.
ADDRESSES: Submit comments in triplicate to the Federal Aviation
Administration (FAA), New England Region, Office of the Assistant Chief
Counsel, Attention: Rules Docket No. 95-ANE-70, 12 New England
Executive Park, Burlington, MA 01803-5299.
FOR FURTHER INFORMATION CONTACT: Locke Easton, Aerospace Engineer,
Engine and Propeller Standards Staff, FAA, Engine and Propeller
Directorate, 12 New England Executive Park; telephone (617) 238-7113,
fax (617) 238-7199.
SUPPLEMENTARY INFORMATION: On June 23, 1994, the Federal Aviation
Administration (FAA) issued priority letter airworthiness directive
(AD) 94-14-11, applicable to Franklin Model 6A4-150-B3 and 6A4-165-B3
reciprocating engines, installed on the following U.S. registered
aircraft: N6209M, N74231, and N752C. That action requires teardown and
analytical inspection for engines certified to operate on 91 or higher
octane aviation gasoline (avgas), and differential compression test and
examination of the oil filter for engines certified to operate on 80
octane avgas. That action was prompted by reports of reports of
aviation gasoline (avgas) being contaminated by Jet A fuel. After
investigation, the source of the contamination has been determined to
be the refiner of the avgas. Through its distribution system, the
refiner inadvertently caused Jet A fuel to be loaded into distribution
tanks intended for avgas. Contaminated avgas from these distribution
tanks was then shipped to local fuel distributors. The FAA has
determined that aircraft with certain Franklin engines installed were
fueled with this contaminated mixture between May 22 and June 2, 1994,
at Sacramento Executive (SAC) airport, or between May 18 and June 2,
1994, at Sacramento Metro (SMF) airport. The list of U.S. registered
aircraft specified in the applicability paragraph of this AD is based
on investigation of fueling records secured from the two affected
airports, which the FAA has determined to represent the population of
affected engines. That condition, if not corrected, could result in
detonation due to low octane, which can result in severe engine damage
and subsequent failure.
This AD requires engines certified to operate on 91 octane or
higher avgas to undergo a teardown and analytical inspection for
detonation damage, and engines certified to operate on 80 octane avgas
to undergo inspection for evidence of possible internal engine damage.
Engineering analysis of operating these engines with avgas contaminated
with Jet A fuel indicates that actual damage to the engine may range
from unnoticeable to very severe, according to the duration of run,
engine power level, and level of contamination. Damage may be
characterized by increased operating temperatures resulting in damaged
intake valves and burned pistons, and excessive loads imposed by
detonation. Since internal damage may not be assessed by any other
method, engines certified to operate on 91 octane or higher avgas must
undergo a teardown and analytical inspection and any parts showing
signs of detonation damage must be replaced.
[[Page 2704]]
Investigation revealed the lowest octane level of the contaminated fuel
to be 83 octane, therefore engines certified to operate on 80 octane
avgas need not undergo a teardown and analytical inspection unless
evidence of internal engine damage is present by the required
differential compression test and examination of the oil filter for
metal particles. The refiner has advised the FAA that it may pay for
any reasonable expense associated with the inspection and/or
disassembly in accordance with the mechanic's and manufacturer's
recommendations.
Since an unsafe condition has been identified that is likely to
exist or develop on other engines of this same type design, this AD
supersedes priority letter AD 94-14-11 to revise incorrect engine model
numbers listed in the priority letter AD.
Since a situation exists that requires the immediate adoption of
this regulation, it is found that notice and opportunity for prior
public comment hereon are impracticable, and that good cause exists for
making this amendment effective in less than 30 days.
Comments Invited
Although this action is in the form of a final rule that involves
requirements affecting flight safety and, thus, was not preceded by
notice and an opportunity for public comment, comments are invited on
this rule. Interested persons are invited to comment on this rule by
submitting such written data, views, or arguments as they may desire.
Communications should identify the Rules Docket number and be submitted
in triplicate to the address specified under the caption ADDRESSES. All
communications received on or before the closing date for comments will
be considered, and this rule may be amended in light of the comments
received. Factual information that supports the commenter's ideas and
suggestions is extremely helpful in evaluating the effectiveness of the
AD action and determining whether additional rulemaking action would be
needed.
Comments are specifically invited on the overall regulatory,
economic, environmental, and energy aspects of the rule that might
suggest a need to modify the rule. All comments submitted will be
available, both before and after the closing date for comments, in the
Rules Docket for examination by interested persons. A report that
summarizes each FAA-public contact concerned with the substance of this
AD will be filed in the Rules Docket.
Commenters wishing the FAA to acknowledge receipt of their comments
submitted in response to this notice must submit a self-addressed,
stamped postcard on which the following statement is made: ``Comments
to Docket Number 95-ANE-70.'' The postcard will be date stamped and
returned to the commenter.
The regulations adopted herein will not have substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government. Therefore, in
accordance with Executive Order 12612, it is determined that this final
rule does not have sufficient federalism implications to warrant the
preparation of a Federalism Assessment.
The FAA has determined that this regulation is an emergency
regulation that must be issued immediately to correct an unsafe
condition in aircraft, and is not a ``significant regulatory action''
under Executive Order 12866. It has been determined further that this
action involves an emergency regulation under DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979). If it is determined
that this emergency regulation otherwise would be significant under DOT
Regulatory Policies and Procedures, a final regulatory evaluation will
be prepared and placed in the Rules Docket. A copy of it, if filed, may
be obtained from the Rules Docket at the location provided under the
caption ADDRESSES.
List of Subjects in 14 CFR Part 39
Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.
Adoption of the Amendment
Accordingly, pursuant to the authority delegated to me by the
Administrator, the Federal Aviation Administration amends part 39 of
the Federal Aviation Regulations (14 CFR part 39) as follows:
PART 39--AIRWORTHINESS DIRECTIVES
1. The authority citation for part 39 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40101, 40113, 44701.
Sec. 39.13 [Amended]
2. Section 39.13 is amended by adding the following new
airworthiness directive:
96-02-04 Franklin: Amendment 39-9489. Docket No. 95-ANE-70.
Supersedes AD 94-14-11.
Applicability: Franklin Model 6A4-150-B3 and 6A4-165-B3
reciprocating engines, installed on the following U.S. registered
aircraft: N6209M, N74231, and N752C.
Note: This airworthiness directive (AD) applies to each engine
identified in the preceding applicability provision, regardless of
whether it has been modified, altered, or repaired in the area
subject to the requirements of this AD. For engines that have been
modified, altered, or repaired so that the performance of the
requirements of this AD is affected, the owner/operator must use the
authority provided in paragraph (c) to request approval from the
Federal Aviation Administration (FAA). This approval may address
either no action, if the current configuration eliminates the unsafe
condition, or different actions necessary to address the unsafe
condition described in this AD. Such a request should include an
assessment of the effect of the changed configuration on the unsafe
condition addressed by this AD. In no case does the presence of any
modification, alteration, or repair remove any engine from the
applicability of this AD.
Compliance: Required as indicated, unless accomplished
previously. detonation due to low octane, which can result in severe
engine damage and subsequent failure, accomplish the following:
(a) For engines that are certified to operate on only 91 or
higher octane aviation gasoline (avgas) within the next 2 hours time
in service (TIS) after the effective date of this airworthiness
directive (AD) perform an engine teardown and analytical inspection,
and replace with serviceable parts as necessary in accordance with
the applicable overhaul manuals.
(b) For engines that are certified to operate on 80 octane
avgas, within the next 2 hours TIS after the effective date of this
AD conduct a differential compression test on all cylinders in
accordance with the applicable maintenance manuals, and examine the
oil filter by cutting the oil filter apart and spreading the filter
paper out to look for metal particles. If metal particles are
present, or if one or more cylinders shows unacceptable compression
as specified in the applicable maintenance manuals, perform an
engine teardown and analytical inspection, and replace with
serviceable parts as necessary in accordance with the applicable
overhaul manuals.
Note: Additional guidance for conducting differential
compression tests is contained in paragraph 692 of Advisory Circular
(AC) No. 43.13-1A, dated 1988.
(c) An alternative method of compliance or adjustment of the
compliance time that provides an acceptable level of safety may be
used if approved by the Manager, Engine and Propeller Standards
Staff. The request should be forwarded through an appropriate FAA
Maintenance Inspector, who may add comments and then send it to the
Manager, Engine and Propeller Standards Staff.
Note: Information concerning the existence of approved
alternative methods of compliance with this airworthiness directive,
if any, may be obtained from the Engine and Propeller Standards
Staff.
(d) Special flight permits may be issued in accordance with
sections 21.197 and 21.199
[[Page 2705]]
of the Federal Aviation Regulations (14 CFR 21.197 and 21.199) to
operate the aircraft to a location where the requirements of this AD
can be accomplished.
(e) This amendment supersedes priority letter AD 94-11-11,
issued June 23, 1994.
(f) This amendment becomes effective on February 13, 1996.
Issued in Burlington, Massachusetts, on January 11, 1996.
Jay J. Pardee,
Manager, Engine and Propeller Directorate, Aircraft Certification
Service.
[FR Doc. 96-1410 Filed 1-26-96; 8:45 am]
BILLING CODE 4910-13-U
Complete official Federal Register PDF
FR Doc. 96-1409 Airworthiness Directives; Teledyne Continental Motors Models C75, C85, C90, C125, C145, O-200, O-300, and GO-300 Series and Rolls-Royce, plc C90, O-200 and O-300 Series Reciprocating Engines
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2708-2711]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1409]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
14 CFR Part 39
[Docket No. 92-ANE-32; Amendment 39-9490; AD 94-05-05 R1]
Airworthiness Directives; Teledyne Continental Motors Models C75,
C85, C90, C125, C145, O-200, O-300, and GO-300 Series and Rolls-Royce,
plc C90, O-200 and O-300 Series Reciprocating Engines
AGENCY: Federal Aviation Administration, DOT.
ACTION: Final rule; request for comments.
-----------------------------------------------------------------------
SUMMARY: This amendment revises an existing airworthiness directive
(AD), applicable to Teledyne Continental Motors (TCM) Models C75, C85,
C90, C125, C145, O-200, O-300, and GO-300 series reciprocating engines,
that currently requires inspection of the cylinder rocker shaft bosses
for cracks, and inspection of the cylinder rocker shaft for looseness
and replacement, if necessary, with a serviceable part. This amendment
clarifies that the inspection must be accomplished at the next cylinder
removal from the engine or engine overhaul, whichever occurs first, and
adds certain Rolls-Royce, plc engines to the AD's applicability. This
amendment is prompted by the need to clarify when the inspection must
be performed. The actions specified by this AD are intended to prevent
engine power loss and engine failure.
DATES: Effective February 13, 1996.
Comments for inclusion in the Rules Docket must be received on or
before March 29, 1996.
ADDRESSES: Submit comments in triplicate to the Federal Aviation
Administration (FAA), New England Region, Office of the Assistant Chief
Counsel, Attention: Rules Docket No. 92-ANE-32, 12 New England
Executive Park, Burlington, MA 01803-5299.
FOR FURTHER INFORMATION CONTACT: Jerry Robinette, Aerospace Engineer,
Atlanta Certification Office, FAA, Small Airplane Directorate, Campus
Building, 1701 Columbia Avenue, Suite 2-160, College Park, GA, 30337-
2748; telephone (404) 305-7371, fax (404) 305-7348.
SUPPLEMENTARY INFORMATION: On February 18, 1994, the Federal Aviation
Administration (FAA) issued AD 94-05-05, Amendment 39-8843 (59 FR
10057, March 3, 1994), applicable to Teledyne Continental Motors (TCM)
Models C75, C85, C90, C125, C145, O-200, O-300, and GO-300 series
reciprocating engines, to require inspection of the cylinder rocker
shaft bosses for cracks, and inspection of the cylinder rocker shaft
for looseness and replacement, if necessary, with a serviceable part.
That action was prompted by reports of cracked or improperly repaired
cylinder rocker shaft bosses. That condition, if not corrected, could
result in engine power loss and engine failure.
Since the issuance of that AD, the FAA has received reports
indicating confusion among operators as to when the inspection must be
performed. The FAA has learned that an operator removed a cylinder from
an affected engine but did not do the inspection specified by AD 94-05-
05, claiming that the inspection need only be accomplished when a
cylinder is removed for an overhaul, but not for a repair. That is not
the intent of the current wording of the AD. The FAA has therefore
revised the compliance requirement in this AD to state that the
inspection must be performed at the next cylinder removal from the
engine, or engine overhaul, whichever occurs first.
In addition, the Civil Aviation Authorities of the United Kingdom
and Denmark notified the FAA that the AD should apply also to Rolls-
Royce, plc C90, O-200 and O-300 series reciprocating engines, as they
were produced by Rolls-Royce, plc under a licensing agreement with TCM.
Some time after production ceased, continuing airworthiness
responsibility reverted to TCM. The FAA has therefore added these
Rolls-Royce, plc engines to the AD's applicability.
Since an unsafe condition has been identified that is likely to
exist or develop on other engines of this same type design, this AD
revises AD 94-05-05 to clarify that the inspection must be
[[Page 2709]]
accomplished at the next cylinder removal from the engine or engine
overhaul, whichever occurs first, and to add certain Rolls-Royce, plc
engines to the AD's applicability.
Since a situation exists that requires the immediate adoption of
this regulation, it is found that notice and opportunity for prior
public comment hereon are impracticable, and that good cause exists for
making this amendment effective in less than 30 days.
Comments Invited
Although this action is in the form of a final rule that involves
requirements affecting flight safety and, thus, was not preceded by
notice and an opportunity for public comment, comments are invited on
this rule. Interested persons are invited to comment on this rule by
submitting such written data, views, or arguments as they may desire.
Communications should identify the Rules Docket number and be submitted
in triplicate to the address specified under the caption ADDRESSES. All
communications received on or before the closing date for comments will
be considered, and this rule may be amended in light of the comments
received. Factual information that supports the commenter's ideas and
suggestions is extremely helpful in evaluating the effectiveness of the
AD action and determining whether additional rulemaking action would be
needed.
Comments are specifically invited on the overall regulatory,
economic, environmental, and energy aspects of the rule that might
suggest a need to modify the rule. All comments submitted will be
available, both before and after the closing date for comments, in the
Rules Docket for examination by interested persons. A report that
summarizes each FAA-public contact concerned with the substance of this
AD will be filed in the Rules Docket.
Commenters wishing the FAA to acknowledge receipt of their comments
submitted in response to this notice must submit a self-addressed,
stamped postcard on which the following statement is made: ``Comments
to Docket Number 92-ANE-32.'' The postcard will be date stamped and
returned to the commenter.
The regulations adopted herein will not have substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government. Therefore, in
accordance with Executive Order 12612, it is determined that this final
rule does not have sufficient federalism implications to warrant the
preparation of a Federalism Assessment.
The FAA has determined that this regulation is an emergency
regulation that must be issued immediately to correct an unsafe
condition in aircraft, and is not a ``significant regulatory action''
under Executive Order 12866. It has been determined further that this
action involves an emergency regulation under DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979). If it is determined
that this emergency regulation otherwise would be significant under DOT
Regulatory Policies and Procedures, a final regulatory evaluation will
be prepared and placed in the Rules Docket. A copy of it, if filed, may
be obtained from the Rules Docket at the location provided under the
caption ADDRESSES.
List of Subjects in 14 CFR Part 39
Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.
Adoption of the Amendment
Accordingly, pursuant to the authority delegated to me by the
Administrator, the Federal Aviation Administration amends part 39 of
the Federal Aviation Regulations (14 CFR part 39) as follows:
PART 39--AIRWORTHINESS DIRECTIVES
1. The authority citation for part 39 continues to read as follows:
Authority: 49 USC 106(g), 40101, 40113, 44701.
Sec. 39.13 [Amended]
2. Section 39.13 is amended by removing Amendment 39-8843 (59 FR
10057, March 3, 1994) and by adding a new airworthiness directive,
Amendment 39-9490, to read as follows:
94-05-05 R1 Teledyne Continental Engines and Rolls-Royce, plc:
Amendment 39-9490. Docket 92-ANE-32. Revises AD 94-05-05, Amendment
39-8843.
Applicability: Teledyne Continental Motors (TCM) Model C75, C85,
C90, C125, C145, O-200, O-300, and GO-300 series and Rolls-Royce,
plc (R-R) C90, O-200 and O-300 series reciprocating engines,
installed on but not limited to American Champion models 7BCM, 7CCM,
7DC, S7DC, S7CCM, 7EC, S7EC, 7FC, 7JC, and 7ECA; Cessna Models 120,
140, 150, 170, 172, 172A-H, and 175; Luscombe Models 8E, 8F, and T-
8F; Maule Models Bee Dee M-4, M-4, M-4C, M-4S, M-4T, M-4-210, M-4-
210C, M-4-210S, M-4-210T, and M-5-210C; Piper Models PA-18 and PA-
19; Reims Aviation SA Models F172D, E, F, G, H, K; F150G, H, J, K,
L, M; FA150K, L; FRA150L; Swift Models GC-1A and GC-1B; Univair
(Erco) Models 415-D, E, and G; Univair (Forney) Models F-1 and F-1A;
Univair (Alon) Model A-2 and Univair (Mooney) Model M-10 aircraft.
Note: This airworthiness directive (AD) applies to each engine
identified in the preceding applicability provision, regardless of
whether it has been modified, altered, or repaired in the area
subject to the requirements of this AD. For engines that have been
modified, altered, or repaired so that the performance of the
requirements of this AD is affected, the owner/operator must use the
authority provided in paragraph (d) to request approval from the
Federal Aviation Administration (FAA). This approval may address
either no action, if the current configuration eliminates the unsafe
condition, or different actions necessary to address the unsafe
condition described in this AD. Such a request should include an
assessment of the effect of the changed configuration on the unsafe
condition addressed by this AD. In no case does the presence of any
modification, alteration, or repair remove any engine from the
applicability of this AD.
Compliance: Required as indicated, unless accomplished
previously.
To prevent engine power loss and engine failure, accomplish the
following:
(a) At the next cylinder removal from the engine, or engine
overhaul, whichever occurs first, after the effective date of this
AD, inspect the cylinder rocker shaft bosses for cracks using one of
the following methods, and if cracked replace with a serviceable
cylinder:
Note: Certain cylinder cracks may be repaired by FAA-approved
repair stations specifically rated to do those repairs.
(1) Fluorescent penetrant inspection, as follows:
(i) The penetrant shall be a nontoxic, noncorrosive, highly
fluorescent liquid capable of penetrating fine discontinuities and,
for aluminum castings, conforming to Aerospace Material
Specification (AMS) 3156. If a darkened enclosure is not used for
examination, AMS 3157 penetrant shall be used.
(ii) The emulsifier shall be composed of suitable oil or oil-
like components together with such additives as are necessary to
provide a stable, nontoxic, noncorrosive, oil-miscible, oil-
emulsifying solution. Emulsifier shall not be used when AMS 3156 is
used.
(iii) The developer shall be a highly absorbent, nonfluorescent
and nontoxic powder, capable of being used dry or a similar powder
capable of being suspended in water. When the suspension is used,
the powder shall be thoroughly mixed with water to a concentration,
unless otherwise permitted, of not less than 0.2 lb per gallon and a
uniform distribution maintained by mechanical agitation.
(iv) The penetrant, the emulsifier (if used) and the developer
shall be checked as often as necessary to maintain proper control.
The penetrant shall be discarded if it shows a noticeable loss in
penetrating power or marked contamination or when wax begins to form
on the sides of the tank and dip basket.
(v) A darkness booth or a similar darkness area with a filtered
black light shall be
[[Page 2710]]
provided. The black light shall be at least equal to that produced by a
100 watt mercury vapor projection spot lamp equipped with a filter
to transmit wave lengths of between 3200 and 4000 Angstrom units and
absorb substantially all visible light. The intensity of the light
at normal working distance shall be as specified by the purchaser
but in no case shall be lower than 580 micro-watts per square
centimeter as measured with an appropriate black light meter.
(vi) All parts shall be cleaned and dried in such a manner as to
leave them free from grease, oil, soaps, alkalis and other
substances which would interfere with inspection. Vapor degreasing
is generally suitable for this purpose.
(vii) Parts shall be immersed in the penetrant or shall be
sprayed or brushed with the penetrant and shall be allowed to remain
immersed in the penetrant or to stand for sufficient time to allow
satisfactory penetration into all discontinuities. This time shall,
unless otherwise specified, not be less than 5 minutes. The time for
immersion or standing will depend upon the character and fineness of
the discontinuities, the effectiveness of penetration increasing
with time. Parts may be resprayed or re-immersed after standing to
increase sensitivity and aid in removal of penetrant.
(viii) Parts shall be removed from the penetrant and cleaned
thoroughly using a medium which will remove penetrant from the
surface of parts; washing with water shall be used when the
penetrant is water washable or when an emulsifying agent is applied
to surfaces of parts to render the penetrant water washable. When
emulsifiers are used, the parts shall be dipped in the emulsifier
and removed slowly for draining or shall be sprayed with emulsifier
and drained. Unless otherwise specified, the combined dipping and
draining time shall be 1 to 5 minutes. When other than water
washable penetrants are used, the penetrant shall be removed with a
suitable cleaner or a suitable cleaner and lint-free cloths. During
cleaning, the parts may be viewed under a suitable black light to
ensure removal of the penetrant from the subrace of the part.
Excessive cleaning which would remove the penetrant from
discontinuities shall be avoided.
(ix) When a wet developer is used, the developer shall be
applied to the parts, immediately after washing, by immersing the
parts in the tank containing the water-suspended powder or by
spraying or flowing the suspension onto the parts. The suspension
shall be suitably agitated either during or immediately prior to
application to parts. Immersed parts shall be removed from the wet
developer; excess developer shall be allowed to drain off all parts.
Special care shall be taken to remove excess developer from pockets,
recesses, holes, threads, and corners so that the developer will not
mask indications.
(x) When a dry developer or no developer is used, the parts
shall be dried as thoroughly as possible by exposure to clean air.
Drying of parts may be accomplished by evaporation at room
temperature or by placing the parts in a circulating warm air oven
or in the air stream of a hot air dryer. Excessive drying time or
part temperatures higher than 80 deg. C (180 deg. F) should be
avoided to prevent evaporation of the penetrant.
(xi) When a dry developer is used, the developing powder shall
be applied uniformly over the areas of the parts to be inspected by
either dusting or powder-box immersion.
(xii) After sufficient time has been allowed to develop
indications, parts shall be examined under a black light.
Examination shall be made in a darkened enclosure unless AMS 3157
penetrant is used, in which case examination may be made under
normal shop lighting but shaded from direct sunlight.
(xiii) When greater sensitivity is desired, the parts may be
heated to 65-85 deg.C (150-185 deg.F) before immersion in the
penetrant and/or before black light examination. To prevent
evaporation, preheated parts hall remain fully immersed in the
penetrant until cooled.
(xiv) Parts shall be cleaned, as necessary, to remove penetrant
and developer.
(xv) Interpretation of the indications revealed by this
inspection procedure and final disposition of the parts shall be the
responsibility of only qualified personnel having experience with
fluorescent penetrant inspection.
(xvi) Parts having discontinuities (cracks) shall be rejected.
(2) Dye penetrant inspection, as follows:
Note: Military Specification MIL-I-6866 and American Society of
Testing Materials specifications ASTM E1417-93 and E165-9 contain
additional information on dye penetrant inspection processes.
(i) Preparation: clean and dry all parts in such a manner as to
leave the surfaces free from grease, oil, soaps, alkalis, and other
substances which would interfere with inspection. Vapor degreasing
is generally suitable for this purpose.
(ii) Penetrant Application Procedure: after preparation, spray
or brush the parts with the penetrant, and allow to stand for not
less than 5 minutes. The effectiveness of the penetrant increases if
left standing for a longer time, as the penetrant will reach finer
discontinuities.
(iii) Penetrant Cleaning: clean the parts thoroughly using a
medium which will remove penetrant from the surfaces of parts; wash
with water when the penetrant is water soluble. When other than
water soluble penetrants are used, the penetrant shall be removed
with a suitable cleaner. Avoid excessive cleaning which would remove
the penetrant from discontinuities.
(iv) Drying: dry the parts as thoroughly as possible. Drying of
parts may be accomplished by evaporation at room temperature or by
placing the parts in a circulating warm air oven or in the air
stream of a hot air dryer. Avoid excessive drying time or drying
temperatures above 75 deg.C (165 deg.F) to prevent excessive
evaporation of the penetrant. If heat is used for drying parts, cool
parts to approximately 50 deg.C (120 deg.F) before proceeding to
the developing procedure.
(v) Developing: apply the developer to the dry parts as lightly
and as evenly as possible, using as thin a coating of developer as
is possible. A translucent film is adequate. Mix wet developer by
agitation immediately prior to applying it. After applying the
developer, take care that no penetrant indication is disturbed or
obliterated in subsequent handling.
(vi) Examination: examine the developed penetrant indications in
accordance with the dye penetrant manufacturer's instructions.
Examine parts for indications of discontinuities open to the
surface.
(vii) Final cleaning: clean the parts following the inspection
to remove penetrant and developer.
Note 1: Caution: because of differences among penetrants, take
care to ensure that the final cleaner, the penetrant, the penetrant
remover, and the developer are suitable for use with each other.
Note 2: Caution: all penetrant materials should be kept as free
from moisture as possible.
Note 3: Caution: most penetrants, cleaning agents, and developer
suspensions are low flash point material; use caution to prevent
fires.
(3) Etching inspection, as follows:
(i) For TCM C75, C85, C90, O-200 and R-R C90 and O-200 series
engines, in accordance with paragraph 13-7 of TCM Overhaul Manual
Form X-30010, dated January 1984.
(ii) For TCM C125, C145, O-300, GO-300 and R-R O-300 series
engines, in accordance with paragraphs 5(b)(1), 5(b)(2), and 5(b)(3)
of TCM Overhaul Manual Form X-30013, dated June 1982.
(b) At the next cylinder removal from the engine, or engine
overhaul, whichever occurs first, after the effective date of this
AD, dimensionally inspect cylinders for looseness of the rocker
shaft in accordance with page 22, paragraph 5, and Table IX of TCM
Overhaul Manual Form X-30013, dated June 1982, for TCM C125, C145,
O-300, GO-300 and R-R O-300 series engines, and the dimensions table
in paragraph 13-8 of TCM Overhaul Manual Form X-30010, dated January
1984, for TCM C75, C85, C90, O-200 and R-R C90 and O-200 series
engines; as applicable.
(1) Cylinders that do not exhibit dimensional looseness of the
rocker shaft beyond the limits specified in the applicable TCM
overhaul manual may be returned to service.
(2) For cylinders that exhibit dimensional looseness of the
rocker shaft, beyond the limits specified in the applicable TCM
overhaul manual, accomplish the following:
(i) Replace with a serviceable cylinder; or
(ii) Install bushings in accordance with the instructions on
page 27 of TCM Overhaul Manual, Form X-30013, dated June 1982, for
TCM C125, C145, O-300, GO-300 and R-R O-300 series engines; or the
instructions on page 85 of TCM Overhaul Manual, Form X-30010, dated
January 1984, for TCM models C75, C85, C90, O-200 and RR C90 and O-
200 series engines, as applicable.
(iii) After repairing a cylinder perform an additional
inspection of the cylinder rocker shaft bosses for cracks using
fluorescent penetrant, dye penetrant, or etching methods, and
replace, if necessary, with a serviceable cylinder.
[[Page 2711]]
(c) Thereafter, at each subsequent cylinder or engine overhaul,
reinspect cylinder rocker bosses and rocker shafts in accordance
with paragraphs (a) and (b) of this AD.
(d) An alternative method of compliance or adjustment of the
initial compliance time that provides an acceptable level of safety
may be used if approved by the Manager, Atlanta Aircraft
Certification Office. The request should be forwarded through an
appropriate FAA Maintenance Inspector, who may add comments and then
send it to the Manager, Atlanta Aircraft Certification Office.
Note: Information concerning the existence of approved
alternative methods of compliance with this AD, if any, may be
obtained from the Atlanta Aircraft Certification Office.
(e) Special flight permits may be issued in accordance with
sections 21.197 and 21.199 of the Federal Aviation Regulations (14
CFR 21.197 and 21.199) to operate the aircraft to a location where
the requirements of this AD can be accomplished.
(f) This amendment becomes effective on February 13, 1996.
Issued in Burlington, Massachusetts, on January 11, 1996.
Jay J. Pardee,
Manager, Engine and Propeller Directorate, Aircraft Certification
Service.
[FR Doc. 96-1409 Filed 1-26-96; 8:45 am]
BILLING CODE 4910-13-U
Complete official Federal Register PDF
FR Doc. 96-1350 Standards for Conducting Business With SBA
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2679-2682]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1350]
-----------------------------------------------------------------------
SMALL BUSINESS ADMINISTRATION
13 CFR Part 103
Standards for Conducting Business With SBA
AGENCY: Small Business Administration.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: In response to President Clinton's regulatory review
directive, the Small Business Administration has completed a page-by-
page and line-by-line review of its regulations. As a result, SBA is
streamlining its regulations by eliminating many rules and simplifying
and improving those that remain. This final rule reorganizes and
streamlines the entire Part 103, which covers the standards one must
meet to conduct business with SBA. It makes the standards clearer and
more understandable to those who are regulated, and easier for SBA to
enforce.
EFFECTIVE DATE: This rule is effective February 28, 1996.
FOR FURTHER INFORMATION CONTACT: Michael Dowd, Director, Office of Loan
Programs, at (202) 205-6490.
SUPPLEMENTARY INFORMATION: Title 13 CFR Part 103 contains SBA's
policies governing the standards for suspending
[[Page 2680]]
or revoking the privileges of persons who conduct business with SBA on
behalf of applicants or lenders. This final rule reorganizes and
streamlines Part 103, making it easier to understand and enforce. It
changes the title of the Part to ``Standards for Conducting Business
with SBA'' to describe more clearly the scope of the regulations. The
sections stating the statutory provisions underlying the Part and its
purpose--103.13 and 103.13-1--are eliminated as unnecessary. The rule
renumbers the sections that remain: present Secs. 103.13-2 through
103.13-6 would become Secs. 103.1-103.5. The final rule clarifies the
existing definition of agents who appear before SBA on behalf of
applicants for assistance, adds definitions for ``packagers'', ``lender
service providers,'' and ``referral agents'', and provides that these
categories of agents are specifically covered by SBA's requirements
governing conduct of business. It also amends, in certain respects, and
adds greater specificity to the definition of ``good cause'' for which
the Administrator may revoke or suspend the privilege for conducting
business with SBA. It adds provisions prescribing the use and form of
lender service provider agreements which must contain certain
provisions regarding services to be provided and compensation,
including a prohibition on secondary market premium sharing. In
addition to these substantive changes, the final rule is written in
clearer, more straightforward language than the present Part.
The proposed rule was published on November 24, 1995 at 60 FR
57980. A total of 26 commenters, virtually all Certified Development
Companies, contacted SBA during the comment period with suggestions and
observations about the proposed rule. All commenters expressed at least
some level of concern about the proposal. In general, these concerns
were based on the breadth of the proposed rule.
A majority of the commenters offered negative observations about
the scope of the definitions in section 103.1. Most of these comments
focused on subsections (a) and (b) and criticized the definitions of
the terms ``agent'' and ``conduct business with SBA.'' Many of these
commenters were particularly concerned about the definitions in light
of SBA's expressed intention (in the preamble to the proposed rule) to
register and train agents, and to require under section 103.5 that all
agents execute and provide to SBA a compensation agreement.
The final rule addresses this concern by clarifying that only those
persons or entities conducting business with SBA--those who actually
prepare or submit on behalf of an applicant an application for
assistance and those contractors who provide services to participants
in SBA's business loan program pursuant to written agreements with
those participants--will be considered ``agents''. SBA does not intend
to regulate persons or entities, such as real estate appraisers and
environmental specialists, who simply supply information that is used
in the preparation of an application.
Fourteen commenters criticized section 103.4, which defines ``good
cause'' for suspension or revocation of the privilege to conduct
business with SBA. In general, the comments about section 103.4
criticized terms such as ``unethical activity'' and ``reasonable fees''
as too broad and vague. More specifically, three commenters complained
that persons and entities should be allowed under subsection 103.4(d)
to use the words ``Small Business Administration'' or ``SBA'' in
advertising. Four commenters felt that the ``two master'' prohibition
in subsection 103.4(g) should be clarified.
SBA intends to provide guidelines in its Standard Operating
Procedures (SOP) for what will constitute ``unethical activity'' and
``reasonable fees.'' The final rule states that persons may use the
words ``Small Business Administration'' or ``SBA'' in advertisements if
the advertisement does not imply endorsement or sponsorship by SBA. The
final rule continues to prohibit the use of the SBA seal or symbol in
advertisements. The ``two master'' rule and the exceptions to it have
been substantially altered in the final rule. The two master rule will
now only apply when a person or entity acts as both a lender service
provider or referral agent and packager for an applicant on the same
business loan and receives compensation for such activity from both the
lender and applicant. The two exceptions stated in the proposed rule
have therefore been deleted and replaced by only one: cases in which a
referral agent also acts as a packager and is compensated by both the
lender for referral agent activities and the applicant for packaging
activities.
Finally, 14 commenters noted problems with section 103.5, which
governs the regulation of an agent's fees and provision of services.
These complaints related directly to many of the same commenters'
concerns about the scope of the definition of ``agent'' in section
103.1. The changes in the definition of ``agent'' discussed above
address this problem. Several commenters questioned SBA's ability to
review all compensation agreements for reasonableness. Section 103.5
does not require such a review and SBA does not intend to evaluate each
compensation agreement for reasonableness; it will only undertake a
review if an applicant requests that it do so. Two commenters also
noted that use of the terms ``compensation agreement'' and ``lender
service provider agreement'' should be made consistent in subsections
103.5 (a) and (b). The final rule has been amended to make clear the
distinction between the terms and the intended treatment of each type
of agreement.
As noted above and in the preamble to the proposed rule, SBA
intends to require all packagers and lender service providers to
register with SBA for purposes of keeping track of who is performing
such activities on behalf of applicants for assistance or lenders. SBA
will provide training for anyone or any entity that wishes to represent
applicants for SBA assistance or provide services to lenders. The
development of these initiatives will take place over the next fiscal
year, in consultation with representatives of the affected industries.
To the extent that they require modifications of this final rule, such
modifications will be made in later rulemakings.
Compliance With Executive Orders 12612, 12778, and 12866, the
Regulatory Flexibility Act (5 U.S.C. 601, et seq.), and the Paperwork
Reduction Act (44 U.S.C. Ch. 35)
SBA certifies that this rule involves internal administrative
procedures and is not a significant rule within the meaning of
Executive Order 12866 and will not have a significant economic impact
on a substantial number of small entities within the meaning of the
Regulatory Flexibility Act, 5 U.S.C. 601, et seq. It is not likely to
have an annual economic effect of $100 million or more, result in a
major increase in costs or prices, or have a significant adverse effect
on competition or the United States economy.
For purposes of the Paperwork Reduction Act, 44 U.S.C. Ch. 35, SBA
certifies that this rule contains no new reporting or recordkeeping
requirements.
For purposes of Executive Order 12612, SBA certifies that this rule
does not have any federalism implications warranting the preparation of
a Federalism Assessment.
For purposes of Executive Order 12778, SBA certifies that this rule
is drafted, to the extent practicable, in accordance with the standards
set forth in Section 2 of that Order.
[[Page 2681]]
List of Subjects in 13 CFR Part 103
Administrative practice and procedure.
Accordingly, pursuant to the authority set forth in sections 5 and
13 of the Small Business Act, 15 U.S.C. 634 and 642, SBA hereby revises
part 103 of Title 13, Code of Federal Regulations (CFR), to read as
follows:
PART 103--STANDARDS FOR CONDUCTING BUSINESS WITH SBA
103.1 Key definitions.
103.2 Who may conduct business with SBA?
103.3 May SBA suspend or revoke an Agent's privilege?
103.4 What is ``good cause'' for suspension or revocation?
103.5 How does SBA regulate an Agent's fees and provision of
service?
Authority: Secs. 5, 13, 72 Stat. 385, 394 (15 U.S.C. 634, 642).
Sec. 103.1 Key definitions.
(a) Agent means an authorized representative, including an
attorney, accountant, consultant, packager, lender service provider, or
any other person representing an applicant or participant by conducting
business with SBA.
(b) The term conduct business with SBA means:
(1) Preparing or submitting on behalf of an applicant an
application for financial assistance of any kind, assistance from the
Investment Division of SBA, or assistance in procurement and technical
matters;
(2) Preparing or processing on behalf of a lender or a participant
in any of SBA's programs an application for federal financial
assistance;
(3) Participating with or communicating in any way with officers or
employees of SBA on an applicant's, participant's, or lender's behalf;
(4) Acting as a lender service provider; and
(5) Such other activity as SBA reasonably shall determine.
(c) Applicant means any person, firm, concern, corporation,
partnership, cooperative or other business enterprise applying for any
type of assistance from SBA.
(d) Lender Service Provider means an Agent who carries out lender
functions in originating, disbursing, servicing, or liquidating a
specific SBA business loan or loan portfolio for compensation from the
lender. SBA determines whether or not one is a ``Lender Service
Provider'' on a loan-by-loan basis.
(e) Packager means an Agent who is employed and compensated by an
Applicant or lender to prepare the Applicant's application for
financial assistance from SBA. SBA determines whether or not one is a
``Packager'' on a loan-by-loan basis.
(f) Referral Agent means a person or entity who identifies and
refers an Applicant to a lender or a lender to an Applicant. The
Referral Agent may be employed and compensated by either an Applicant
or a lender.
(g) Participant means a person or entity that is participating in
any of the financial, investment, or business development programs
authorized by the Small Business Act or Small Business Investment Act
of 1958.
Sec. 103.2 Who may conduct business with SBA?
(a) If you are an Applicant, a Participant, a partner of an
Applicant or Participant partnership, or serve as an officer of an
Applicant, Participant corporation, or limited liability company, you
may conduct business with SBA without a representative.
(b) If you are an Agent, you may conduct business with SBA on
behalf of an Applicant, Participant or lender, unless representation is
otherwise prohibited by law or the regulations in this part or any
other part in this chapter. For example, persons debarred under the SBA
or Government-wide debarment regulations may not conduct business with
SBA. SBA may request that any Agent supply written evidence of his or
her authority to act on behalf of an Applicant, Participant, or lender
as a condition of revealing any information about the Applicant's,
Participant's, or lender's current or prior dealings with SBA.
Sec. 103.3 May SBA suspend or revoke an Agent's privilege?
The Administrator of SBA or designee may, for good cause, suspend
or revoke the privilege of any Agent to conduct business with SBA. Part
134 of this chapter states the procedures for appealing the decision to
suspend or revoke the privilege. The suspension or revocation remains
in effect during the pendency of any administrative proceedings under
Part 134 of this chapter.
Sec. 103.4 What is ``good cause'' for suspension or revocation?
Any unlawful or unethical activity is good cause for suspension or
revocation of the privilege to conduct business. This includes:
(a) Attempting to influence any employee of SBA or a lender, by
gifts, bribes or other unlawful or unethical activity, with respect to
any matter involving SBA assistance.
(b) Soliciting for the provision of services to an Applicant by
another entity when there is an undisclosed business relationship
between the two parties.
(c) Violating ethical guidelines which govern the profession or
business of the Agent or which are published at any time by SBA.
(d) Implying or stating that the work to be performed for an
Applicant will include use of political or other special influence with
SBA. Examples include indicating that the entity is affiliated with or
paid, endorsed or employed by SBA, advertising using the words Small
Business Administration or SBA in a manner that implies SBA's
endorsement or sponsorship, use of SBA's seal or symbol, and giving a
``guaranty'' to an Applicant that the application will be approved.
(e) Charging or proposing to charge any fee that does not bear a
necessary and reasonable relationship to the services actually rendered
or expenses actually incurred in connection with a matter before SBA or
which is materially inconsistent with the provisions of an applicable
compensation agreement or Lender Service Provider agreement. A fee
based solely on a percentage of a loan or guarantee amount can be
reasonable, depending on the circumstances of a case and the services
actually rendered.
(f) Engaging in any conduct indicating a lack of business integrity
or business honesty, including debarment, criminal conviction, or civil
judgment within the last seven years for fraud, embezzlement, theft,
forgery, bribery, falsification or destruction of records, false
statements, conspiracy, receiving stolen property, false claims, or
obstruction of justice.
(g) Acting as both a Lender Service Provider or Referral Agent and
a Packager for an Applicant on the same SBA business loan and receiving
compensation for such activity from both the Applicant and lender. A
limited exception to this ``two master'' prohibition exists when an
Agent acts as a Packager and is compensated by the Applicant for
packaging services; also acts as a Referral Agent and is compensated by
the lender for those activities; discloses the referral activities to
the Applicant; and discloses the packaging activities to the lender.
(h) Violating materially the terms of any compensation agreement or
Lender Service Provider agreement provided for in Sec. 103.5.
(i) Violating or assisting in the violation of any SBA regulations,
policies, or procedures of which the Applicant has been made aware.
[[Page 2682]]
Sec. 103.5 How does SBA regulate an Agent's fees and provision of
service?
(a) Any Applicant, Agent, or Packager must execute and provide to
SBA a compensation agreement, and any Lender Service Provider must
execute and provide to SBA a Lender Service Provider agreement. Each
agreement governs the compensation charged for services rendered or to
be rendered to the Applicant or lender in any matter involving SBA
assistance. SBA provides the form of compensation agreement and a
suggested form of Lender Service Provider agreement to be used by
Agents.
(b) Compensation agreements must provide that in cases where SBA
deems the compensation unreasonable, the Agent or Packager must: reduce
the charge to an amount SBA deems reasonable, refund any sum in excess
of the amount SBA deems reasonable to the Applicant, and refrain from
charging or collecting, directly or indirectly, from the Applicant an
amount in excess of the amount SBA deems reasonable.
(c) Each Lender Service Provider must enter into a written
agreement with each lender for whom it acts in that capacity. SBA will
review all such agreements. Such agreements need not contain each and
every provision found in the SBA's suggested form of agreement.
However, each agreement must indicate that both parties agree not to
engage in any sharing of secondary market premiums, that the services
to be provided are accurately described, and that the agreement is
otherwise consistent with SBA requirements. Subject to the prohibition
on splitting premiums, lenders have reasonable discretion in setting
compensation for Lender Service Providers. However, such compensation
may not be directly charged to an Applicant or borrower.
Dated: January 22, 1996.
John T. Spotila,
Acting Administrator.
[FR Doc. 96-1350 Filed 1-26-96; 8:45 am]
BILLING CODE 8025-01-P
Complete official Federal Register PDF
FR Doc. 96-1349 Program Fraud Civil Remedies Act Regulations
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2691-2697]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1349]
-----------------------------------------------------------------------
SMALL BUSINESS ADMINISTRATION
13 CFR Part 142
Program Fraud Civil Remedies Act Regulations
AGENCY: Small Business Administration.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: In response to President Clinton's government-wide regulatory
reform initiative, the Small Business Administration (SBA) has
completed a page-by-page, line-by-line review of all of its existing
regulations to determine which might be revised or eliminated. This
rule renumbers, reorganizes, condenses and rewrites in plain language
the existing regulation implementing the ``Program Fraud Civil Remedies
Act of 1986''. The goal of the plain language style is to eliminate
redundancies, ambiguities and cumbersome wording. The goal of the
reorganization and revision is to make this part consistent in practice
and procedure with other parts of this title and to clarify
requirements under this regulation and applicable statutes of the
United States.
EFFECTIVE DATE: This rule is effective February 28, 1996.
FOR FURTHER INFORMATION CONTACT: Cheri Wolff, Chief Counsel for General
Litigation; Office of General Counsel, at (202) 205-6643.
SUPPLEMENTARY INFORMATION: On March 4, 1995, President Clinton issued a
Memorandum to each federal agency, directing them to simplify their
regulations. In response to this directive, SBA completed a page-by-
page, line-by-line review of all of its existing regulations to
determine which might be revised or eliminated. This rule reorganizes
and rewords former provisions for clarity and user-friendliness.
Extensive renumbering was necessary for reorganization, simplification
and clarification of existing provisions. No substantive changes to
existing provisions were made.
SBA published its proposed changes to Part 142 in the Federal
Register on November 27, 1995 (60 FR 58297), inviting the public to
comment during a thirty day comment period. Since no comments were
received, SBA has decided to issue the final rule substantially as
proposed (subject only to minor typographical corrections).
Compliance With Executive Orders 12612, 12778, and 12866, the
Regulatory Flexibility Act (5 U.S.C. 601, et seq.), and the Paperwork
Reduction Act (44 U.S.C. Ch. 35)
SBA certifies that this rule does not have a significant economic
impact on a substantial number of small entities within the meaning of
Executive Order 12866 or the Regulatory Flexibility Act, 5 U.S.C. 601,
et seq. This rule renumbers, reorganizes and rewrites the existing
regulation for clarity and ease of use. Contracting opportunities and
financial assistance for small business are not affected by this rule.
Therefore, it is not likely to have an annual economic effect of $100
million or more, result in a major increase in costs or prices, or have
a significant adverse effect on competition or the United States
economy.
For purposes of the Paperwork Reduction Act, 44 U.S.C. Ch. 35, SBA
certifies that this rule contains no new reporting or recordkeeping
requirements. For purposes of Executive Order 12612, SBA certifies that
this rule does not have any federalism implications warranting the
preparation of a Federalism Assessment. For purposes of Executive Order
12778, SBA certifies that this rule is drafted, to the extent
practicable, in accordance with the standards set forth in Section 2 of
that Order.
List of Subjects in 13 CFR Part 142
Administrative practice and procedure, Claims, Fraud, Penalties.
For the above reasons, SBA revises Part 142 of Title 13 of the Code
of Federal Regulations to read as follows:
PART 142--PROGRAM FRAUD CIVIL REMEDIES ACT REGULATIONS
Overview and Definitions
142.1 Overview of regulations.
[[Page 2692]]
142.2 What kind of conduct will result in program fraud
enforcement?
142.3 What is a claim?
142.4 What is a statement?
142.5 What is a false claim or statement?
142.6 What does the phrase ``know or have reason to know'' mean?
Procedures Leading to Issuance of a Complaint
142.7 Who investigates program fraud?
142.8 What happens if program fraud is suspected?
142.9 When will SBA issue a complaint?
142.10 What is contained in a complaint?
142.11 How will the complaint be served?
Procedures Following Service of a Complaint
142.12 How does a defendant respond to the complaint?
142.13 What happens if a defendant fails to file an answer?
142.14 What happens once an answer is filed?
Hearing Provisions
142.15 What kind of hearing is contemplated?
142.16 At the hearing, what rights do the parties have?
142.17 What is the role of the ALJ?
142.18 Can the reviewing official or ALJ be disqualified?
142.19 How are issues brought to the attention of the ALJ?
142.20 How are papers served?
142.21 How will the hearing be conducted and who has the burden of
proof?
142.22 How is evidence presented at the hearing?
142.23 Are there limits on disclosure of documents or discovery?
142.24 Can witnesses be subpoenaed?
142.25 Can a party or witness object to discovery?
142.26 Can a party informally discuss the case with the ALJ?
142.27 Are there sanctions for misconduct?
142.28 Where is the hearing held?
142.29 Are witness lists exchanged before the hearing?
Decisions and Appeals
142.30 How is the case decided?
142.31 Can a party request reconsideration of the initial decision?
142.32 When does the initial decision of the ALJ become final?
142.33 What are the procedures for appealing the ALJ decision?
142.34 Are there any limitations on the right to appeal to the
Administrator?
142.35 How does the Administrator dispose of an appeal?
142.36 Can I obtain judicial review?
142.37 What judicial review is available?
142.38 Can the administrative complaint be settled voluntarily?
142.39 How are civil penalties and assessments collected?
142.40 What if the investigation indicates criminal misconduct?
142.41 How does SBA protect the rights of defendants?
Authority: 15 U.S.C. 634(b); 31 U.S.C. 3803(g)(2).
Overview and Definitions
Sec. 142.1 Overview of regulations.
(a) Statutory basis. This part implements the Program Fraud Civil
Remedies Act of 1986, 31 U.S.C. 3801-3812 (``the Act''). The Act
provides SBA and other federal agencies with an administrative remedy
to impose civil penalties and assessments against persons making false
claims and statements. The Act also provides due process protections to
all persons who are subject to administrative proceedings under this
part.
(b) Possible remedies for program fraud. In addition to any other
penalty which may be prescribed by law, a person who submits, or causes
to be submitted, a false claim or a false statement to SBA is subject
to a civil penalty of not more than $5,000 for each statement or claim,
regardless of whether property, services, or money is actually
delivered or paid by SBA. If SBA has made any payment, transferred
property, or provided services in reliance on a false claim, the person
submitting it is also subject to an assessment of not more than twice
the amount of the false claim. This assessment is in lieu of damages
sustained by SBA because of the false claim.
Sec. 142.2 What kind of conduct will result in program fraud
enforcement?
(a) Any person who makes, or causes to be made, a false,
fictitious, or fraudulent claim or written statement to SBA is subject
to program fraud enforcement. A ``person'' means any individual,
partnership, corporation, association, or other legal entity.
(b) If more than one person makes a false claim or statement, each
person is liable for a civil penalty. If more than one person makes a
false claim which has induced SBA to make payment, an assessment is
imposed against each person. The liability of each such person to pay
the assessment is joint and several, that is, each is responsible for
the entire amount.
(c) No proof of specific intent to defraud is required to establish
liability under this part.
Sec. 142.3 What is a claim?
(a) Claim means any request, demand, or submission:
(1) Made to SBA for property, services, or money;
(2) Made to a recipient of property, services, or money from SBA or
to a party to a contract with SBA for property or services, or for the
payment of money. This provision applies only when the claim is related
to the property, services or money from SBA or to the contract with
SBA; or
(3) Made to SBA which decreases an obligation to pay or account for
property, services, or money.
(b) A claim can relate to grants, loans, insurance, or other
benefits, and includes SBA guaranteed loans made by participating
lenders. A claim is made when it is received by SBA, an agent, fiscal
intermediary, or other entity acting for SBA, or when it is received by
the recipient of property, services, or money, or the party to the
contract.
(c) Each voucher, invoice, claim form, or individual request or
demand for property, services, or money constitutes a separate claim.
Sec. 142.4 What is a statement?
A ``statement'' means any written representation, certification,
affirmation, document, record, or accounting or bookkeeping entry made
with respect to a claim or with respect to a contract, bid or proposal
for a contract, grant, loan or other benefit from SBA. ``From SBA''
means that SBA provides some portion of the money or property in
connection with the contract, bid, grant, loan, or benefit, or is
potentially liable to another party for some portion of the money or
property under such contract, bid, grant, loan, or benefit. A statement
is made, presented, or submitted to SBA when it is received by SBA or
an agent, fiscal intermediary, or other entity acting for SBA.
Sec. 142.5 What is a false claim or statement?
(a) A claim submitted to SBA is a ``false'' claim if the person
making the claim, or causing the claim to be made, knows or has reason
to know that the claim:
(1) Is false, fictitious or fraudulent;
(2) Includes or is supported by a written statement which asserts
or contains a material fact which is false, fictitious, or fraudulent;
(3) Includes or is supported by a written statement which is false,
fictitious or fraudulent because it omits a material fact that the
person making the statement has a duty to include in the statement; or
(4) Is for payment for the provision of property or services which
the person has not provided as claimed.
(b) A statement submitted to SBA is a false statement if the person
making the statement, or causing the statement to be made, knows or has
reason to know that the statement:
(1) Asserts a material fact which is false, fictitious, or
fraudulent; or
(2) Is false, fictitious, or fraudulent because it omits a material
fact that the person making the statement has a duty
[[Page 2693]]
to include in the statement. In addition, the statement must contain or
be accompanied by an express certification or affirmation of the
truthfulness and accuracy of the contents of the statement.
Sec. 142.6 What does the phrase ``know or have reason to know'' mean?
A person knows or has reason to know (that a claim or statement is
false) if the person:
(a) Has actual knowledge that the claim or statement is false,
fictitious, or fraudulent; or
(b) Acts in deliberate ignorance of the truth or falsity of the
claim or statement; or
(c) Acts in reckless disregard of the truth or falsity of the claim
or statement.
Procedures Leading to Issuance of a Complaint
Sec. 142.7 Who investigates program fraud?
The Inspector General, or his designee, is responsible for
investigating allegations that a false claim or statement has been
made. In this regard, the Inspector General has authority under the
Program Fraud Civil Remedies Act and the Inspector General Act of 1978
(5 U.S.C. App. 3), as amended, to issue administrative subpoenas for
the production of records and documents. The methods for serving a
subpoena are set forth in Part 101 of this chapter.
Sec. 142.8 What happens if program fraud is suspected?
(a) If the investigating official concludes that an action under
this Part is warranted, the investigating official submits a report
containing the findings and conclusions of the investigation to a
reviewing official. The reviewing official is the General Counsel or
his designee. If the reviewing official determines that the report
provides adequate evidence that a person submitted a false claim or
statement, the reviewing official transmits to the Attorney General
written notice of an intention to refer the matter for adjudication,
with a request for approval of such referral. This notice will include
the reviewing official's statements concerning:
(1) The reasons for the referral;
(2) The claims or statements upon which liability would be based;
(3) The evidence that supports liability;
(4) An estimate of the amount of money or the value of property,
services, or other benefits requested or demanded in the false claim or
statement;
(5) Any exculpatory or mitigating circumstances that may relate to
the claims or statements known by the reviewing official or the
investigating official; and
(6) The likelihood of collecting the proposed penalties and
assessments.
(b) If at any time, the Attorney General or designee requests in
writing that this administrative process be stayed, the Administrator
must stay the process immediately. The Administrator may order the
process resumed only upon receipt of the written authorization of the
Attorney General.
Sec. 142.9 When will SBA issue a complaint?
SBA will issue a complaint:
(a) If the Attorney General (or designee) approves the referral of
the allegations for adjudication; and
(b) In a case of submission of false claims, if the amount of money
or the value of property or services demanded or requested in a false
claim, or a group of related claims submitted at the same time, does
not exceed $150,000. A group of related claims submitted at the same
time includes only those claims arising from the same transaction (such
as a grant, loan, application, or contract) which are submitted
together as part of a single request, demand, or submission.
Sec. 142.10 What is contained in a complaint?
(a) A complaint is a written statement giving notice to the person
alleged to be liable under 31 U.S.C. 3802 of the specific allegations
being referred for adjudication and of the person's right to request a
hearing with respect to those allegations. The person alleged to have
made false statements or to have submitted false claims to SBA is
referred to as the ``defendant.''
(b) The reviewing official may join in a single complaint false
claims or statements that are unrelated or were not submitted
simultaneously, regardless of the amount of money or the value of
property or services demanded or requested.
(c) The complaint will state that SBA seeks to impose civil
penalties, assessments, or both, against each defendant and will
include:
(1) The allegations of liability against each defendant, including
the statutory basis for liability, identification of the claims or
statements involved, and the reasons liability allegedly arises from
such claims or statements;
(2) The maximum amount of penalties and assessments for which each
defendant may be held liable;
(3) A statement that each defendant may request a hearing by filing
an answer and may be represented by a representative;
(4) Instructions for filing such an answer;
(5) A warning that failure to file an answer within 30 days of
service of the complaint will result in imposition of the maximum
amount of penalties and assessments.
(d) The reviewing official must serve any complaint on the
defendant and provide a copy to the Office of Hearings and Appeals
(OHA). If a hearing is requested, an Administrative Law Judge (ALJ)
from OHA will serve as the Presiding Officer.
Sec. 142.11 How will the complaint be served?
(a) The complaint must be served on individual defendants directly,
a partnership through a general partner, and on corporations or on
unincorporated associations through an executive officer or a director,
except that service also may be made on any person authorized by
appointment or by law to receive process for the defendant.
(b) The complaint may be served either by:
(1) Registered or certified mail (return receipt requested)
addressed to the defendant at his or her residence, usual dwelling
place, principal office or place of business; or by
(2) Personal delivery by anyone 18 years of age or older.
(c) The date of service is the date of personal delivery or, in the
case of service by registered or certified mail, the date of postmark.
(d) Proof of service--
(1) When service is made by registered or certified mail, the
return postal receipt will serve as proof of service.
(2) When service is made by personal delivery, an affidavit of the
individual serving the complaint, or written acknowledgment of receipt
by the defendant or a representative, will serve as proof of service.
(e) When served with the complaint, the defendant also should be
served with a copy of this part 142 and 31 U.S.C. 3801-3812.
Procedures Following Service of a Complaint
Sec. 142.12 How does a defendant respond to the complaint?
(a) A defendant may file an answer with the reviewing official and
the Office of Hearings and Appeals within 30 days of service of the
complaint. An answer will be considered a request for an oral hearing.
(b) In the answer, a defendant--
(1) Must admit or deny each of the allegations of liability
contained in the
[[Page 2694]]
complaint (a failure to deny an allegation is considered an admission);
(2) Must state any defense on which the defendant intends to rely;
(3) May state any reasons why he or she believes the penalties,
assessments, or both should be less than the statutory maximum; and
(4) Must state the name, address, and telephone number of the
person authorized by the defendant to act as defendant's
representative, if any.
(c) If the defendant is unable to file an answer which meets the
requirements set forth in paragraph (b) of this section, the defendant
may file with the reviewing official a general answer denying
liability, requesting a hearing, and requesting an extension of time in
which to file a complete answer. A general answer must be filed within
30 days of service of the complaint.
(d) If the defendant initially files a general answer requesting an
extension of time, the reviewing official must promptly file with the
ALJ the complaint, the general answer, and the request for an extension
of time.
(e) For good cause shown, the ALJ may grant the defendant up to 30
additional days within which to file an answer meeting the requirements
of paragraph (b) of this section. Such answer must be filed with OHA
and a copy must be served on the reviewing official.
Sec. 142.13 What happens if a defendant fails to file an answer?
(a) If a defendant does not file any answer within 30 days after
service of the complaint, the reviewing official will refer the
complaint to the ALJ.
(b) Once the complaint is referred, the ALJ will promptly serve on
the defendant a notice that an initial decision will be issued.
(c) The ALJ will assume the facts alleged in the complaint to be
true and, if such facts establish liability under the statute, the ALJ
will issue an initial decision imposing the maximum amount of penalties
and assessments allowed under the statute.
(d) Except as otherwise provided in this section, when a defendant
fails to file a timely answer, the defendant waives any right to
further review of the penalties and assessments imposed in the initial
decision.
(e) The initial decision becomes final 30 days after it is issued.
(f) If, at any time before an initial decision becomes final, a
defendant files a motion with the ALJ asking that the case be reopened
and describing the extraordinary circumstances that prevented the
defendant from filing an answer, the initial decision will be stayed
until the ALJ makes a decision on the motion. The reviewing official
may respond to the motion.
(g) If, in his motion to reopen, a defendant demonstrates
extraordinary circumstances excusing his failure to file a timely
answer, the ALJ will withdraw the initial decision, and grant the
defendant an opportunity to answer the complaint.
(h) A decision by the ALJ to deny a defendant's motion to reopen a
case is not subject to review or reconsideration.
Sec. 142.14 What happens once an answer is filed?
(a) When the reviewing official receives an answer, he must file
concurrently, the complaint and the answer with the ALJ, along with a
designation of an SBA representative.
(b) When the ALJ receives the complaint and the answer, the ALJ
will promptly serve a notice of oral hearing upon the defendant and the
representative for SBA, in the same manner as the complaint, service of
which is described in Sec. 142.11. The notice of oral hearing must be
served within six years of the date on which the claim or statement is
made.
(c) The notice must include:
(1) The tentative time, place and nature of the hearing;
(2) The legal authority and jurisdiction under which the hearing is
to be held;
(3) The matters of fact and law to be asserted;
(4) A description of the procedures for the conduct of the hearing;
(5) The name, address, and telephone number of the defendant's
representative and the representative for SBA; and
(6) Such other matters as the ALJ deems appropriate.
Hearing Provisions
Sec. 142.15 What kind of hearing is contemplated?
The hearing is a formal proceeding conducted by the ALJ during
which a defendant will have the opportunity to cross-examine witnesses,
present testimony, and dispute liability.
Sec. 142.16 At the hearing, what rights do the parties have?
(a) The parties to the hearing shall be the defendant and SBA.
Pursuant to 31 U.S.C. 3730(c)(5), a private plaintiff in an action
under the False Claims Act may participate in the hearing to the extent
authorized by the provisions of that Act.
(b) Each party has the right to:
(1) Be represented by a representative;
(2) Request a pre-hearing conference and participate in any
conference held by the ALJ;
(3) Conduct discovery;
(4) Agree to stipulations of fact or law which will be made a part
of the record;
(5) Present evidence relevant to the issues at the hearing;
(6) Present and cross-examine witnesses;
(7) Present arguments at the hearing as permitted by the ALJ; and
(8) Submit written briefs and proposed findings of fact and
conclusions of law after the hearing, as permitted by the ALJ.
Sec. 142.17 What is the role of the ALJ?
An ALJ from OHA serves as the Presiding Officer at all hearings,
with authority as set forth in Sec. 134.218(b) of this chapter.
Sec. 142.18 Can the reviewing official or ALJ be disqualified?
(a) A reviewing official or an ALJ may disqualify himself or
herself at any time.
(b) Upon motion of any party, the reviewing official or ALJ may be
disqualified as follows:
(1) The motion must be supported by an affidavit containing
specific facts establishing that personal bias or other reason for
disqualification exists, including the time and circumstances of the
discovery of such facts;
(2) The motion must be filed promptly after discovery of the
grounds for disqualification, or the objection will be deemed waived;
and
(3) The party, or representative of record, must certify in writing
that the motion is made in good faith.
(c) Once a motion has been filed to disqualify the reviewing
official, the ALJ will halt the proceedings until resolving the matter
of disqualification. If the ALJ determines that the reviewing official
is disqualified, the ALJ will dismiss the complaint without prejudice.
If the ALJ disqualifies himself or herself, the case will be promptly
reassigned to another ALJ.
Sec. 142.19 How are issues brought to the attention of the ALJ?
All applications to the ALJ for an order or ruling are made by
motion, stating the relief sought, the authority relied upon, and the
facts alleged. Procedures for filing motions under this section are
governed by Sec. 134.211 of this chapter.
Sec. 142.20 How are papers served?
Except for service of a complaint or a notice of hearing under
Sec. 142.11 and Sec. 142.14(b) respectively, service of papers must be
made as prescribed by Sec. 134.204 of this chapter.
[[Page 2695]]
Sec. 142.21 How will the hearing be conducted and who has the burden
of proof?
(a) The ALJ conducts a hearing in order to determine whether a
defendant is liable for a civil penalty, assessment, or both and, if
so, the appropriate amount of the civil penalty and/or assessment. The
hearing will be recorded and transcribed, and the transcript of
testimony, exhibits admitted at the hearing, and all papers and
requests filed in the proceeding constitute the record for a decision
by the ALJ.
(b) SBA must prove a defendant's liability and any aggravating
factors by a preponderance of the evidence.
(c) A defendant must prove any affirmative defenses and any
mitigating factors by a preponderance of the evidence.
(d) The hearing will be open to the public unless otherwise ordered
by the ALJ for good cause shown.
Sec. 142.22 How is evidence presented at the hearing?
(a) Witnesses at the hearing must testify orally under oath or
affirmation unless otherwise ordered by the ALJ. At the discretion of
the ALJ, testimony may be admitted in the form of a written statement
or deposition, a copy of which must be provided to all other parties,
along with the last known address of the witness, in a manner which
allows sufficient time for other parties to subpoena the witness for
cross-examination at the hearing.
(b) The ALJ determines the admissibility of evidence in accordance
with Sec. 134.223 (a) and (b) of this chapter.
Sec. 142.23 Are there limits on disclosure of documents or discovery?
(a) Upon written request to the reviewing official, the defendant
may review all non-privileged, relevant and material documents, records
and other material related to the allegations contained in the
complaint. After paying SBA a reasonable fee for duplication, the
defendant may obtain a copy of the records described.
(b) Upon written request to the reviewing official, the defendant
may obtain a copy of all exculpatory information in the possession of
the reviewing official or investigating official relating to the
allegations in the complaint. If the document would otherwise be
privileged, only the portion of the document containing exculpatory
information must be disclosed. As used in this section, the term
``information'' does not include legal materials such as statutes or
case law obtained through legal research.
(c) The notice sent to the Attorney General from the reviewing
official is not discoverable under any circumstances.
(d) Other discovery is available only as ordered by the ALJ and
includes only those methods of discovery allowed by Sec. 134.213 of
this chapter.
Sec. 142.24 Can witnesses be subpoenaed?
A party seeking the appearance and testimony of any individual or
the production of documents or records at a hearing may request in
writing that the ALJ issue a subpoena. Any such request must be filed
with the ALJ not less than 15 days before the scheduled hearing date
unless otherwise allowed by the ALJ for good cause. A subpoena shall be
issued by the ALJ in the manner specified by Sec. 134.214 of this
chapter.
Sec. 142.25 Can a party or witness object to discovery?
Any party or prospective witness may file a motion to quash a
subpoena or to limit discovery or the disclosure of evidence. Motions
to limit discovery or to object to the disclosure of evidence are
governed by Sec. 134.213 of this chapter. Motions to limit or quash
subpoenas are governed by Sec. 134.214(d) of this chapter.
Sec. 142.26 Can a party informally discuss the case with the ALJ?
No. Such discussions are forbidden as ex parte communications with
the ALJ as set forth in Sec. 134.220 of this chapter. This does not
prohibit a party from communicating with other employees of OHA to
inquire about the status of a case or to ask routine questions
concerning administrative functions and procedures.
Sec. 142.27 Are there sanctions for misconduct?
The ALJ may sanction a party or representative, as set forth in
Sec. 134.219 of this chapter.
Sec. 142.28 Where is the hearing held?
The ALJ will hold the hearing in any judicial district of the
United States:
(a) In which the defendant resides or transacts business; or
(b) In which the claim or statement on which liability is based was
made, presented or submitted to SBA; or
(c) As agreed upon by the defendant and the ALJ.
Sec. 142.29 Are witness lists exchanged before the hearing?
(a) At least 15 days before the hearing or at such other time as
ordered by the ALJ, the parties must exchange witness lists and copies
of proposed hearing exhibits, including copies of any written
statements or transcripts of deposition testimony that the party
intends to offer in lieu of live testimony.
(b) If a party objects, the ALJ will not admit into evidence the
testimony of any witness whose name does not appear on the witness list
or any exhibit not provided to an opposing party unless the ALJ finds
good cause for the omission or concludes that there is no prejudice to
the objecting party.
(c) Unless a party objects within the time set by the ALJ,
documents exchanged in accordance with this section are deemed to be
authentic for the purpose of admissibility at the hearing.
Decisions and Appeals
Sec. 142.30 How is the case decided?
(a) The ALJ will issue an initial decision based only on the
record. It will contain findings of fact, conclusions of law, and the
amount of any penalties and assessments imposed.
(b) The ALJ will serve the initial decision on all parties within
90 days after close of the hearing or expiration of any allowed time
for submission of post-hearing briefs. If the ALJ fails to meet this
deadline, he or she shall promptly notify the parties of the reason for
the delay and set a new deadline.
(c) The findings of fact must include a finding on each of the
following issues:
(1) Whether any one or more of the claims or statements identified
in the complaint violate this part; and
(2) If the defendant is liable for penalties or assessments, the
appropriate amount of any such penalties or assessments, considering
any mitigating or aggravating factors.
(d) The initial decision will include a description of the right of
a defendant found liable for a civil penalty or assessment to file a
motion for reconsideration with the ALJ or a notice of appeal with the
Administrator.
Sec. 142.31 Can a party request reconsideration of the initial
decision?
(a) Any party may file a motion for reconsideration of the initial
decision with the ALJ within 20 days of receipt of the initial
decision. If the initial decision was served by mail, there is a
rebuttable presumption that the initial decision was received by the
party 5 days from the date of mailing.
(b) A motion for reconsideration must be accompanied by a
supporting brief and must describe specifically each allegedly
erroneous decision.
(c) Any response to a motion for reconsideration must be filed
within 20 days of receipt of such motion.
[[Page 2696]]
(d) The ALJ will dispose of a motion for reconsideration by denying
it or by issuing a revised initial decision.
(e) If the ALJ issues a revised initial decision upon motion of a
party, that party may not file another motion for reconsideration.
Sec. 142.32 When does the initial decision of the ALJ become final?
(a) The initial decision of the ALJ becomes the final decision of
SBA, and shall be binding on all parties 30 days after it is issued,
unless any party timely files a motion for reconsideration or any
defendant adjudged to have submitted a false claim or statement timely
appeals to the SBA Administrator, as set forth in Sec. 142.33.
(b) If the ALJ disposes of a motion for reconsideration by denying
it or by issuing a revised initial decision, the ALJ's order on the
motion for reconsideration becomes the final decision of SBA 30 days
after the order is issued, unless a defendant adjudged to have
submitted a false claim or statement timely appeals to the
Administrator, within 30 days of the ALJ's order, as set forth in
Sec. 142.33.
Sec. 142.33 What are the procedures for appealing the ALJ decision?
(a) Any defendant who submits a timely answer and is found liable
for a civil penalty or assessment in an initial decision may appeal the
decision.
(b) The defendant may file a notice of appeal with the
Administrator within 30 days following issuance of the initial
decision, serving a copy of the notice of appeal on all parties and the
ALJ. The Administrator may extend this deadline for up to thirty
additional days if an extension request is filed within the initial 30
day period and shows good cause.
(c) The defendant's appeal will not be considered until all timely
motions for reconsideration have been resolved.
(d) If a timely motion for reconsideration is denied, a notice of
appeal may be filed within 30 days following such denial or issuance of
a revised initial decision, whichever applies.
(e) A notice of appeal must be supported by a written brief
specifying why the initial decision should be reversed or modified.
(f) SBA's representative may file a brief in opposition to the
notice of appeal within 30 days of receiving the defendant's notice of
appeal and supporting brief.
(g) If a defendant timely files a notice of appeal, and the time
for filing motions for reconsideration has expired, the ALJ will
forward the record of the proceeding to the Administrator.
Sec. 142.34 Are there any limitations on the right to appeal to the
Administrator?
(a) A defendant has no right to appear personally, or through a
representative, before the Administrator.
(b) There is no right to appeal any interlocutory ruling.
(c) The Administrator will not consider any objection or evidence
that was not raised before the ALJ unless the defendant demonstrates
that the failure to object was caused by extraordinary circumstances.
If the appealing defendant demonstrates to the satisfaction of the
Administrator that extraordinary circumstances prevented the
presentation of evidence at the hearing, and that the additional
evidence is material, the Administrator may remand the matter to the
ALJ for consideration of the additional evidence.
Sec. 142.35 How does the Administrator dispose of an appeal?
(a) The Administrator may affirm, reduce, reverse, compromise,
remand, or settle any penalty or assessment imposed by the ALJ in the
initial decision or reconsideration decision.
(b) The Administrator will promptly serve each party to the appeal
and the ALJ with a copy of his or her decision. This decision must
contain a statement describing the right of any person, against whom a
penalty or assessment has been made, to seek judicial review.
Sec. 142.36 Can I obtain judicial review?
If the initial decision is appealed, the decision of the
Administrator is the final decision of SBA and is not subject to
judicial review unless the defendant files a petition for judicial
review within 60 days after the Administrator serves the defendant with
a copy of the final decision.
Sec. 142.37 What judicial review is available?
31 U.S.C. 3805 authorizes judicial review by the appropriate United
States District Court of any final SBA decision imposing penalties or
assessments, and specifies the procedures for such review. To obtain
judicial review, a defendant must file a petition in a timely fashion.
Sec. 142.38 Can the administrative complaint be settled voluntarily?
(a)
(a) Parties may make offers of compromise or settlement at any
time. Any compromise or settlement must be in writing.
(b) The reviewing official has the exclusive authority to
compromise or settle the case from the date on which the reviewing
official is permitted to issue a complaint until the ALJ issues an
initial decision.
(c) The Administrator has exclusive authority to compromise or
settle the case from the date of the ALJ's initial decision until
initiation of any judicial review or any action to collect the
penalties and assessments.
(d) The Attorney General has exclusive authority to compromise or
settle the case while any judicial review or any action to recover
penalties and assessments is pending.
(e) The investigating official may recommend settlement terms to
the reviewing official, the Administrator, or the Attorney General, as
appropriate. The reviewing official may recommend settlement terms to
the Administrator or the Attorney General, as appropriate.
Sec. 142.39 How are civil penalties and assessments collected?
31 U.S.C. 3806 and 3808(b) authorize the Attorney General to bring
specific actions for collection of such civil penalties and assessments
including administrative offset under 31 U.S.C. 3716. The penalties and
assessments may not, however, be administratively offset against an
overpayment of federal taxes (then or later owed) to the defendant by
the United States.
Sec. 142.40 What if the investigation indicates criminal misconduct?
(a) Any investigating official may:
(1) Refer allegations of criminal misconduct directly to the
Department of Justice for prosecution or for suit under the False
Claims Act or other civil proceeding;
(2) Defer or postpone a report or referral to the reviewing
official to avoid interference with a criminal investigation or
prosecution; or
(3) Issue subpoenas under other statutory authority.
(b) Nothing in this part limits the requirement that SBA employees
report suspected violations of criminal law to the SBA Office of
Inspector General or to the Attorney General.
Sec. 142.41 How does SBA protect the rights of defendants?
These procedures separate the functions of the investigating
official, reviewing official, and the ALJ, each of whom report to a
separate organizational authority in accordance with 31 U.S.C. 3801.
Except for purposes of settlement, or as a witness or a representative
in public proceedings, no investigating official, reviewing official,
or SBA employee or agent who helps investigate, prepare, or present a
case may (in such case, or a factually related case) participate in the
initial decision or the review of the initial decision by the
Administrator.
[[Page 2697]]
This separation of functions and organization is designed to assure the
independence and impartiality of each government official during every
stage of the proceeding. The representative for SBA may be employed in
the offices of either the investigating official or the reviewing
official.
Dated: January 22, 1996.
John T. Spotila,
Acting Administrator.
[FR Doc. 96-1349 Filed 1-26 -96; 8:45 am]
BILLING CODE 8025-01-P
Complete official Federal Register PDF
FR Doc. 96-1295 Filberts/Hazelnuts Grown in Oregon and Washington; Establishment of Interim and Final Free and Restricted Percentages for the 1995-96 Marketing Year
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2665-2667]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1295]
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DEPARTMENT OF AGRICULTURE
Agricultural Marketing Service
7 CFR Part 982
[Docket No. FV95-982-2IFR]
Filberts/Hazelnuts Grown in Oregon and Washington; Establishment
of Interim and Final Free and Restricted Percentages for the 1995-96
Marketing Year
AGENCY: Agricultural Marketing Service, USDA.
ACTION: Interim final rule with request for comments.
-----------------------------------------------------------------------
SUMMARY: This interim final rule establishes interim and final free and
restricted percentages for domestic inshell filberts/hazelnuts for the
1995-96 marketing year under the Federal marketing order for filberts/
hazelnuts grown in Oregon and Washington. The percentages allocate the
quantity of domestically produced filberts/hazelnuts which may be
marketed in the domestic inshell market. The percentages are intended
to stabilize the supply of domestic inshell filberts/hazelnuts to meet
the limited domestic demand for such filberts/hazelnuts and provide
reasonable returns to producers. This rule was recommended unanimously
by the Filbert/Hazelnut Marketing Board (Board), which is the agency
responsible for local administration of the order.
DATES: Effective January 29, 1996. Comments which are received by
February 28, 1996 will be considered prior to any finalization of the
interim final rule.
ADDRESSES: Interested persons are invited to submit written comments
concerning this rule to: Docket Clerk, Fruit and Vegetable Division,
AMS, USDA, Room 2525-S, P.O. Box 96456, Washington, DC 20090-6456.
Three copies of all written material shall be submitted, and they will
be made available for public inspection at the office of the Docket
Clerk during regular business hours. All comments should reference the
docket number, date, and page number of this issue of the Federal
Register.
FOR FURTHER INFORMATION CONTACT: Teresa L. Hutchinson, Marketing
Specialist, Northwest Marketing Field Office, Fruit and Vegetable
Division, Agricultural Marketing Service, USDA, 1220 SW Third Ave.,
Room 369, Portland, OR 97204; telephone (503) 326-2725 or Mark A.
Slupek, Marketing Specialist, Marketing Order Administration Branch,
Fruit and Vegetable Division, AMS, USDA, Room 2536-S, P.O. Box 96456,
Washington, DC 20090-6456; telephone: (202) 205-2830.
SUPPLEMENTARY INFORMATION: This rule is issued under Marketing
Agreement and Order No. 982 (7 CFR Part 982), both as amended,
regulating the handling of filberts/hazelnuts grown in Oregon and
Washington. This order is effective under the Agricultural Marketing
Agreement Act of 1937, as amended (7 U.S.C. 601-674), hereinafter
referred to as the ``Act.''
The Department of Agriculture (Department) is issuing this rule in
conformance with Executive Order 12866.
This rule has been reviewed under Executive Order 12778, Civil
Justice Reform. It is intended that this action apply to all
merchantable filberts/hazelnuts handled during the 1995-96 marketing
year. This rule will not preempt any State or local laws, regulations,
or policies, unless they present an irreconcilable conflict with this
rule.
The Act provides that administrative proceedings must be exhausted
before parties may file suit in court. Under section 608c(15)(A) of the
Act, any handler subject to an order may file with the Secretary a
petition stating that the order, any provision of the order, or any
obligation imposed in connection with the order is not in accordance
with law and request a modification of the order or to be exempted
therefrom. A handler is afforded the opportunity for a hearing on the
petition. After the hearing, the Secretary would rule on the petition.
The Act provides that the district court of the United States in any
district in which the handler is an inhabitant, or has his or her
principal place of business, has jurisdiction in equity to review the
Secretary's ruling on the petition, provided a bill in equity is filed
not later than 20 days after the date of the entry of the ruling.
Pursuant to requirements set forth in the Regulatory Flexibility
Act (RFA), the Administrator of the Agricultural Marketing Service
(AMS) has considered the economic impact of this rule on small
entities.
The purpose of the RFA is to fit regulatory actions to the scale of
business subject to such actions in order that small businesses will
not be unduly or disproportionately burdened. Marketing orders issued
pursuant to the Act, and rules issued thereunder, are unique in that
they are brought about through group action of essentially small
entities acting on their own behalf. Thus, both statutes have small
entity orientation and compatibility.
There are approximately 1,000 producers of filberts/hazelnuts in
the production area and approximately 25 handlers subject to regulation
under the marketing order. Small agricultural producers have been
defined by the Small Business Administration (13 CFR 121.601) as those
having annual receipts of less than $500,000, and small agricultural
service firms are defined as those whose annual receipts are less than
$5,000,000. The majority of handlers and producers of filberts/
hazelnuts may be classified as small entities.
The Board's recommendation and this interim final rule are based on
requirements specified in the order. This rule establishes the amount
of inshell filberts/hazelnuts that may be marketed in domestic markets.
The domestic outlets for this commodity are characterized by limited
demand, and the establishment of interim and final free and restricted
percentages will benefit the industry by promoting stronger marketing
conditions and stabilizing prices and supplies, thus improving grower
returns.
The Board is required to meet prior to September 20 of each
marketing year to compute an inshell trade demand and preliminary free
and restricted percentages, if the use of volume regulation is
recommended during the season. The order prescribes formulas for
computing the inshell trade demand, as well as preliminary, interim
final, and final percentages. The inshell trade demand establishes the
amount of inshell filberts/hazelnuts the handlers may ship to the
domestic market throughout the season, and the percentages release the
volume of
[[Page 2666]]
filberts/hazelnuts necessary to meet the inshell trade demand. The
preliminary percentages provide for the release of 80 percent of the
inshell trade demand. The interim final percentages release 100 percent
of the inshell trade demand. The inshell trade demand equals the
average of the preceding three ``normal'' years' trade acquisitions of
inshell filberts/hazelnuts, rounded to the nearest whole number. The
Board may increase such figure by no more than 25 percent, if market
conditions warrant such an increase. The final free and restricted
percentages release an additional 15 percent of the average of the
preceding three years' trade acquisitions of inshell filberts/hazelnuts
for desirable carryout. Desirable carryout is used for early season
shipments until the new crop is available for market.
The preliminary free and restricted percentages make available
portions of the filbert/hazelnut supply subject to regulation which may
be marketed in domestic inshell markets (free) and exported, shelled,
or otherwise disposed of (restricted) early in the 1995-96 season. The
preliminary free percentage is expressed as a percentage of the total
supply subject to regulation and is based on preliminary crop
estimates. The majority of domestic inshell filberts/hazelnuts are
marketed in October, November, and December. By November, the marketing
season is well under way.
At its August 28, 1995, meeting, the Board computed and announced
preliminary free and restricted percentages of 10 percent and 90
percent, respectively, to release 80 percent of the inshell trade
demand. The purpose of releasing only 80 percent of the inshell trade
demand under the preliminary percentage was to guard against
underestimates of crop size. The preliminary free percentage released
3,478 tons of filberts/hazelnuts from the 1995 supply for domestic
inshell use. The preliminary restricted percentage is 100 percent minus
the free percentage.
On or before November 15, the Board must meet again to recommend
interim final and final percentages. The Board uses current crop
estimates to calculate the interim final and final percentages. The
interim final percentages are calculated in the same way as the
preliminary percentages and release 100 percent of the inshell trade
demand previously computed by the Board for the marketing year. Final
free and restricted percentages release an additional 15 percent of the
average of the preceding three years' trade acquisitions to provide an
adequate carryover into the following season. The final free and
restricted percentages must be effective at least 30 days prior to the
end of the marketing year (July 1 through June 30), or earlier, if
recommended by the Board and approved by the Secretary. In addition,
revisions in the marketing policy can be made until February 15 of each
marketing year. However, the inshell trade demand can only be revised
upward.
In accordance with order provisions, the Board met on November 15,
1995, reviewed and approved an amended marketing policy and recommended
the establishment of interim final and final free and restricted
percentages. Interim final percentages were recommended at 12 percent
free and 88 percent restricted, and final free and restricted
percentages were recommended at 14 percent and 86 percent,
respectively. The Board also recommended that the final percentages be
effective on June 1, 1996, which is 30 days prior to the end of the
season. The interim final percentages make an additional 870 tons of
inshell filberts/hazelnuts available for the domestic inshell market.
The interim final marketing percentages are based on the industry's
final production estimates and release 4,348 tons to the domestic
inshell market from the 1995 supply subject to regulation. The final
marketing percentages release an additional 637 tons from the 1995 crop
for domestic use. Thus, a total of 4,985 tons of inshell filberts/
hazelnuts will be available from the 1995 supply subject to regulation
for domestic use when the final percentages are established. The
National Agricultural Statistics Service (NASS) estimated filbert/
hazelnut production at 38,000 tons for the Oregon and Washington area.
The Board unanimously voted to accept the NASS estimate.
The marketing percentages are based on the Board's production
estimates and the following supply and demand information for the 1995-
96 marketing year:
------------------------------------------------------------------------
Tons
------------------------------------------------------------------------
Inshell Supply:
(1) Total production (NASS estimate)........... ........ 38,000
(2) Less substandard, farm use (disappearance). ........ 2,466
(3) Merchantable production (the Board's
adjusted crop estimate)....................... ........ 35,534
(4) Plus undeclared carryin as of July 1, 1995,
subject to regulation......................... ........ 11
(5) Supply subject to regulation (Item 3 plus
Item 4)....................................... ........ 35,545
Inshell Trade Demand:
(6) Average trade acquisitions of inshell
filberts/hazelnuts for three prior years...... ........ 4,247
(7) Increase to encourage increased sales (15
percent of Item 6)............................ ........ 637
(8) Less declared carryin as of July 1, 1995,
not subject to regulation..................... ........ 536
(9) Adjusted Inshell Trade Demand.............. ........ 4,348
(10) 15 percent of the average trade
acquisitions of inshell filberts/hazelnuts for
three prior years (Item 6).................... ........ 637
(11) Adjusted Inshell Trade Demand plus 15
percent for carryout (Item 9 plus Item 10).... ........ 4,985
Percentages: Free Restricted
(12) Interim final percentages 12 88 (Item 9
divided by Item 5) x 100...................... 12 88
(13) Final percentages (Item 11 divided by Item
5) x 100...................................... 14 86
------------------------------------------------------------------------
In addition to complying with the provisions of the marketing
order, the Board also considers the Department's 1982 ``Guidelines for
Fruit, Vegetable, and Specialty Crop Marketing Orders'' (Guidelines)
when making its computations in the marketing policy. This volume
control regulation provides a method to collectively limit the supply
of inshell filberts/hazelnuts available for sale in domestic markets.
The Guidelines provide that the domestic inshell market have available
a quantity equal to 110 percent of prior years' shipments in those
outlets before secondary market allocations are
[[Page 2667]]
approved. This provides for plentiful supplies for consumers and for
market expansion while retaining the mechanism for dealing with
oversupply situations. At its August 28, 1995, meeting, the Board
recommended that an increase of 15 percent (637 tons) for market
expansion be included in the inshell trade demand which was used to
compute the interim percentages. The established final percentages are
based on the final inshell trade demand, and will make available an
additional 637 tons for desirable carryout. The total free supply will
be the final trade demand of 4,985 tons plus the declared carryin of
536 tons or 5,521 tons. This is 130 percent of prior years' sales and
exceeds the goal of the Guidelines.
Based on the above, the Administrator of the AMS has determined
that this interim final rule will not have a significant economic
impact on a substantial number of small entities. Written comments,
timely received in response to this action, will be considered before
finalization of this rule.
After consideration of all available information, it is found that
the establishment of interim final and final free and restricted
percentages, as hereinafter set forth, will tend to effectuate the
declared policy of the Act.
Pursuant to 5 U.S.C. 553, it is also found and determined, upon
good cause, that it is impracticable, unnecessary, and contrary to the
public interest to give preliminary notice prior to putting this rule
into effect, and that good cause exists for not postponing the
effective date of this action until 30 days after publication in the
Federal Register because: (1) The 1995-96 marketing year began July 1,
1995, and the percentages established herein apply to all merchantable
filberts/hazelnuts handled from the beginning of the crop year; (2)
handlers are aware of this rule, which was recommended at an open Board
meeting, and need no additional time to comply with this rule; and (3)
interested persons are provided a 30-day comment period in which to
respond. All comments timely received will be considered prior to
finalization of this action.
List of Subjects in 7 CFR Part 982
Filberts, Hazelnuts, Marketing agreements, Nuts, Reporting and
recordkeeping requirements.
For the reasons set forth in the preamble, 7 CFR Part 982 is
amended as follows:
PART 982--FILBERTS/HAZELNUTS GROWN IN OREGON AND WASHINGTON
1. The authority citation for 7 CFR part 982 continues to read as
follows:
Authority: 7 U.S.C. 601-674.
2. Section 982.243 is added to read as follows:
Note: This section will not be published in the annual Code of
Federal Regulations.
Sec. 982.243 Free and restricted percentages--1995-96 marketing year.
(a) The interim final free and restricted percentages for
merchantable filberts/hazelnuts for the 1995-96 marketing year shall be
12 and 88 percent, respectively.
(b) On June 1, 1996, the final free and restricted percentages for
merchantable filberts/hazelnuts for the 1995-96 marketing year shall be
14 and 86 percent, respectively.
Dated: January 22, 1996.
Sharon Bomer Lauritsen,
Deputy Director, Fruit and Vegetable Division.
[FR Doc. 96-1295 Filed 1-26-96; 8:45 am]
BILLING CODE 3410-02-P
Complete official Federal Register PDF
FR Doc. 96-1294 Expiration of the Replenishment Agricultural Worker Program
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2659-2660]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1294]
-----------------------------------------------------------------------
DEPARTMENT OF AGRICULTURE
7 CFR Part 1e
RIN 0503-AA13
Expiration of the Replenishment Agricultural Worker Program
AGENCY: Office of the Secretary, United States Department of
Agriculture.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This final rule removes the regulations of the United States
Department of Agriculture (USDA) relating to additional special
agricultural workers known as replenishment agricultural workers (RAWs)
under section 210A of the Immigration and Nationality Act (INA), as
added by section 303 of the Immigration Reform and Control Act of 1986
(IRCA). Specifically, this final rule removes the USDA regulations
pertaining to the RAW program as the program expired at the end of
Fiscal Year 1993.
EFFECTIVE DATE: February 28, 1996.
FOR FURTHER INFORMATION CONTACT:
Mr. Al French, USDA, Telephone (202) 720-4737, Internet:
[email protected].
SUPPLEMENTARY INFORMATION: The INA was amended by the IRCA (8 U.S.C.
1161) to (1) control illegal immigration into the United States and (2)
make limited changes in the system for legal immigration. There was
concern during consideration of the IRCA that employers in seasonal
agricultural services (SAS), who had come to rely on unauthorized
aliens to perform field work, would be unable to obtain sufficient
legal workers to satisfy their needs.
To address this concern, the IRCA added section 210 to the INA to
establish a program that granted temporary resident alien status to
special agricultural workers (SAWs) who could demonstrate that they
performed SAS for at least 90 man-days during the 12-month period
ending May 1, 1986. The definition of SAS is contained in regulations
promulgated by the Secretary of Agriculture at 7 CFR Part 1d. The IRCA
specifies that individuals admitted under this provision would not be
required to continue working in agriculture, and in fact would be free
to seek employment in any occupation or industry.
Because there was also concern that large numbers of SAWs would in
fact leave agricultural employment, which would again cause a shortage
or workers to perform SAS, the IRCA added section 210A to the INA,
which provides a system for admitting additional RAWs. The number of
RAWs who were to be admitted in any fiscal year (FY), beginning with FY
1990 and ending with FY 1993, was the smaller of (1) the annual
numerical limitation established by formula in section 210A(b) of the
INA, or (2) the shortage number determined by the Secretary of
Agriculture and the Secretary of Labor (hereinafter ``the
Secretaries'') in accordance with the formula in section 210A(a) of the
INA. On January 2, 1990, USDA published in the Federal Register at 55
FR 106 a final rule that set forth the procedure to be used by the
Secretaries in determining the shortage number and the annual numerical
limitation. The criteria under which individuals may qualify for RAW
status was established by the Immigration and
[[Page 2660]]
Naturalization Service (INS) in regulations located at 8 CFR Part 210a.
In each of the three years during the RAW program was authorized,
the Secretaries found the shortage number to be zero and no alien
workers were granted benefits under the program.
As the statutory authority for the RAW program ha expired and
Congress has given no indication that the program will be reauthorized,
USDA believes that it is appropriate to remove the implementing
regulations.
This regulatory action is being taken as part of the National
Performance Review program to eliminate unnecessary regulations and
improve those that remain in force.
List of Subjects in 7 CFR Part 1e
Agriculture, Aliens, Immigration, Labor, Migrant workers, Rural
labor.
PART 1e--[REMOVED]
Accordingly, under the authority of 8 U.S.C. 1161, Part 1e of title
7, subtitle A, of the Code of Federal Regulations is removed.
Done at Washington, DC, this 19th day of January, 1996.
Keith J. Collins,
Chief Economist.
[FR Doc. 96-1294 Filed 1-26-96; 8:45 am]
BILLING CODE 3410-01-M
Complete official Federal Register PDF
FR Doc. 96-1293 Expiration of the Special Agricultural Worker Program
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Page 2659]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1293]
========================================================================
Rules and Regulations
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by the Superintendent of Documents.
Prices of new books are listed in the first FEDERAL REGISTER issue of each
week.
========================================================================
Federal Register / Vol. 61, No. 19 / Monday, January 29, 1996 / Rules
and Regulations
[[Page 2659]]
DEPARTMENT OF AGRICULTURE
Office of the Secretary
7 CFR Part 1d
RIN 0503-AA14
Expiration of the Special Agricultural Worker Program
AGENCY: Office of the Secretary, United States Department of
Agriculture.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This final rule removes the regulations of the United States
Department of Agriculture (USDA) relating to special agricultural
workers (SAWs) under section 210 of the Immigration and Nationality Act
(INA), as added by section 302 of the Immigration Reform and Control
Act of 1986 (IRCA). Specifically, this final rule removes the USDA
regulations pertaining to the SAW program as the program expired on
December 1, 1988.
EFFECTIVE DATE: February 28, 1996.
FOR FURTHER INFORMATION CONTACT:
Mr. Al French, USDA, Telephone (202) 720-4737, Internet:
[email protected].
SUPPLEMENTARY INFORMATION: The INA was amended by the IRCA (8 U.S.C.
1160) to (1) control illegal immigration into the United States and (2)
make limited changes in the system for legal immigration. There was
concern during consideration of the IRCA that employers in seasonal
agricultural services (SAS), who had come to rely on unauthorized
aliens to perform field work, would be unable to obtain sufficient
legal workers to satisfy their needs.
To address this concern, the IRCA added section 210 to the INA to
establish a program that granted temporary resident alien status to
SAWs who could demonstrate that they performed SAS for at least 90 man-
days during the 12-month period ending May 1, 1986. The definition of
SAS is contained in regulations promulgated by the Secretary of
Agriculture at 7 CFR Part 1d and defined the fruits, the vegetables,
and the other perishable commodities in which field work related to
planting, cultural practices, cultivating, growing, and harvesting
would be considered SAS.
As the statutory authority for the SAW program has expired and
Congress has given no indication that the program will be reauthorized,
USDA believes that it is appropriate to remove the implementing
regulations.
This regulatory action is being taken as part of the National
Performance Review program to eliminate unnecessary regulations and
improve those that remain in force.
List of Subjects in 7 CFR Part 1d
Agriculture, Aliens, Immigration, Labor, Migrant workers, Rural
labor.
PART 1d--[REMOVED]
Accordingly, under the authority of 8 U.S.C. 1160, Part 1d of title
7, subtitle A, of the Code of Federal Regulations is removed.
Done at Washington, DC, this 19th day of January, 1996.
Keith J. Collins,
Chief Economist.
[FR Doc. 96-1293 Filed 1-26-96; 8:45 am]
BILLING CODE 3410-01-M
Complete official Federal Register PDF
FR Doc. 96-1159 Freedom of Information and Privacy Act of 1974
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2671-2679]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1159]
=======================================================================
-----------------------------------------------------------------------
SMALL BUSINESS ADMINISTRATION
13 CFR Parts 102 and 137
Freedom of Information and Privacy Act of 1974
AGENCY: Small Business Administration.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: In response to President Clinton's regulatory directive, the
Small
[[Page 2672]]
Business Administration (SBA) has completed a page-by-page, line-by-
line review of all its regulations. As a result, SBA is clarifying and
streamlining its regulations. This final rule reorganizes Part 102,
which governs SBA's administration of the Freedom of Information and
Privacy Acts, in order to make it clearer and more succinct. It also
eliminates Part 137, governing Classified Information, folding those
sections which apply to SBA into the revised Part 102. It also allows
submitters of business information to identify, at the time of
submission, material they consider confidential; establishes a fee
appeal procedure; eliminates the Program Official from Privacy Act
responsibilities; and makes minor changes in Freedom of Information and
Privacy Act fees.
EFFECTIVE DATE: This rule is effective on February 28, 1996.
FOR FURTHER INFORMATION CONTACT: Timothy C. Treanor, Attorney Advisor,
Office of General Counsel, at (202) 205-6885.
SUPPLEMENTARY INFORMATION: Part 102 of Chapter I, title 13 of the Code
of Federal Regulations sets forth the policies and procedures by which
SBA administers the Freedom of Information Act and the Privacy Act of
1974. Part 137 of that Chapter contains SBA regulations governing
classified information under Executive Order 12356. On November 24,
1995 SBA published a proposed rule in the Federal Register (60 FR
57970) to reorganize Part 102 and to eliminate Part 137, incorporating
those portions of the latter Part which apply to SBA into Part 102. SBA
did not receive any comments in response to the proposed rule. Thus,
SBA is finalizing the rule with only minor technical changes:
(1) Within Secs. 102.6(d) and 102.7, the effective date by which
procedures change for submitters of business information has been
changed from January 1, 1996 to March 1, 1996, so as to occur after the
effective date of the new regulations.
(2) Due to the repeal of Executive Order 12356 and to the
provisions of new Executive Order 12968, which require only agencies
that generate classified materials to regulate their distribution, SBA
has eliminated all direct reference to classified materials in its
regulations.
(3) Section 102.13, governing subpoenas, has been changed to
clarify that the section applies only to lawsuits or other proceedings
to which SBA is not a party, and that the Associate General Counsel for
Litigation may not delegate to local counsel authorization for the
production of documents or testimony of employees from the Inspector
General's Office.
(4) The language of various sections has been streamlined and the
numbering of some paragraphs has been reordered to make the overall
regulations clearer.
A Conversion Table Follows
------------------------------------------------------------------------
Existing part 102 New part 102
------------------------------------------------------------------------
Sec. 102.1(a)............................ Sec. 102.1.
Sec. 102.1(b)............................ Deleted.
Sec. 102.2............................... Deleted.
Sec. 102.3(a)............................ Deleted.
Sec. 102.3(b)............................ Deleted.
Sec. 102.3(c)............................ Deleted.
Sec. 102.3(d)............................ Deleted.
Sec. 102.3(e)............................ Deleted.
Sec. 102.3(f)............................ Deleted.
Sec. 102.3(g)............................ Deleted.
Sec. 102.3(h)............................ Deleted.
Sec. 102.3(i)............................ Deleted.
Sec. 102.3(j)............................ Deleted.
Sec. 102.3(k)............................ Deleted.
Sec. 102.3(l)............................ Sec. 102.10.
Sec. 102.4(a)............................ Deleted.
Sec. 102.4(b)............................ Sec. 102.2(a).
Sec. 102.4(c)............................ Sec. 102.2(b).
Sec. 102.4(d)............................ Deleted.
Sec. 102.4(e)(1)......................... Sec. 102.3(a).
Sec. 102.3(d)
Sec. 102.4(e)(2)......................... Sec. 102.4(c).
Sec. 102.4(e)(3)......................... Sec. 102.5.
Sec. 102.5(a)............................ Deleted.
Sec. 102.5(b)(1)......................... Sec. 102.6(a).
Sec. 102.5(b)(2)......................... Deleted.
Sec. 102.5(b)(3)......................... Sec. 102.6(b).
Sec. 102.5(c)............................ Deleted.
Sec. 102.5(d)............................ Sec. 102.6(a).
Sec. 102.6(d).
Sec. 102.6(e).
Sec. 102.5(e)............................ Sec. 102.7.
Sec. 102.5(f)............................ Sec. 102.6(d).
Sec. 102.6(e).
Sec. 102.5(g)............................ Sec. 102.6(f).
Sec. 102.5(h)............................ Sec. 102.6(g).
Sec. 102.5(i)(1)......................... Sec. 102.6(d).
Sec. 102.6(e).
Sec. 102.5(i)(2)......................... Sec. 102.6(c).
Sec. 102.5(i)(3)......................... Deleted.
Sec. 102.5(i)(4)......................... Deleted.
Sec. 102.6(a)............................ Deleted.
Sec. 102.6(b)............................ Sec. 102.9(b).
Sec. 102.6(c)............................ Sec. 102.9(c)(1).
Sec. 102.6(d)............................ Sec. 102.9(a).
Sec. 102.6(e)(1)......................... Sec. 102.9(d).
Sec. 102.6(e)(2)......................... Sec. 102.9(f)(1).
Sec. 102.6(e)(3)......................... Sec. 102.9(e).
Sec. 102.7(a)(1)......................... Deleted.
Sec. 102.7(a)(2)......................... Deleted.
Sec. 102.7(a)(3)......................... Deleted.
Sec. 102.7(a)(4)......................... Deleted.
Sec. 102.7(a)(5)......................... Sec. 102.8(d).
Sec. 102.7(a)(6)......................... Sec. 102.8(b)(1).
Sec. 102.7(a)(7)......................... Sec. 102.8(b)(2).
Sec. 102.7(a)(8)......................... Sec. 102.8(b)(4).
Sec. 102.7(b)(1)......................... Sec. 102.8(a)(1).
Sec. 102.7(b)(2)......................... Sec. 102.8(a)(2).
Sec. 102.7(b)(3)......................... Sec. 102.8(a)(3).
Sec. 102.7(b)(4)......................... Sec. 102.8(a)(4).
Sec. 102.7(b)(5)(i)...................... Sec. 102.8(a)(5).
Sec. 102.7(b)(5)(ii)..................... Sec. 102.8(a)(6).
Sec. 102.7(b)(6)......................... Sec. 102.8(b)(uosp).
Sec. 102.8(c).
Sec. 102.8(e).
Sec. 102.8(h).
Sec. 102.7(b)(7)......................... Sec. 102.8(g).
Sec. 102.7(c)(1)......................... Sec. 102.8(d).
Sec. 102.7(c)(2)......................... Sec. 102.8(b)(uosp).
Sec. 102.8(b) (1-3).
Sec. 102.7(c)(3)......................... Sec. 102.8(b)(uosp).
Sec. 102.8(b)(4).
Sec. 102.7(c)(4)......................... Sec. 102.8(c).
Sec. 102.7(d)(1)......................... Sec. 102.8(l)(1).
Sec. 102.7(d)(2)......................... Sec. 102.8(m).
Sec. 102.7(d)(3)......................... Sec. 102.8(n).
Sec. 102.7(d)(4)(i)...................... Sec. 102.8(i).
Sec. 102.7(d)(4)(ii)..................... Sec. 102.8(i).
Sec. 102.7(d)(4)(iii).................... Sec. 102.3(c).
Sec. 102.7(d)(5)......................... Deleted.
Sec. 102.7(e)............................ Sec. 102.8(o).
Sec. 102.8............................... Sec. 102.12.
Sec. 102.20(a)........................... Sec. 102.20(a)(1).
Sec. 102.20(b)........................... Sec. 102.20(a)(2).
Sec. 102.20(c)........................... Sec. 102.20(a)(3).
Sec. 102.20(d)........................... Sec. 102.20(b).
Sec. 102.20(e)........................... Sec. 102.20(c).
Sec. 102.21(a)........................... Deleted.
Sec. 102.21(b)........................... Deleted.
Sec. 102.21(c)........................... Sec. 102.26.
Sec. 102.21(d)........................... Deleted.
Sec. 102.21(e)........................... Sec. 102.24.
Sec. 102.21(f)........................... Sec. 102.25.
Sec. 102.21(g)........................... Deleted.
Sec. 102.21(h)........................... Deleted.
Sec. 102.22(a)(1)........................ Sec. 102.32(b).
Sec. 102.22(a)(2)........................ Sec. 102.32(c).
Sec. 102.22(a)(3)........................ Sec. 102.32(d).
Sec. 102.22(a)(4)........................ Sec. 102.32(e).
Sec. 102.22(a)(5)........................ Deleted.
Sec. 102.22(a)(6)........................ Deleted.
Sec. 102.22(a)(7)........................ Deleted.
Sec. 102.22(b)(1)........................ Sec. 102.32(a).
Sec. 102.22(b)(2)........................ Deleted.
Sec. 102.22(b)(3)........................ Deleted.
Sec. 102.22(b)(4)........................ Deleted.
Sec. 102.22(b)(5)........................ Deleted.
Sec. 102.22(c)........................... Deleted.
Sec. 102.22(d)........................... Sec. 102.29.
Sec. 102.23UOP........................... Sec. 102.22(a).
Sec. 102.23(a)........................... Sec. 102.22(b).
Sec. 102.23(b)........................... Sec. 102.22(c).
Sec. 102.23(c)........................... Sec. 102.22(d).
Sec. 102.23(d)........................... Sec. 102.22(e).
Sec. 102.23(e)........................... Sec. 102.22(f).
Sec. 102.23(f)........................... Sec. 102.22(g).
Sec. 102.23(g)........................... Sec. 102.22(h).
Sec. 102.23(h)........................... Sec. 102.22(i).
Sec. 102.23(i)........................... Sec. 102.22(j).
Sec. 102.23(j)........................... Sec. 102.22(k).
Sec. 102.23(k)........................... Sec. 102.22(l).
Sec. 102.24.............................. Sec. 102.28.
Sec. 102.25.............................. Deleted.
Sec. 102.26(a)........................... Deleted.
Sec. 102.26(b)(UOP)...................... Deleted.
Sec. 102.26(b)(1)........................ Deleted.
Sec. 102.26(b)(2)........................ Deleted.
Sec. 102.26(b)(3)........................ Sec. 102.60.
Sec. 102.26(b)(4)........................ Sec. 102.47(a).
Sec. 102.47(b).
Sec. 102.26(c)........................... Deleted.
Sec. 102.27(a)........................... Sec. 102.61(a).
Sec. 102.27(b)(UOP)...................... Sec. 102.61(b).
Sec. 102.27(b)(1)........................ Sec. 102.61(a).
[[Page 2673]]
Sec. 102.27(b)(2)........................ Sec. 102.61(a).
Sec. 102.27(b)(3)........................ Sec. 102.61(a).
Sec. 102.27(c)........................... Sec. 102.61(a).
Sec. 102.27(d)........................... Sec. 102.61(a).
Sec. 102.27(e)........................... Sec. 102.61(a).
Sec. 102.27(f)........................... Sec. 102.61(a).
Sec. 102.27(g)........................... Sec. 102.61(a).
Sec. 102.28(a)........................... Sec. 102.34(a).
Sec. 102.58.
Sec. 102.28(b)........................... Sec. 102.34(b).
Sec. 102.28(c)........................... Sec. 102.34(c).
Sec. 102.28(d)........................... Sec. 102.36(b).
Sec. 102.28(e)........................... Sec. 102.35.
Sec. 102.36.
Sec. 102.29(a)........................... Sec. 102.38(c).
Sec. 102.29(a)........................... Sec. 102.39.
Sec. 102.29(b)........................... Sec. 102.41.
Sec. 102.29(c)........................... Sec. 102.40.
Sec. 102.29(d)........................... Deleted.
Sec. 102.30(a)........................... Sec. 102.42.
Sec. 102.30(b)........................... Sec. 102.43.
Sec. 102.46.
Sec. 102.47.
Sec. 102.30(c)........................... Deleted.
Sec. 102.30(d)........................... Sec. 102.47(a).
Sec. 102.47(b).
Sec. 102.31(a)........................... Sec. 102.48.
Sec. 102.49(c).
Sec. 102.50.
Sec. 102.31(b)........................... Sec. 102.51.
Sec. 102.31(c)........................... Sec. 102.52.
Sec. 102.31(d)........................... Sec. 102.52.
Sec. 102.31(e)........................... Sec. 102.53(b)(1).
Sec. 102.53(c)(2).
Sec. 102.31(f)........................... Sec. 102.58(b)(3).
Sec. 102.58(c)(2).
Sec. 102.32(a)(1)........................ Sec. 102.21(a)
Sec. 102.32(a)(2)........................ Sec. 102.21(b)
Sec. 102.32(a)(3)........................ Sec. 102.55.
Sec. 102.32(a)(4)........................ Deleted.
Sec. 102.32(b)........................... Deleted.
Sec. 102.32(c)........................... Sec. 102.32(f)
Sec. 102.33(a)........................... Sec. 102.23(a)
Sec. 102.33(b)........................... Deleted.
Sec. 102.33(c)........................... Sec. 102.56
Sec. 102.33(d)........................... Deleted.
Sec. 102.33(e)........................... Sec. 102.57
Sec. 102.33(f)........................... Sec. 102.58
Sec. 102.33(g)........................... Sec. 102.58(d)
Sec. 102.58(e)
Sec. 102.33(h)........................... Deleted.
Sec. 102.34.............................. Sec. 102.59
Sec. 102.35(a)........................... Sec. 102.27(d)(uosp).
Sec. 102.35(b)........................... Sec. 102.27(d) (1-3).
Sec. 102.35(c)........................... Sec. 102.27(e).
Sec. 102.36(a)........................... Sec. 102.27(a).
Sec. 102.36(b)........................... Sec. 102.27(b).
Sec. 102.36(c)........................... Sec. 102.27(c).
Sec. 102.37.............................. Sec. 102.54.
------------------------------------------------------------------------
Compliance With Executive Orders 12612, 12778, and 12866, the
Regulatory Flexibility Act (5 U.S.C. 601, et seq.), and the Paperwork
Reduction Act (44 U.S.C. Ch. 35)
SBA certifies that this rule does not have a significant economic
impact on a substantial number of small entities within the meaning of
Executive Order 12866 or the Regulatory Flexibility Act, 5 U.S.C. 601,
et seq. It makes SBA's FOIA and PA procedures clearer and will
institute governmental efficiencies at no cost to small businesses. It
will not, however, have an annual economic effect of $100 million or
more, result in a major increase in costs or prices, or have a
significant adverse effect on competition or the United States economy.
For purposes of the Paperwork Reduction Act, 44 U.S.C. Ch. 35, SBA
certifies that this rule contains no new reporting or recordkeeping
requirements.
For purposes of Executive Order 12612, SBA certifies that this rule
has no federalism implications warranting the preparation of a
federalism assessment.
For purposes of Executive Order 12778, SBA certifies that this rule
is drafted, to the extent practicable, in accordance with the standards
set forth in Section 2 of that Order.
List of Subjects
13 CFR Part 102
Freedom of information, Privacy.
13 CFR Part 137
Classified information.
Accordingly, pursuant to the authority set forth in the Freedom of
Information Act (5 U.S.C. 552); the Privacy Act of 1974 (5 U.S.C.
552a), Executive Order 12600, and Executive Order 12968, SBA amends
chapter I of Title 13 of the Code of Federal Regulations, as follows:
1. Part 102 is revised to read as follows:
PART 102--RECORD DISCLOSURE AND PRIVACY
Subpart A--Disclosure of Information
Sec.
102.1 What does this subpart do?
102.2 How can I get records from SBA?
102.3 How long will it take for SBA to respond to my request for
records?
102.4 How will SBA respond to my request?
102.5 If SBA grants my request, which records will be supplied?
102.6 How will SBA respond to requests for business information?
102.7 What are the procedures for submitters of business
information to SBA after March 1, 1996?
102.8 What fees will SBA charge?
102.9 How may I appeal a denial of my request for information or a
fee determination?
102.10 How can I get the Public Index of SBA materials?
102.11 What happens if I ask SBA for a record that another Federal
Agency generated?
102.12 What happens if I subpoena records or testimony of employees
in connection with a civil lawsuit, criminal proceeding or
administrative proceeding to which SBA is not a party?
Subpart B--The Privacy Act
102.20 What privacy rights does this subpart regulate?
102.21 How will SBA maintain records?
102.22 When will SBA disclose records?
102.23 Are there special rules about personnel and equal employment
opportunity files?
102.24 What is a record?
102.25 What is a system of records?
102.26 What does this subpart mean by ``person to whom a record
pertains'' or ``you''?
102.27 What records are partially exempt from the provisions of the
Privacy Act?
102.28 What about information compiled for a civil action?
102.29 Who administers SBA's responsibilities under the Privacy
Act?
102.30 How can I write to the Privacy Act Officer?
102.31 Who appoints Systems Managers?
102.32 What do Systems Managers do?
102.33 How can I write to a Systems Manager?
102.34 How can I see records kept on me?
102.35 How long will it take SBA to respond to my request?
102.36 How will SBA respond to my request?
102.37 How may I appeal a decision to deny me access to my records?
102.38 To whom should my appeal be addressed?
102.39 By when must I appeal to the Privacy Act Officer?
102.40 When will SBA respond to my appeal?
102.41 How will SBA respond to my appeal?
102.42 How can I get SBA to amend a record kept on me?
102.43 What should my petition say?
102.44 For what reasons will SBA amend my record?
102.45 Will SBA ask me for more information after I make my
request?
102.46 When will SBA respond to my request?
102.47 How will SBA respond to my request?
102.48 How do I appeal a refusal to amend a record kept on me?
102.49 To whom should I address my appeal?
102.50 By when must I submit my appeal?
102.51 By what standards will the Privacy Act Officer review my
appeal?
102.52 When will SBA respond to my appeal?
102.53 How will SBA respond to my appeal?
102.54 How can I obtain judicial review about an SBA Privacy Act
decision?
102.55 What must SBA tell the individuals from whom it collects
information?
[[Page 2674]]
102.56 Will SBA release my name or address?
102.57 Do I have to give SBA my SSN?
102.58 When will SBA show personnel records to a representative?
102.59 What fees will SBA charge me for my records?
102.60 May I be informed of disclosures made of my record?
102.61 Are there Matching Program procedures?
Authority: 5 U.S.C. 552 and 552a; 31 U.S.C. 1 et seq. and 67 et
seq.; 44 U.S.C. 3501 et seq.; E.O. 12600, 3 CFR, 1987 Comp., p. 235.
Subpart A--Disclosure of Information
Sec. 102.1 What does this subpart do?
This subpart describes the procedures by which the SBA makes
documents available under the Freedom of Information Act (``FOIA'') (5
U.S.C. 552).
Sec. 102.2 How can I get records from SBA?
(a) You can go to the SBA office at which the records are kept, and
photocopy any final SBA decision, policy statement, or standard
operating procedure.
(b) For copies of all other records, you must send a letter request
to the SBA office at which the records are kept. The letter must
describe specific records you want. If you don't know which SBA office
keeps the records, you may send your letter to the nearest SBA District
Office. You may also send your letter to the Chief, FOIA & PA Office,
409 Third Street S.W., Suite 5900, Washington D.C. 20416. The office
receiving your letter will forward it to the correct office.
Sec. 102.3 How long will it take for SBA to respond to my request for
records?
(a) If you have met the fee requirements of Sec. 102.8, SBA will
respond within 10 working days after the correct office receives your
request, unless you have requested an especially large number of
records, the records are not located in the office handling the
request, or SBA needs to consult with another government office.
(b) If you make your request on behalf of another person, SBA will
respond within 10 working days after you present a document signed by
that person authorizing you to request information on his or her
behalf. If you make your request on behalf of another person without
including such signed authorization, SBA will inform you of the
authorization needed.
(c) If you send your request to the wrong office, that office will
send it to the correct office within 10 working days and will send you
an acknowledgment letter.
(d) If SBA determines that one of the circumstances described in
paragraph (a) of this section apply, it will respond within 20 working
days of the date upon which the correct office receives your request,
and will notify you that the extra time is required.
Sec. 102.4 How will SBA respond to my request?
Within the time limit described in Sec. 102.3, SBA will either:
(a) Give you all the records you requested;
(b) Give you some or none of the records you requested, explain why
SBA has decided not to comply fully with your request, citing specific
exemptions where applicable, and explain how to appeal that decision;
or
(c) Tell you that you will not receive a response until you have
either paid your fee or committed to the amount of fee you will pay, as
applicable.
Sec. 102.5 If SBA grants my request, which records will be supplied?
SBA will give you copies of all records or portions of records
requested which are in the processing office as of the close of the day
upon which that office received your request.
Sec. 102.6 How will SBA respond to requests for business information?
(a) Business information is a trade secret, or commercial or
financial information, contained in records provided to SBA by any
person and which may be protected from disclosure under Exemption Four
of FOIA (5 U.S.C. 552(b)(4)).
(b) The submitter is the business entity to which the business
information pertains and which submitted the information to SBA, either
directly or through an intermediary, such as a bank.
(c) SBA will disclose upon request business information that has
previously been released to the general public.
(d) If you request business information submitted to SBA prior to
March 1, 1996 which has not previously been released to the general
public, SBA will notify the submitter of your request upon SBA's
receipt of it if SBA intends to release that information. SBA will give
the submitter 5 working days to identify information the disclosure of
which would likely cause substantial competitive harm and why that harm
would occur unless SBA intends to deny your request in full.
(e) If you request business information submitted to SBA after
March 1, 1996 which has not previously been released to the general
public, SBA will notify the submitter if it intends to release business
information which either the submitter has previously claimed or which
SBA believes to be confidential and the disclosure of which would cause
substantial competitive harm. The submitter will have 5 working days to
object to the disclosure, explaining why the harm would occur.
(f) Whenever a submitter objects to disclosure, SBA will consider
the submitter's objections, but will not be bound by it. If SBA
discloses information despite a submitter's objection, SBA will give
the submitter the maximum notice possible before disclosure without
violating the time constraints imposed by FOIA. In this notice, SBA
will tell the submitter when and what it intends to disclose.
(g) SBA will promptly notify the submitter of any suit filed
against SBA to compel disclosure.
Sec. 102.7 What are the procedures for submitters of business
information to SBA after March 1, 1996?
Submitters may identify business information at the time of
submission which would likely cause them substantial competitive harm
if disclosed. The identification shall lapse after 10 years, unless
renewed in writing.
Sec. 102.8 What fees will SBA charge?
(a) Basic fees. (1) For manual record search. SBA will charge $18
per hour.
(2) For computer record searches. SBA will charge the actual costs.
(3) For review and disclosure determinations. SBA will charge $18
per hour.
(4) Duplication. SBA will charge 10 cents per page for photocopy
duplication, and the actual cost of reproduction for other methods.
(5) Certifying records. SBA will charge actual costs.
(6) For requested special types of delivery other than first-class
mail. SBA may charge the actual cost.
(b) If you are a representative of an educational institution, a
non-commercial scientific institution, or a member of the news media.
SBA will charge you only for the cost of duplication after the first
100 pages.
(1) What is an educational institution? A state-certified
preschool, elementary or secondary school, an accredited college or
university, an accredited institution of professional education, or any
accredited or state-certified institute of vocational education which
operates a program or programs of scholarly research.
(2) What is a non-commercial scientific institution? An
organization which is operated solely for the purpose
[[Page 2675]]
of conducting scientific research, the results of which are not
intended to promote any particular product or industry.
(3) What is a representative of an educational or non-commercial
scientific institution? A requester seeking records on behalf of that
institution who is authorized by that institution to do so, and who is
seeking those records for scholarly or scientific reasons, as long as
there is no commercial purpose to the request for records.
(4) What is a representative of the news media? An individual who
is actively gathering news for an entity that is organized and operated
to disseminate information to the general public. To be considered
``news media'', this organization may provide information by
subscription and may target its dissemination to a narrow section of
the general public as long as any member of the general public may
purchase information from it. If you are not employed by the news
media, but have a reasonable expectation that you will sell the
information you obtain to the news media, SBA may conclude that you are
a representative of the news media. SBA will not consider you to be a
representative of the news media if your request has a commercial
purpose, beyond the commercial purpose of selling information to the
general public.
(c) Member of the general public. If you are a member of the
general public, SBA will not charge you for the first two hours of
search time, the first hundred pages of photocopy duplication, or for
review and disclosure determinations. The general public is anyone who
is not a representative of an educational institution, a representative
of the news media, or a commercial requester.
(d) Commercial requester. If you are a commercial requester you
must pay all the basic fees set forth in paragraph (a) of this section.
A commercial requester is anyone seeking information for commercial,
trade, or profit interests of the requester or someone he or she is
trying to help.
(e) How does SBA determine what category of requester I am? The SBA
office processing your request will determine the appropriate category.
If you are not a commercial requester, you must show us what category
of requester you are.
(f) Tell us how much you are willing to pay. To get the quickest
possible response, you must tell SBA how much money you are willing to
pay in fees when you make your request for records.
(g) If you don't tell us how much you are willing to pay and SBA
estimates that the fee will exceed $25.00, SBA will estimate the fee
and will not process your request until you tell SBA that you are
willing to pay the estimated amount, or until you narrow the request so
that the fee is less than $25.
(h) SBA will waive fees less than $25.
(i) If the fee is more than $250, or if you have a history of
failing to pay FOIA fees in a timely manner, SBA will ask you to remit
the estimated amount and any past due charges before sending you the
records.
(j) Who determines the fee? The SBA office which processes your
request.
(k) When do you pay the fee? SBA will bill you when it responds to
your request. You must pay within thirty-one calendar days.
(l) Failure to pay fees. (1) If you do not pay by the thirty-first
day after the billing date, SBA will charge interest at the maximum
rate allowed under Title 31 of the United States Code, section 3717.
(2) If you do not pay the amount due within ninety calendar days of
the due date, SBA may notify consumer credit reporting agencies of your
delinquency.
(3) If you owe fees for previous FOIA responses, SBA will not
respond to further requests unless you satisfy the amount due.
(m) Unsuccessful searches. If SBA's search for records is
unsuccessful, it will still bill you for the search.
(n) Multiple requests. If you make multiple requests at or about
the same time, SBA will aggregate your requests for records. In no case
will SBA give you more than the first two hours of search time, or more
than the first 100 pages of duplication without charge.
(o) Reduction of fees in the public interest. If SBA determines
that disclosure of the information you seek is in the public interest
because it is likely to contribute significantly to public
understanding of the operations or activities of the government, and
that you are not seeking the information in your own commercial
interests, SBA may waive or reduce the fee.
Sec. 102.9 How may I appeal a denial of my request for information or
a fee determination?
(a) You must write to the Chief, FOIA & PA Office at 409 Third
Street S.W., Suite 5900, Washington, D.C. 20416.
(b) The Chief must receive your written appeal within 45 calendar
days of the date of the SBA determination from which you are appealing.
(c)(1) If you are appealing a denial of your request for
information, the appeal must contain the following information:
(i) What records were denied.
(ii) The name and title of the individual who denied the request
and the address of his or her office.
(iii) Any other information you deem appropriate.
(2) If you are appealing a fee determination, the appeal must
contain the following information:
(i) The address of the office which made the fee determination from
which you are appealing.
(ii) The fee that office charged.
(iii) The fee, if any, you believe should have been charged.
(iv) The reasons you believe that your fee should be lower than the
fee which the Agency charged.
(v) Any other information you deem appropriate.
(d) The Chief will decide your appeal, unless the Chief originally
made the determination you are appealing. In that case, SBA's Assistant
Administrator for Hearings and Appeals will decide your appeal.
(e) SBA will decide your appeal within 20 working days from the
date of its receipt. SBA may have an additional 10 working days if
unusual circumstances require.
(f) (1) If you are appealing a decision to deny your request for
records, SBA will either:
(i) Give you the records you requested; or
(ii) Decline to give you the records you requested, tell you why
SBA has concluded that the records were exempt from disclosure under
FOIA, and tell you how to obtain judicial review of SBA's decision.
(2) If you are appealing a fee determination, SBA will either
charge the fee you request or charge another fee and explain why SBA
has concluded that the fee it has decided to charge is appropriate.
Sec. 102.10 How can I get the Public Index of SBA materials?
(a) The Public Index is a document which provides identifying
information about official documents which SBA has issued.
(b) SBA has administratively determined, as permitted by FOIA, that
periodic publication and distribution is unnecessary and impracticable.
(c) The Public Index is set forth in Appendix 3 of SBA Standard
Operating Procedure 40 03. You can obtain the Public Index from any SBA
office.
Sec. 102.11 What happens if I ask SBA for a record that another
Federal agency generated?
Such a request is a request directed to the wrong office, as that
term is used in
[[Page 2676]]
Sec. 102.3(c). SBA will forward your request to the generating agency.
Sec. 102.12 What happens if I subpoena records or testimony of
employees in connection with a civil lawsuit, criminal proceeding or
administrative proceeding to which SBA is not a party?
(a) The person to whom the subpoena is directed must consult with
SBA counsel in the relevant SBA office, who will seek approval for
compliance from the Associate General Counsel for Litigation. Except
where the subpoena requires the testimony of an employee of the
Inspector General's office, or records within the possession of the
Inspector General, the Associate General Counsel may delegate the
authorization for appropriate production of documents or testimony to
local SBA counsel.
(b) If SBA counsel approves compliance with the subpoena, SBA will
comply.
(c) If SBA counsel disapproves compliance with the subpoena, SBA
will not comply, and will base such noncompliance on an appropriate
legal basis such as privilege or a statute.
(d) SBA counsel must provide a copy of any subpoena relating to a
criminal matter to SBA's Inspector General prior to its return date.
Subpart B--The Privacy Act
Sec. 102.20 What privacy rights does this subpart regulate?
This subpart establishes SBA's policy and procedures safeguarding
an individual against an invasion of personal privacy.
(a) Except as otherwise provided by law or regulation, SBA will
permit you to do the following:
(1) Determine what records pertaining to you are collected,
maintained, used, or disseminated by SBA;
(2) Object when records pertaining to you are obtained by SBA for a
particular purpose and are proposed to be used or made available for
another purpose without your consent; and
(3) Gain access to information pertaining to you in records, have a
copy made of all or any portion of those records, and correct or amend
such records as appropriate.
(b) SBA will collect, maintain, use, or disseminate any record of
identifiable personal information in a manner that assures that such
action is for a necessary and lawful purpose, that the information is
current and accurate for its intended use, and that adequate safeguards
are provided to prevent misuse of such information.
(c) SBA will permit exemptions from the requirements of 5 U.S.C.
552a (Privacy Act of 1974) (``PA'') only where an important public
policy need for such exemption has been determined pursuant to or under
specific statutory authority.
Sec. 102.21 How will SBA maintain records?
SBA records will:
(a) Contain only such information about an individual as is
relevant and necessary to accomplish a purpose required of SBA by
statute, regulation, or by Executive Order of the President.
(b) Be comprised, to the maximum practical extent, of an
individual's own statements when the information may result in an
adverse determination about an individual's rights, benefits, or
privileges under a Federal program.
Sec. 102.22 When will SBA disclose records?
SBA will not disclose to anyone any record which is contained in a
system of records, except that it will disclose a record:
(a) To the person about whom the record is maintained, or to that
person's agent, within the limits discussed in this subpart;
(b) To those SBA employees who have a need for the record to
perform their duties;
(c) When required under 5 U.S.C. 552 (FOIA);
(d) For a routine use of the record compatible with the purpose for
which it was collected;
(e) To the Bureau of the Census for purposes of planning or
carrying out a census, survey, or related activity pursuant to Title
13, United States Code;
(f) To a recipient who has provided the Agency with advance
adequate written assurance that the record will be used solely as a
statistical research or reporting record, where the record is
transferred in a form that is not individually identifiable;
(g) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the U.S. Government, or for evaluation by the
Administrator of General Services or his or her designee to determine
whether the record has such value;
(h) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if:
(1) The activity is authorized by law; and
(2) The head of the agency or instrumentality has made a written
request to the PA Officer specifying the particular portion desired and
the law enforcement activity for which the record is sought;
(i) To a person showing compelling circumstances affecting the
health or safety of an individual. Upon disclosure, SBA will notify
such individual at his or her last known address;
(j) To either House of Congress, or, to the extent of matters
within its jurisdiction, any committee or subcommittee thereof, or any
joint committee of Congress or subcommittee of any such joint
committee;
(k) To the Comptroller General, or any of his or her authorized
representatives, in the course of the performance of the duties of the
General Accounting Office;
(l) Pursuant to the order of a court of competent jurisdiction; or
(m) To a consumer reporting agency in accordance with 31 U.S.C.
3711(f).
Sec. 102.23 Are there special rules about personnel and equal
employment opportunity files?
(a) The provisions of parts 293 and 297 of Title 5 of the Code of
Federal Regulations govern all SBA files which the Office of Personnel
Management determines are personnel files.
(b) The provisions of part 1611 of Title 29 of the Code of Federal
Regulations govern all Equal Employment Opportunity complaint files.
Sec. 102.24 What is a record?
A record is information which SBA maintains on an individual and
which includes either his name or an identifying symbol (such as a
fingerprint, a social security number (``SSN''), or a photograph.
Sec. 102.25 What is a system of records?
A system of records is one or more records which SBA routinely
keeps for official purposes, and from which SBA can retrieve records by
using a name or personal identifier.
Sec. 102.26 What does this subpart mean by ``person to whom a record
pertains'' or ``you''?
When this subpart refers to the ``person to whom a record
pertains'' or uses the pronoun ``you'', it refers to a United States
citizen or a lawfully admitted alien. It does not refer to a
corporation, partnership, or sole proprietorship.
Sec. 102.27 What records are partially exempt from the provisions of
the Privacy Act?
(a) The following systems of records are exempt from certain
provisions of the PA: Audit Reports (system of records #SBA 015),
Litigation and Claims Files (#SBA 070), Personnel
[[Page 2677]]
Security Files (#SBA 100), Security and Investigations Files (#SBA
120), Office of Inspector General Referrals (#SBA 125), Investigations
Division Management Information System (#SBA 130), and Standards of
Conduct Files (#SBA 140).
(b) The provisions of the PA from which these systems of records
are exempt are subsections (c)(3) (Accounting of Certain Disclosures),
(d) (Access to Records), (e)(1), 4G, H, and I (Agency Requirements),
and (f) (Agency Rules).
(c) The systems of records described in paragraph (a) of this
section are exempt from the provisions of the Privacy Act described in
paragraph (b) of this section in order to:
(1) Prevent the subject of investigations from frustrating the
investigatory process;
(2) Protect investigatory material compiled for law enforcement
purposes;
(3) Fulfill commitments made to protect the confidentiality of
sources and to maintain access to necessary sources of information; or
(4) Prevent interference with law enforcement proceedings.
(d) In addition to the foregoing exemptions in paragraphs (a)
through (c) of this section, the systems of records described in
paragraph (a) of this section numbered SBA 015, 100, 120, 125 and 130
are fully exempt from the Privacy Act to the extent that they contain:
(1) Information compiled to identify individual criminal offenders
and alleged offenders and consisting only of identifying data and
notations of arrests, confinement, release, and parole and probation
status;
(2) Information, including reports of informants and investigators,
associated with an identifiable individual compiled to investigate
criminal activity; or
(3) Reports compiled at any stage of the process of enforcement of
the criminal laws from arrest or indictment through release from
supervision associated with an identifiable individual.
(e) The systems of records described in paragraph (d) of this
section are fully exempt from the PA to the extent described in that
paragraph because they are records maintained by the Investigations
Division of the Inspector General, which is a component of SBA which
performs as its principal function activities pertaining to the
enforcement of criminal laws within the meaning of 5 U.S.C. 552a(j)(2).
They are exempt in order to: (1) Prevent the subjects of Office of
Inspector General (OIG) investigations from using the PA to frustrate
the investigative process;
(2) Protect the identity of Federal employees who furnish a
complaint or information to the OIG, consistent with section 7(b) of
the Inspector General Act of 1978, 5 U.S.C. App. I;
(3) Protect the confidentiality of other sources of information;
(4) Avoid endangering confidential sources and law enforcement
personnel;
(5) Prevent interference with law enforcement proceedings;
(6) Assure access to sources of confidential information, including
that contained in Federal, State, and local criminal law enforcement
information systems;
(7) Prevent the disclosure of investigative techniques; or
(8) Prevent the disclosure of classified information.
Sec. 102.28 What about information compiled for a civil action?
No individual shall have access to any information compiled by SBA
in reasonable anticipation of a civil action or proceeding. In the
event of a question as to disclosure, the Systems Manager for the
system of records involved will rely on the opinion of the General
Counsel or designee, and will also consult with the PA Officer.
Sec. 102.29 Who administers SBA's responsibilities under the Privacy
Act?
The PA Officer has overall responsibility for administering the PA
for SBA. A Systems Manager is responsible for administering the PA as
to systems of records within an SBA Office.
Sec. 102.30 How can I write to the Privacy Act Officer?
You can write to the PA Officer at 409 Third Street S.W., Suite
5900, Washington, D.C. 20416.
Sec. 102.31 Who appoints Systems Managers?
The senior official in each field office and each Headquarters
program area designates himself or herself or appoints another as the
Systems Manager for that office.
Sec. 102.32 What do Systems Managers do?
Systems Managers have the following responsibilities, among others,
for the offices for which they are appointed:
(a) Acting as the initial contact person for individuals seeking
access to or amendment of their records.
(b) Responding to requests for information.
(c) Discussing the availability of records with individuals.
(d) Amending records in cases where amended information is not
controversial and does not involve policy decisionmaking.
(e) Informing individuals of any reproduction fees to be charged.
(f) Assuring that their systems of records contain no record
describing how any individual exercises rights guaranteed by the First
Amendment unless expressly authorized by statute or by the individual
about whom the record is maintained, or unless pertinent to and within
the scope of an authorized law enforcement activity.
Sec. 102.33 How can I write to a Systems Manager?
You can write to a Systems Manager by writing to the SBA Office
which maintains the record you are seeking. If you do not know which
office that is, or you do not know the address of that office, you can
write to the PA Officer at 409 3rd Street SW., Suite 5900, Washington,
D.C. 20416, who will forward your request to the proper Systems
Manager.
Sec. 102.34 How can I see records kept on me?
(a) You may look at any information pertaining to yourself
contained in any SBA system of records unless some law or regulation
prohibits it.
(b) In order to see this information, you must ask for it in
writing, identifying what records you want. The writing should be
addressed to the Systems Manager overseeing the system of records
containing the record you wish to see.
(c) The Systems Manager (or, when appropriate, the PA Officer) may
ask for more specific information about the system of records in which
the document you are seeking is kept, and may ask you for
identification. The Systems Manager may ask you for your social
security number but you are not obliged to present it and your request
will not be denied simply because you do not provide it. The Systems
Manager may, however, deny your request if he or she cannot determine
that you are the person to whom the information pertains.
Sec. 102.35 How long will it take SBA to respond to my request?
The Systems Manager will respond within 10 working days.
Sec. 102.36 How will SBA respond to my request?
The Systems Manager will inform you that:
(a) Your request is denied, in which case he or she will set forth
the reasons for denial and your rights to appeal; or
(b) Your request is granted and you may view your record, in which
case he
[[Page 2678]]
or she will set forth the time and date for you to review your record
in the presence of an SBA employee; or
(c) Your request is granted and, unless you object, SBA will mail
you a copy of your record. SBA will mail you your record only if it
determines that there are no other reasonable means for you to obtain
access to your record.
Sec. 102.37 How may I appeal a decision to deny me access to my
records?
Your appeal should be in writing and should set forth any
information you think would show that you should have access to your
records.
Sec. 102.38 To whom should my appeal be addressed?
(a) Denial of a personnel file. Address an appeal of a denial of a
request for a personnel file to the Office of Personnel Management,
1900 E Street N.W., Washington, D.C. 20006.
(b) Denial of an Equal Employment Opportunity Complaint File.
Address an appeal of a denial of a request for an Equal Employment
Opportunity Complaint File to the Equal Employment Opportunity
Commission, 1801 L Street N.W., Washington, D.C. 20036.
(c) All other appeals. Appeal the denial of any other record to the
PA Officer. See Sec. 102.30.
Sec. 102.39 By when must I appeal to the Privacy Act Officer?
Your appeal must reach the PA Officer on or before 30 calendar days
after the date the denial was issued. If your appeal is based on the
failure of the Systems Manager to answer your request, your appeal must
reach the PA Officer on or before 90 calendar days after the date by
which the Systems Manager should have responded under Sec. 102.35.
Sec. 102.40 When will SBA respond to my appeal?
The PA Officer will respond to you within 30 working days of the
date when your appeal was received.
Sec. 102.41 How will SBA respond to my appeal?
The PA Officer will inform you that:
(a) Your request is denied, in which case the reasons for denial
will be set forth along with your rights to judicial review of SBA's
decision; or
(b) Your request is granted and you may view your record, in which
case the time and date for you to review your records in the presence
of an SBA employee will be set forth; or
(c) Your request is granted and, unless you object, SBA will mail
you a copy of your record. SBA will mail you your record only if it
determines that there are no other reasonable means for you to obtain
access to your record.
Sec. 102.42 How can I get SBA to amend a record kept on me?
You can petition to have records kept on you amended by writing to
the Systems Manager who oversees the system of records in which the
record you wish amended is kept. If you are unable to determine who
that Systems Manager is, you may send your petition to the PA Officer,
who will forward it to the right Systems Manager. See Sec. 102.30.
Sec. 102.43 What should my petition say?
Your petition should include the following:
(a) In what system of records the record you want amended is kept.
(b) What record you want amended.
(c) What specific information in that record you want amended.
(d) Why you want the record amended.
(e) Any information you have, including copies of evidence, which
you think will persuade the Systems Manager to amend the record.
(f) What the record should say.
Sec. 102.44 For what reasons will SBA amend my record?
SBA seeks to maintain only accurate, complete, and up-to-date
records which are relevant to accomplish some purpose required by law,
regulation, or Executive Order of the President. There are four grounds
for amending a record. They are:
(a) The record is not accurate.
(b) The record is not relevant to any legitimate SBA concern.
(c) The record is out-of-date. For example, there may have been
events since the date of the record which have affected some of the
information contained in the record.
(d) The record is incomplete. There may be additional information
relevant to the material contained in the record.
Sec. 102.45 Will SBA ask me for more information after I make my
request?
Perhaps, in which case the procedures of Sec. 102.34(c) shall
apply.
Sec. 102.46 When will SBA respond to my request?
The Systems Manager will acknowledge receipt of your request within
10 working days and issue a written response within 30 working days.
Sec. 102.47 How will SBA respond to my request?
The Systems Manager will:
(a) Make the amendment you request, and send all individuals who
had previously received a copy of that record a copy of the amended
record; or
(b) Amend the record, in a different manner, sending all
individuals who had previously received a copy of that record a copy of
the amended record and, in addition, telling you why your request was
not granted in full and what appeal rights you have; or
(c) Decline to amend the record, explaining why your request was
not granted and telling you of your appeal rights.
Sec. 102.48 How do I appeal a refusal to amend a record kept on me?
Your appeal should be in writing and include the following:
(a) All of the information contained in your original request to
amend the record;
(b) Any response of the Systems Manager, including any reasons for
denying your request; and
(c) Any information you wish to submit in response to the Systems
Manager's findings.
Sec. 102.49 To whom should I address my appeal?
(a) Personnel file. Address your appeal to the Office of Personnel
Management, 1900 E Street NW., Washington, DC 20006.
(b) Equal Employment Opportunity Complaint File. Address your
appeal to the Equal Employment Opportunity Commission, 1801 L Street
NW., Washington, DC 20036.
(c) All other appeals. Address your appeal to the PA Officer. See
Sec. 102.30.
Sec. 102.50 By when must I submit my appeal?
Your appeal must be received by the PA Officer within 30 calendar
days of the date the Systems Manager declined to amend your records, or
within 90 calendar days of the date the Systems Manager should have
responded under Sec. 102.46 if the Systems Manager did not so respond.
Sec. 102.51 By what standards will the Privacy Act Officer review my
appeal?
The PA Officer will decide your appeal using the criteria of
accuracy, relevance, timeliness, and completeness described in
Sec. 102.44. The PA Officer will review all relevant information and
may seek the views of other SBA personnel. The PA Officer may review
information not available to or not used by the Systems Manager.
Sec. 102.52 When will SBA respond to my appeal?
The PA Officer will respond to your appeal within 30 working days
of its
[[Page 2679]]
receipt, unless the Administrator determines that unusual circumstances
exist, in which case the PA Officer will notify you of the presence of
these unusual circumstances within 30 working days of the date upon
which he or she received your appeal, and will respond to your appeal
within 60 working days of the date of receipt.
Sec. 102.53 How will SBA respond to my appeal?
The PA Officer will:
(a) Make the amendment you request, sending all individuals who had
previously received a copy of that record a copy of the amended record;
or
(b) Amend the record in a different manner; or decline to amend it
at all:
(1) Sending all individuals who had previously received a copy of
that record a copy of the amended record;
(2) Telling you why your request was not granted in full and that
you can seek judicial review; and
(3) Marking the areas of dispute, including your statement of
disagreement in the file, and, if appropriate, a concise statement of
why SBA refused to amend the record as you requested, sending this
material to all individuals who had previously received a copy of that
record.
Sec. 102.54 How can I obtain judicial review of an SBA Privacy Act
decision?
You may bring a civil action against SBA in a United States
district court if the SBA:
(a) Makes a final determination not to provide you with access to
or to amend your record in accordance with your request;
(b) Fails to maintain your records with such accuracy, relevance,
timeliness and completeness as is necessary to assure fairness in any
determination relating to the qualifications, character, rights,
opportunities of, or benefits to you that may be made on the basis of
such records, and consequently a determination is made which harms you;
or
(c) Fails to comply with any other provisions of the PA (5 U.S.C.
552a) or the implementing regulations in this subpart, in such a way as
to cause harm to you.
Sec. 102.55 What must SBA tell the individuals from whom it collects
information?
When SBA collects information from an individual, it must, either
on the form which collects the information or on a separate form which
the individual may keep, state:
(a) Whether disclosure of the information is voluntary or
mandatory;
(b) By what authority SBA is collecting the information;
(c) For what principal purpose or purposes SBA is collecting the
information;
(d) What routine uses might be made of that information; and
(e) What will happen if the information isn't supplied.
Sec. 102.56 Will SBA release my name or address?
No, unless compelled to by law.
Sec. 102.57 Do I have to give SBA my SSN?
(a) No. You need not give SBA your SSN, even if SBA asks for it.
(b) If SBA asks you for your SSN, it must tell you under what
authority it seeks your SSN, and for what purpose.
(c) SBA cannot withhold a benefit solely because you refuse to tell
it your SSN.
Sec. 102.58 When will SBA show personnel records to a representative?
(a) If you go to where the records are kept, SBA will permit one
person of your choosing to inspect the records with you.
(b) If you want your representative to inspect the records without
you, you must give SBA a written authorization.
(c) SBA will mail a copy of the record to your representative if
you direct SBA to do so in writing.
(d) You may inspect the records of a minor if you present evidence
that you are the custodial parent (including joint custodial parent) or
legal guardian of that minor. An affidavit or declaration, signed by
you under penalty of perjury, is normally sufficient evidence unless
SBA has information to the contrary.
(e) You may inspect the records of an adult incompetent if you
present evidence that you are the legal guardian of that person. A
guardianship order is sufficient evidence of your guardianship. Other
evidence may be considered.
Sec. 102.59 What fees will SBA charge me for my records?
SBA will charge you only for photocopying at the rate of 10 cents
per page. SBA will not charge you for finding or reviewing your
records. Fees less than $25 will be waived.
Sec. 102.60 May I be informed of disclosures made of my records?
SBA will tell you what disclosures it made of your records if you
ask, except that SBA will not tell you about disclosures it made to
another federal agency or government entity for law enforcement
purposes.
Sec. 102.61 Are there Matching Program procedures?
(a) SBA will comply with the Computer Matching and Privacy
Protection Act of 1988 (5 U.S.C. 552a, 552a notes). This Act
establishes procedures federal agencies must use if they want to match
their computer lists.
(b) If SBA adopts any procedures to supplement its compliance with
the Computer Matching and Privacy Protection Act of 1988 which are not
mandated in that Act, SBA will publish those procedures in Standard
Operating Procedure (SOP) 40 04. You can get a copy of SOP 40 04 at any
SBA Office.
(c) If SBA enters into an agreement with any federal agency,
contractor of any federal agency, state or local government, or agency
of any state or local government to disclose records for purposes of a
computer matching program, SBA will make a copy of that agreement
available to the general public. You can get a copy of any such
agreement by writing to the Privacy Act Officer.
PART 137--[REMOVED]
2. Part 137 is removed.
Dated: January 19, 1996.
Philip Lader,
Administrator.
[FR Doc. 96-1159 Filed 1-26-96; 8:45 am]
BILLING CODE 8025-01-P
Complete official Federal Register PDF
FR Doc. 96-1158 Rules of Procedure Governing Cases Before the Office of Hearings and Appeals
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2682-2691]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1158]
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SMALL BUSINESS ADMINISTRATION
13 CFR Parts 112, 113, 124, 132, 134, and 136
Rules of Procedure Governing Cases Before the Office of Hearings
and Appeals
AGENCY: Small Business Administration.
ACTION: Final rule.
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SUMMARY: In response to President Clinton's government-wide regulatory
reform initiative, the Small Business Administration (SBA) has
completed a page-by-page, line-by-line review of all of its existing
regulations to determine which might be revised or eliminated. This
final rule essentially reorganizes all but two of the regulations
pertaining to procedures before the Office of Hearings and Appeals
(OHA) and consolidates them into one part. In addition, the rule
clarifies, simplifies, and significantly shortens those regulations. A
number of substantive changes are also made.
DATES: This rule is effective February 28, 1996. This rule applies with
respect to all cases filed with OHA on or after February 28, 1996.
FOR FURTHER INFORMATION CONTACT: Gary Fox, Chief Counsel for Special
Litigation, Office of General Counsel, Small Business Administration,
409 Third Street SW., Washington, D.C. 20416, at (202) 205-6643.
SUPPLEMENTARY INFORMATION: On March 4, 1995, President Clinton issued a
memorandum to Federal agencies, directing them to simplify their
regulations. In response to this directive, SBA has completed a page-
by-page, line-by-line review of all of its existing regulations to
determine which might be revised or eliminated. This rule consolidates
most existing regulations governing proceedings before OHA into part
134 with the exception of those solely relating to 8(a) program
proceedings, which are set forth in part 124 of this chapter, and those
solely pertaining to proceedings under the Program Fraud Civil Remedies
Act, which are contained in part 142 of this chapter. This rule also
clarifies, simplifies, and revises the current rules, reorganizes
sections for ease of use, and eliminates unnecessary provisions.
The rule is divided into four subparts. Subpart A contains general
rules. Subpart B contains rules of practice generally applicable to all
cases before OHA except size and SIC code appeals. However, as set
forth in Sec. 134.201, in the case of a conflict between a particular
rule in part 134, and a rule of procedure pertaining to OHA appearing
in another part of this title, the latter rule shall govern. Subpart C
contains the rules applicable to size and SIC code appeals. Subpart D
contains the rules for implementation of the Equal Access to Justice
Act, currently contained in part 132.
Proposed changes to parts 132 and 134 were published in the Federal
Register on November 27, 1995 (60 FR 58282). The public was invited to
comment during a thirty-day comment period. SBA received no comments
concerning these parts during that time period. Accordingly, the
following final rule contains no changes, other than minor
clarifications, technical corrections, and deletions of unnecessary
language.
The proposed rule consolidated into part 134 rules of practice only
applicable to 8(a) program appeals. However, part 124 of chapter 13 is
not being amended at this time and, thus, certain of the provisions in
the proposed rule which solely related to the 8(a) program have been
deleted as unnecessary in light of the existing part 124. Specifically,
proposed Secs. 134.104, 134.203(a)(2), 134.213, 134.222 (a) and (b),
134.223 (c) and (d), 134.224, 134.226(b), and 134.227(a) have been
deleted, in whole or in part, so as to eliminate references to 8(a)
program appeals.
For a detailed description of the other changes made to this rule,
please refer to SBA's proposed rule, published at 60 FR 58282 (November
27, 1995).
Finally, parts 112, 113, 124, and 136 are amended so that the
citations, within those parts, to specific sections of part 134 will
correspond to the section numbers set forth in this rule.
Compliance With Executive Orders 12612, 12778, and 12866, the
Regulatory Flexibility Act (5 U.S.C. 601 et seq.), and the Paperwork
Reduction Act (44 U.S.C. Ch. 35)
SBA certifies that this rule does not have a significant economic
impact on a substantial number of small entities within the meaning of
Executive Order 12866 or the Regulatory Flexibility Act, 5 U.S.C. 601
et seq. This rule would reorganize and simplify the rules governing
procedures before SBA's Office of Hearings and Appeals. Contracting
opportunities and financial assistance for small business are not
affected by this rule. Therefore, it is not likely to have an annual
economic effect of $100 million or more, result in a major increase in
costs or prices, or have a significant adverse effect on competition or
the United States economy.
For purposes of the Paperwork Reduction Act, 44 U.S.C. Ch. 35, SBA
certifies that this rule contains no new reporting or recordkeeping
requirements.
For purposes of Executive Order 12612, SBA certifies that this rule
does not have any federalism implications warranting the preparation of
a Federalism Assessment.
For purposes of Executive Order 12778, SBA certifies that this rule
is drafted, to the extent practicable, in accordance with the standards
set forth in section 2 of that Order.
[[Page 2683]]
List of Subjects
13 CFR Part 132
Claims, Equal Access to Justice, Lawyers.
13 CFR Part 134
Administrative practice and procedure, Organization and functions
(Government agencies).
For the above reasons, and under the authority of 15 U.S.C.
634(b)(6), SBA hereby amends 13 CFR Chapter I as follows:
1. Part 134 is revised to read as follows:
PART 134--RULES OF PROCEDURE GOVERNING CASES BEFORE THE OFFICE OF
HEARINGS AND APPEALS
Subpart A--General Rules
Sec.
134.101 Definitions.
134.102 Jurisdiction of OHA.
134.103 Rules applicable to time periods provided in this part.
Subpart B--Rules of Practice for Most Cases
134.201 Scope of the rules in this subpart B.
134.202 Commencement of cases.
134.203 The petition.
134.204 Service and filing requirements.
134.205 Motion for a more definite statement.
134.206 The answer.
134.207 Amendments and supplemental pleadings.
134.208 Representation in cases before OHA.
134.209 Requirement of signature.
134.210 Intervention.
134.211 Motions.
134.212 Summary decision.
134.213 Discovery.
134.214 Subpoenas.
134.215 Interlocutory appeals.
134.216 Alternative dispute resolution procedures.
134.217 Settlement.
134.218 Judges.
134.219 Sanctions.
134.220 Prohibition against ex parte communications.
134.221 Prehearing conferences.
134.222 Oral hearing.
134.223 Evidence.
134.224 Standards for decision.
134.225 The record.
134.226 The decision.
134.227 Finality of decisions.
134.228 Review of initial decisions.
134.229 Termination of jurisdiction.
Subpart C--Rules of Practice for Appeals From Size Determinations and
SIC Code Designations
134.301 Scope of the rules in this subpart C.
134.302 Who may appeal.
134.303 No absolute right to an appeal from a size determination.
134.304 Commencement of appeals from size determinations and SIC
code designations.
134.305 The appeal petition.
134.306 Transmission of the case file.
134.307 Service and filing requirements.
134.308 Limitation on new evidence and adverse inference from non-
submission in appeals from size determinations.
134.309 Response to an appeal petition.
134.310 Discovery.
134.311 Oral hearings.
134.312 Evidence.
134.313 Applicability of subpart B provisions.
134.314 Standard of review.
134.315 The record.
134.316 The decision.
134.317 Termination of jurisdiction.
134.318 Return of the case file.
Subpart D--Implementation of the Equal Access to Justice Act
134.401 What is the purpose of this subpart?
134.402 Under what circumstances may I apply for reimbursement?
134.403 What is an adversary adjudication?
134.404 What benefits may I claim?
134.405 Under what circumstances are fees and expenses
reimbursable?
134.406 Who is eligible for possible reimbursement?
134.407 How do I know which eligibility requirement applies to me?
134.408 What are the special rules for calculating net worth and
number of employees?
134.409 What is the difference between a fee and an expense?
134.410 Are there limitations on reimbursement for fees and
expenses?
134.411 What should I include in my application for an award?
134.412 What must a net worth exhibit contain?
134.413 What documentation do I need for fees and expenses?
134.414 What deadlines apply to my application for an award and
where do I send it?
134.415 How will proceedings relating to my application for fees
and expenses be conducted?
134.416 How will I know if I receive an award?
134.417 May I seek review of the ALJ's decision on my award?
134.418 How are awards paid?
Authority: 5 U.S.C. 504; 15 U.S.C. 632, 634(b)(6), and 637(a).
Subpart A--General Rules
Sec. 134.101 Definitions.
As used in this part:
AA/OHA means the Assistant Administrator for OHA.
Act means the Small Business Act, 15 U.S.C. 631 et seq.
Address means the primary home or business address of a person or
entity, including the street location or postal box number, city or
town, state, and postal zip code.
Area Office means a Government Contracting Area Office or a
Disaster Area Office of the Small Business Administration.
Day means a calendar day, unless a Judge specifies otherwise.
Hearing means the presentation and consideration of argument and
evidence. A hearing need not include live testimony or argument.
Investment Act means the Small Business Investment Act of 1958, 15
U.S.C. 661 et seq.
Judge means an Administrative Law Judge or an Administrative Judge
of OHA, or the AA/OHA when he or she acts as an Administrative Judge.
OHA means the Office of Hearings and Appeals.
Party means the petitioner, respondent, or intervenor.
Person means an individual or any form of business entity.
Petition means a written complaint, a written appeal from an SBA
determination, or a written request for the initiation of proceedings
before OHA.
Pleading means a petition, an order to show cause commencing a
case, an appeal petition, an answer, or any amendment or supplement to
those documents.
Respondent means any person or governmental agency against which a
case has been brought before OHA.
SBA means the Small Business Administration.
SIC code means Standard Industrial Classification code.
Size determination means a formal size determination made by an
Area Office.
Sec. 134.102 Jurisdiction of OHA.
OHA has authority to conduct proceedings in the following cases:
(a) The revocation or suspension of Small Business Investment
Company licenses, cease and desist orders, and the removal or
suspension of directors and officers of licensees, under the Investment
Act and part 107 of this chapter;
(b) Alleged violations of those civil rights laws which are
effectuated by parts 112, 113, 117, and 136 of this chapter;
(c) The revocation of the privilege of a person to conduct business
with SBA under the Act and part 103 of this chapter;
(d) The eligibility of, or preferred or certified status of, any
bank or non-bank lender to continue to participate in SBA loan programs
under the Act and part 120 of this chapter;
(e) The suspension or termination of surety bond program
participants under
[[Page 2684]]
15 U.S.C. 694a et seq. and part 115 of this chapter;
(f) The rights, privileges, or obligations of development companies
under section 504 of the Investment Act and part 120, subpart H, of
this chapter;
(g) Allowance of fees and expenses under the Equal Access to
Justice Act, 5 U.S.C. 504;
(h) Debarment from appearance before the SBA because of post-
employment restrictions under 18 U.S.C. 207 and part 105 of this
chapter;
(i) Collection of debts owed to SBA and the United States under the
Debt Collection Act of 1982 and part 140 of this chapter;
(j) Appeals from the following SBA 8(a) program determinations
under the Act and part 124 of this chapter:
(1) Denial of program admission based solely on a negative finding
as to social disadvantage, economic disadvantage, ownership or control;
program termination; program graduation; or denial of a waiver of the
requirement to perform to completion an 8(a) contract; and
(2) Program suspension;
(k) Appeals from size determinations and SIC code designations
under part 121 of this chapter;
(l) The imposition of civil penalties and assessments against
persons who make false claims or statements to SBA under the Program
Fraud Civil Remedies Act, 31 U.S.C. 3801-3812 and part 142 of this
chapter; and
(m) Any other hearing, determination, or appeal proceeding referred
to OHA by the Administrator of SBA.
Sec. 134.103 Rules applicable to time periods provided in this part.
(a) The day from which the time period is computed is excluded, but
the last business day is counted, excluding Saturday, Sunday, or
Federal holiday.
(b) At the Judge's initiative, or upon the motion of a party
showing good cause, the Judge may modify any of the applicable time
limits, other than those established by statute and those governing
when a case may be commenced. Any motion to extend a time limit must be
filed and served before the expiration of that time limit.
Subpart B--Rules of Practice for Most Cases
Sec. 134.201 Scope of the rules in this subpart B.
The rules in this subpart generally apply to all proceedings over
which OHA has jurisdiction, except for appeals from size determinations
and SIC code designations. Specific procedural rules pertaining to 8(a)
program appeals and to proceedings under the Program Fraud Civil
Remedies Act are set forth, respectively, in parts 124 and 142 of this
chapter. In the case of a conflict between a particular rule in this
part, and a rule of procedure pertaining to OHA appearing in another
part of this chapter, the latter rule shall govern.
Sec. 134.202 Commencement of cases.
A case may be commenced by filing a written petition within the
following time periods:
(a) Except as provided by paragraphs (b) through (d) of this
section, no later than 45 days from the date of service of the SBA
action or determination to which the petition relates;
(b) In debt collection proceedings under part 140 of this chapter,
no later than 15 days after receipt of a notice of indebtedness and
intention to collect such debt by salary or administrative offset;
(c) In applications for an award of fees pursuant to subpart D of
this part, no later than 30 days after the decision to which it applies
becomes final;
(d) For 8(a) program suspension proceedings, see Sec. 124.211 of
this chapter.
Sec. 134.203 The petition.
(a) A petition must contain the following:
(1) The basis of OHA's jurisdiction;
(2) A clear and concise statement of the factual basis of the case;
(3) The relief being sought; and
(4) The name, address, telephone number, and signature of the
petitioner or its attorney.
(b) A petition which does not contain all of the information
required by paragraph (a) of this section may be dismissed, with or
without prejudice, at the Judge's own initiative, or upon motion of the
respondent.
Sec. 134.204 Service and filing requirements.
(a) Service. Each party is responsible for the service of its
pleadings and other submissions upon all other parties or their
attorneys. Unless otherwise ordered by the Judge, service is made by
providing each party, or its attorney, with a copy of the pleading or
other submission by personal delivery, first- class mail, express mail,
facsimile transmission, or commercial delivery service. Service by mail
must be directed as follows:
(1) To a party's last-known residence or business address if it has
not yet appeared in the case, or to the address of a party which has
appeared as shown in its submission;
(2) If a party has appeared in the case through an attorney, to the
address of the attorney shown in the party's submission or in a notice
of appearance;
(3) If SBA is the party, unless an attorney has been specified in
SBA's submissions to OHA, by mailing to: Office of General Counsel,
Small Business Administration, 409 Third Street, S.W., Washington, D.C.
20416.
(b) Filing. (1) All pleadings and other submissions must be filed
with OHA by personal delivery, first-class mail, express mail,
facsimile transmission, or commercial delivery service. Filing may only
be accomplished at the following address: Office of Hearings and
Appeals, Small Business Administration, 409 Third Street, S.W.,
Washington, D.C. 20416.
(2) If filing is by personal delivery or commercial delivery
service, such filing must be accomplished between the hours of 8:30
a.m. and 5:00 p.m. If filing is by facsimile transmission, the
telephone number to be used may be obtained by calling OHA.
(c) Copies. Only the original of a pleading or other submission
must be filed with OHA. In the case of a document offered as evidence,
an authenticated copy may be filed instead of the original.
(d) Certificate of service. A signed certificate stating how and
when service was made on all parties must be attached to each pleading
or other submission filed with OHA.
(e) Date. Unless otherwise specified by the Judge, the date of
service or filing is as follows:
(1) If by facsimile transmission, the date of transmission.
(2) If by first-class mail, the date of postmark. Where the
postmark is illegible or incomplete, there is a rebuttable presumption
that the postmark was dated five days prior to the date of receipt.
(3) If by personal delivery, express mail, or commercial delivery
service, the date of receipt.
(f) Confidential information. Any information in pleadings or other
submissions that is believed by the submitting party to constitute
proprietary or confidential information need not be served upon parties
so long as the deletions are clearly identified and generally described
in the documents which are served. Upon motion, the Judge may direct
that the withheld information be provided to other parties, subject to
any appropriate protective order.
Sec. 134.205 Motion for a more definite statement.
(a) Procedure. No later than 20 days after service of the petition
or order to show cause, the respondent may serve
[[Page 2685]]
and file a motion requesting a more definite statement of particular
allegations in the petition.
(b) Stay. The serving and filing of a motion for a more definite
statement stays the time for serving and filing an answer. The Judge
will establish the time for serving and filing an answer.
Sec. 134.206 The answer.
(a) A respondent must serve and file an answer within 45 days after
the service of a petition or order to show cause, except that debt
collection proceeding answers are due within 30 days.
(b) The answer must contain the following:
(1) An admission or denial of each of the factual allegations
contained in the petition or order to show cause, or a statement that
the respondent denies knowledge or information sufficient to determine
the truth of a particular allegation;
(2) Any affirmative defenses; and
(3) The name, address, telephone number, and signature of the
respondent or its attorney.
(c) Allegations in the petition or order to show cause which are
not answered in accordance with paragraph (b)(1) of this section will
be deemed admitted unless injustice would occur.
(d) Upon an appeal from an SBA determination concerning the 8(a)
program, SBA must serve and file the administrative record pertaining
to that determination within the same time period applicable to the
service and filing of its answer. If SBA fails to do so, the Judge will
issue an order directing SBA to serve and file the administrative
record by a specified date.
(e) If the respondent fails to serve and file an answer within the
time period set forth in paragraph (a) of this section, or within any
extended time period granted by the Judge, that failure will constitute
a default. Following such a default, the respondent may be prohibited
from participating further in the case, except to serve and file the
administrative record in accordance with paragraph (d) of this section.
Sec. 134.207 Amendments and supplemental pleadings.
(a) Amendments. Upon motion, and under terms needed to avoid
prejudice to any non-moving party, the Judge may permit the service and
filing of amendments to pleadings. However, an amendment will not be
permitted if it would cause unreasonable delay in the determination of
the matter.
(b) Supplements. Upon motion, and under terms needed to avoid
prejudice to any non-moving party, the Judge may permit the service and
filing of a supplemental pleading setting forth relevant transactions
or occurrences that have taken place since the filing of the original
pleading.
(c) 8(a) appeals. In 8(a) program appeals, amendments to pleadings
and supplemental pleadings will be permitted by the Judge only upon a
showing of good cause.
(d) Answer. In an order permitting the serving and filing of an
amended or supplemented petition or order to show cause, the Judge will
establish the time for serving and filing an answer.
Sec. 134.208 Representation in cases before OHA.
(a) A party may represent itself, or be represented by a duly
licensed attorney. A member of a partnership may represent the
partnership, and an officer may represent a corporation, trust, or
association.
(b) An attorney for a party who did not appear on behalf of that
party in the party's first filing with OHA must serve and file a
written notice of appearance.
(c) An attorney seeking to withdraw from a case must serve and file
a motion for the withdrawal of his or her appearance.
Sec. 134.209 Requirement of signature.
Every written submission to OHA, other than evidence, must be
signed by the party filing that submission, or by the party's attorney.
By signing the submission, a party or its attorney attests that the
statements and allegations in that submission are true to the best of
its knowledge, and that the submission is not being filed for the
purpose of delay or harassment.
Sec. 134.210 Intervention.
(a) By SBA. SBA may intervene as of right at any time in any case
until final decision.
(b) By interested persons. Any individual, partnership,
association, corporation, trust, or governmental agency may move to
intervene at any time until final decision by serving and filing a
motion to intervene containing a statement of the movant's interest in
the case and the necessity for intervention to protect such interest.
The Judge may grant leave to intervene upon such terms as he or she
deems appropriate.
Sec. 134.211 Motions.
(a) Contents. All motions must state the relief being requested, as
well as the grounds and any authority for that relief.
(b) Response. No later than 20 days after the service of a motion,
all non-moving parties must serve and file a response or be deemed to
have consented to the relief sought. Unless the Judge directs
otherwise, the moving party will have no right to reply to a response,
nor will oral argument be heard on the motion.
(c) Service of orders. OHA will serve upon all parties any written
order issued in response to a motion.
Sec. 134.212 Summary decision.
(a) Grounds. A party may move for summary decision at any time as
to all or any portion of the case, on the grounds that there is no
genuine issue as to any material fact, and that the moving party is
entitled to a decision in its favor as a matter of law.
(b) Contents of motion. The motion must include a statement of the
material facts believed not to be disputed, and relevant law.
Supporting affidavits may also be included.
(c) Cross-motions. In its response to a motion for summary
decision, a party may cross-move for summary decision. The initial
moving party may serve and file a response to any cross-motion for
summary decision within 20 days after the service of that cross-motion.
(d) Stay. A motion for summary decision stays the time to answer.
The Judge will establish the time for serving and filing an answer in
the order determining the motion for summary decision.
Sec. 134.213 Discovery.
(a) Motion. A party may obtain discovery only upon motion, and for
good cause shown. For 8(a) program appeals other than those involving
suspensions, see Sec. 124.210 of this chapter.
(b) Forms. The forms of discovery which a Judge can order under
paragraph (a) of this section include requests for admissions, requests
for production of documents, interrogatories, and depositions.
(c) Limitations. Discovery may be limited in accordance with the
terms of a protective order. Further, privileged information and
irrelevant issues or facts will not be subject to discovery.
(d) Disputes. If a dispute should arise between the parties over a
particular discovery request, the party seeking discovery may serve and
file a motion to compel discovery. Discovery may be opposed on the
grounds of harassment, needless embarrassment, irrelevance, undue
burden or expense, privilege, or confidentiality.
Sec. 134.214 Subpoenas.
(a) Availability. At the request of a party, or upon his or her own
initiative, a Judge may issue a subpoena requiring
[[Page 2686]]
a witness to appear and testify, or to produce particular documents, at
a specified time and place.
(b) Requests. A request for the issuance of a subpoena must be
written, served upon all parties, and filed. The request must clearly
identify the witness and any documents to be subpoenaed, and must set
forth the relevance of the testimony or documents sought.
(c) Service. A subpoena may only be served by personal delivery.
The individual making service shall prepare an affidavit stating the
date, time, and place of the service. The party which obtained the
subpoena must serve upon all other parties, and file with OHA, a copy
of the subpoena and affidavit of service within 2 days after service is
made.
(d) Motion to quash. A motion to limit or quash a subpoena must be
served and filed within 10 days after service of the subpoena, or by
the return date of the subpoena, whichever date comes first. Any
response to the motion must be served and filed within 10 days after
service of the motion, unless a shorter time is specified by the Judge.
No oral argument will be heard on the motion unless the Judge directs
otherwise.
Sec. 134.215 Interlocutory appeals.
(a) General. A motion for leave to take an interlocutory appeal
from a Judge's ruling will not be entertained in those proceedings in
which OHA issues final decisions. In all other cases, an interlocutory
appeal will be permitted only if, upon motion by a party, or upon the
Judge's own initiative, the Judge certifies that his or her ruling
raises a question which is immediately appealable. Interlocutory
appeals will be decided by the AA/OHA or a designee.
(b) Motion for certification. A party must serve and file a motion
for certification no later than 20 days after issuance of the ruling to
which the motion applies. A denial of the motion does not preclude
objections to the ruling in any subsequent request for review of an
initial decision.
(c) Basis for certification. The Judge will certify a ruling for
interlocutory appeal only if he or she determines that:
(1) The ruling involves an important question of law or policy
about which there is substantial ground for a difference of opinion;
and
(2) An interlocutory appeal will materially expedite resolution of
the case, or denial of an interlocutory appeal would cause undue
hardship to a party.
(d) Stay of proceedings. A stay while an interlocutory appeal is
pending will be at the discretion of the Judge.
Sec. 134.216 Alternative dispute resolution procedures.
At any time during the pendency of a case, the parties may submit a
joint motion requesting that the Judge permit the use of alternative
dispute resolution procedures to assist in resolving the matter. If the
motion is granted, the Judge will also stay the proceedings before OHA,
in whole or in part, as he or she deems appropriate, pending the
outcome of the alternative dispute resolution procedures.
Sec. 134.217 Settlement.
At any time during the pendency of a case, the parties may submit a
settlement agreement, signed by all settling parties, to the Judge.
Settlement negotiations, and rejected settlement agreements, are not
admissible into evidence.
Sec. 134.218 Judges.
(a) Assignment. The AA/OHA will assign all cases subject to the
Administrative Procedure Act, 5 U.S.C. 551 et seq., to an
Administrative Law Judge. The AA/OHA will assign all other cases before
OHA to either an Administrative Law Judge or an Administrative Judge,
or, if the AA/OHA is a duly licensed attorney, to himself or herself.
(b) Authority. Except as otherwise limited by this part, or by
statute or other regulation, a Judge has the authority to take all
appropriate action to ensure the efficient, prompt, and fair
determination of a case, including, but not limited to, the authority
to administer oaths and affirmations and to subpoena and examine
witnesses.
(c) Recusal. Upon the motion of a party, or upon the Judge's own
initiative, a Judge will promptly recuse himself or herself from
further participation in a case whenever disqualification is
appropriate due to conflict of interest, bias, or some other
significant reason. A denial of a motion for recusal may be immediately
appealed to the AA/OHA, or to the Administrative Law Judge if the AA/
OHA is the Judge, but that appeal will not stay proceedings in the
case.
Sec. 134.219 Sanctions.
A Judge may impose appropriate sanctions, except for fees, costs,
or monetary penalties, which he or she deems necessary to serve the
ends of justice, if a party or its attorney:
(a) Fails to comply with an order of the Judge;
(b) Fails to comply with the rules set forth in this part;
(c) Acts in bad faith or for purposes of delay or harassment;
(d) Submits false statements knowingly, recklessly, or with
deliberate disregard for the truth; or
(e) Otherwise acts in an unethical or disruptive manner.
Sec. 134.220 Prohibition against ex parte communications.
No person shall consult or communicate with a Judge concerning any
fact, question of law, or SBA policy relevant to the merits of a case
before that Judge except on prior notice to all parties, and with the
opportunity for all parties to participate. In the event of such
prohibited consultation or communication, the Judge will disclose the
occurrence in accordance with 5 U.S.C. 557(d)(1), and may impose such
sanctions as he or she deems appropriate.
Sec. 134.221 Prehearing conferences.
Prior to a hearing, the Judge, at his or her own initiative, or
upon the motion of any party, may direct the parties or their attorneys
to appear, by telephone or in person, in order to consider any matter
which may assist in the efficient, prompt, and fair determination of
the case. The conference may be recorded verbatim at the discretion of
the Judge, and, if so, a party may purchase a transcript, at its own
expense, from the recording service.
Sec. 134.222 Oral hearing.
(a) Availability. A party may obtain an oral hearing only if:
(1) It is required by regulation; or
(2) Following the motion of a party, or at his or her own
initiative, the Judge orders an oral hearing upon concluding that there
is a genuine dispute as to a material fact that cannot be resolved
except by the taking of testimony and the confrontation of witnesses;
or
(3) In 8(a) program appeals other than those involving suspensions,
the requirements of Sec. 124.210 of this chapter are met.
(b) Place and time. The place and time of oral hearings is within
the discretion of the Judge, who shall give due regard to the necessity
and convenience of the parties, their attorneys, and witnesses. The
Judge may direct that an oral hearing be conducted by telephone.
(c) Public access. Unless otherwise ordered by the Judge, all oral
hearings are public.
(d) Payment of subpoenaed witnesses. A party which obtains a
witness' presence at an oral hearing by subpoena, must pay to that
witness the fees and mileage costs to which the witness would be
entitled in Federal Court.
(e) Recording. Oral hearings will be recorded verbatim. A
transcript of a
[[Page 2687]]
recording may be purchased by a party, at its own expense, from the
recording service.
Sec. 134.223 Evidence.
(a) Federal Rules of Evidence. Unless contrary to a particular rule
in this part, or an order of the Judge, the Federal Rules of Evidence
will be used as a general guide in all cases before OHA.
(b) Hearsay. Hearsay evidence is admissible if it is deemed by the
Judge to be relevant and reliable.
Sec. 134.224 Standards for decision.
The decision of a Judge will be based upon a preponderance of the
evidence.
Sec. 134.225 The record.
(a) Contents. The record of a case before OHA will consist of all
pleadings, motions, and other non-evidentiary submissions, all admitted
evidence, all orders and decisions, and any transcripts of proceedings
in the case.
(b) Public access. Except for information subject to a protective
order, proprietary or confidential information withheld in accordance
with this part, or any other information which is excluded from
disclosure by law or regulation, the record will be available at OHA
for public inspection during normal business hours. Copies of the
documents available for public inspection may be obtained by the public
upon payment of any duplication charges.
(c) Closure. The Judge will set the date upon which the pre-
decisional record of the case will be closed, and after which no
additional evidence or argument will be accepted.
Sec. 134.226 The decision.
(a) Contents. Following closure of the record, the Judge will issue
a decision containing findings of fact and conclusions of relevant law,
reasons for such findings and conclusions, and any relief ordered. The
contents of the record will constitute the exclusive basis for a
decision.
(b) Time limits. Decisions pertaining to the collection of debts
owed to SBA and the United States under the Debt Collection Act of 1982
and part 140 of this chapter must be rendered within 60 days after a
petition is filed.
(c) Service. OHA will serve a copy of all written decisions on:
(1) Each party, or, if represented by counsel, on its counsel; and
(2) SBA's General Counsel, or his or her designee, if SBA is not a
party.
Sec. 134.227 Finality of decisions.
(a) Final decisions. A decision on the merits shall be a final
decision, upon issuance, in proceedings concerning the collection of
debts owed to SBA and the United States, under the Debt Collection Act
of 1982 and part 140 of this chapter.
(b) Initial decisions. All decisions on the merits other than those
set forth in paragraph (a) of this section are initial decisions.
However, unless a request for review is filed pursuant to
Sec. 134.228(a), an initial decision shall become the final decision of
SBA 30 days after its issuance.
Sec. 134.228 Review of initial decisions.
(a) Request for review. Within 30 days after the service of an
initial decision, any party, or SBA's Office of General Counsel, may
serve and file with OHA a request for review. A request for review must
set forth the filing party's specific objections to the initial
decision, and any alleged support for those objections in the record,
or in case law, statute, regulation, or SBA policy. A party must serve
its request for review upon all other parties and upon SBA's Office of
General Counsel.
(b) Response. Within 20 days after the service of a request for
review, any party, or SBA's Office of General Counsel, may serve and
file with OHA a response. A party must serve its response upon all
other parties and upon SBA's Office of General Counsel.
(c) Transfer of the record. Upon receipt of all responses, or 30
days after the filing of a request for review, whichever is earlier,
OHA will transfer the record of the case to the Administrator. The
Administrator, or his or her designee, will then review the record.
(d) Standard of review. Upon review, the Administrator, or his or
her designee, will sustain the initial decision unless it is based on
an erroneous finding of fact or an erroneous interpretation or
application of case law, statute, regulation, or SBA policy.
(e) Order. The Administrator, or his or her designee, will:
(1) Affirm, reverse, or modify the initial decision, which
determination will become the final decision of the SBA upon issuance;
or
(2) Remand the initial decision to the Judge for appropriate
further proceedings.
Sec. 134.229 Termination of jurisdiction.
The jurisdiction of OHA will terminate upon the issuance of a
decision by a Judge resolving all material issues of fact and law
unless the case is subsequently remanded for appropriate further
proceedings, pursuant to Sec. 134.228(e)(2).
Subpart C--Rules of Practice for Appeals From Size Determinations
and SIC Code Designations
Sec. 134.301 Scope of the rules in this subpart C.
The rules of practice in this subpart C apply to all appeals to OHA
from:
(a) Formal size determinations made by an SBA Government
Contracting Area Office, under part 121 of this chapter, or by a
Disaster Area Office, in connection with applications for disaster
loans; and
(b) SIC code designations, pursuant to part 121 of this chapter.
Sec. 134.302 Who may appeal.
Appeals from size determinations and SIC code designations may be
filed with OHA by the following, as applicable:
(a) Any person adversely affected by a size determination;
(b) Any person adversely affected by a SIC code designation.
However, with respect to an 8(a) contract, only the Associate
Administrator for Minority Enterprise Development may appeal a SIC code
designation;
(c) The Associate or Assistant Administrator for the SBA program
involved, through SBA's Office of General Counsel; or
(d) The procuring agency contracting officer responsible for the
procurement affected by a size determination.
Sec. 134.303 No absolute right to an appeal from a size determination.
It is within the discretion of the Judge whether to accept an
appeal from a size determination. If the Judge decides not to consider
such an appeal, he or she will issue an order denying review, and
specifying the reasons for the decision.
Sec. 134.304 Commencement of appeals from size determinations and SIC
code designations.
(a) Appeals from size determinations and SIC code designations must
be commenced by serving and filing an appeal petition as follows:
(1) If appeal is from a size determination in a pending procurement
or pending Government property sale, then the appeal petition must be
served and filed within 15 days after service of the size
determination;
(2) If appeal is from a size determination other than one in a
pending procurement or pending Government property sale, then the
appeal petition must be served and filed within 30 days after service
of the size determination;
(3) If appeal is from a SIC code designation, then the appeal
petition must be served and filed within 10 days after the issuance of
the initial
[[Page 2688]]
invitation for bids or initial request for proposals or quotations.
(b) An untimely appeal will be dismissed. However, an appeal which
is untimely under paragraph (a)(1) of this section, with respect to a
pending procurement or sale, may, if timely under paragraph (a)(2) of
this section, proceed with respect to future procurements or sales.
Sec. 134.305 The appeal petition.
(a) Form. There is no required format for an appeal petition.
However, it must include the following information:
(1) The Area Office which issued the size determination, or the
contracting office which designated the SIC code;
(2) The solicitation or contract number, and the name, address, and
telephone number of the contracting officer;
(3) A full and specific statement as to why the size determination
or SIC code designation is alleged to be in error, together with
argument supporting such allegations; and
(4) The name, address, telephone number, and signature of the
appellant or its attorney.
(b) Service of size determination appeals. The appellant must serve
the appeal petition upon each of the following:
(1) The SBA official who issued the size determination;
(2) The contracting officer responsible for the procurement
affected by a size determination;
(3) The business concern whose size status is at issue;
(4) All persons who filed protests; and
(5) SBA's Office of General Counsel.
(c) Service of SIC appeals. The appellant must serve the
contracting officer who made the SIC code designation.
(d) Certificate of service. The appellant must attach to the appeal
petition a signed certificate identifying each person or governmental
agency which was served with the notice of appeal, and how and when
each of those persons or governmental agencies was served.
(e) Dismissal. An appeal petition which does not contain all of the
information required in paragraph (a) of this section may be dismissed,
with or without prejudice, by the Judge at his or her own initiative,
or upon motion of a respondent.
Sec. 134.306 Transmission of the case file.
Upon receipt of an appeal petition pertaining to a size
determination, the Area Office which issued the size determination must
immediately send to OHA the entire case file relating to that
determination. Upon receipt of an appeal petition pertaining to a SIC
code designation, the contracting officer who designated the SIC code
must immediately send to OHA the solicitation relating to that
designation.
Sec. 134.307 Service and filing requirements.
The provisions of Sec. 134.204 apply to the service and filing of
all pleadings and other submissions permitted under this subpart.
Sec. 134.308 Limitation on new evidence and adverse inference from
non-submission in appeals from size determinations.
(a) Evidence not previously presented to the Area Office which
issued the size determination being appealed will not be considered by
a Judge unless:
(1) The Judge, on his or her own initiative, orders the submission
of such evidence; or
(2) A motion is served and filed establishing good cause for the
submission of such evidence.
(b) If the submission of evidence is ordered by a Judge, and the
party in possession of that evidence does not submit it, the Judge may
draw adverse inferences against that party.
Sec. 134.309 Response to an appeal petition.
(a) Who may respond. Any person served with an appeal petition, or
any other interested person, may serve and file a response supporting
or opposing the appeal. The response should present argument.
(b) Time limits. Unless otherwise specified by the Judge, a
respondent must serve and file a response within 10 days after service
of the appeal petition upon it.
(c) Service. The respondent must serve its response upon the
appellant and upon each of the persons identified in the certificate of
service attached to the appeal petition pursuant to Sec. 134.305.
(d) Reply to a response. No reply to a response will be permitted
unless the Judge directs otherwise.
Sec. 134.310 Discovery.
Discovery will not be permitted in appeals from size determinations
or SIC code designations.
Sec. 134.311 Oral hearings.
Oral hearings will not be held in appeals from SIC code
designations, and will be held in appeals from size determinations only
upon a finding by the Judge of extraordinary circumstances. If such an
oral hearing is ordered, the proceeding shall be conducted in
accordance with those rules of subpart B of this part as the Judge
deems appropriate.
Sec. 134.312 Evidence.
To the extent the rules in this subpart permit the submission of
evidence, the provisions of Sec. 134.223 (a) and (b) apply.
Sec. 134.313 Applicability of subpart B provisions.
The following sections from subpart B of this part apply to an
appeal under this subpart C: Sec. 134.207(a) (pertaining to amendments
to pleadings); Sec. 134.208 (Representation in cases before OHA);
Sec. 134.209 (Requirement of signature); Sec. 134.210 (Intervention);
Sec. 134.211 (Motions); Sec. 134.214 (Subpoenas); Sec. 134.218
(Judges); Sec. 134.219 (Sanctions); and Sec. 134.220 (Prohibition
against ex parte communications).
Sec. 134.314 Standard of review.
The standard of review is whether the size determination or SIC
code designation was based on clear error of fact or law.
Sec. 134.315 The record.
Where relevant, the provisions of Sec. 134.225 (a), (b), and (c)
apply. In an appeal under this subpart, the contents of the record also
include the case file or solicitation submitted to OHA in accordance
with Sec. 134.306.
Sec. 134.316 The decision.
(a) Contents. Following closure of the record, the Judge will issue
a decision containing findings of fact and conclusions of law, reasons
for such findings and conclusions, and any relief ordered.
(b) Finality. The decision is the final decision of the SBA and
becomes effective upon issuance.
(c) Service. OHA will serve a copy of all written decisions on:
(1) Each party, or, if represented by counsel, on its counsel; and
(2) SBA's General Counsel, or his or her designee, if SBA is not a
party.
Sec. 134.317 Termination of jurisdiction.
The jurisdiction of OHA will terminate upon the issuance of a
decision.
Sec. 134.318 Return of the case file.
Upon termination of jurisdiction, OHA will return the case file to
the transmitting Area Office. The remainder of the record will be
retained by OHA.
Subpart D--Implementation of the Equal Access to Justice Act
Sec. 134.401 What is the purpose of this subpart?
The Equal Access to Justice Act, 5 U.S.C. 504, establishes
procedures by which prevailing parties in certain
[[Page 2689]]
administrative proceedings may apply for reimbursement of fees and
other expenses. Eligible parties may receive awards when they prevail
over SBA, unless SBA's position in the proceeding was ``substantially
justified'' or, as provided in Sec. 134.405(b), special circumstances
make an award unjust. The rules of this subpart explain which OHA
proceedings are covered, who may be eligible for an award of fees and
expenses, and how to apply for such an award.
Sec. 134.402 Under what circumstances may I apply for reimbursement?
You may apply for reimbursement under this subpart if you meet the
eligibility requirements in Sec. 134.406 and you prevail over SBA in a
final decision in:
(a) The type of administrative proceeding which qualifies as an
``adversary adjudication'' under Sec. 134.403; or
(b) An ancillary or subsidiary issue in that administrative
proceeding that is sufficiently significant and discrete to merit
treatment as a separate unit; or
(c) A matter which the agency orders to be determined as an
``adversary adjudication'' under 5 U.S.C. 554.
Sec. 134.403 What is an adversary adjudication?
For purposes of this subpart, adversary adjudications are
administrative proceedings before OHA which involve SBA as a party and
which are required to be conducted by an Administrative Law Judge
(``ALJ''). These adjudications (``administrative proceedings'') include
those proceedings listed in Sec. 134.102 (a), (i), and (j)(1), but do
not include other OHA proceedings such as those listed in
Sec. 134.102(k). In order for an administrative proceeding to qualify,
SBA must have been represented by counsel or by another representative
who enters an appearance and participates in the proceeding.
Sec. 134.404 What benefits may I claim?
You may seek reimbursement for certain reasonable fees and expenses
incurred in prosecuting or defending a claim in an administrative
proceeding.
Sec. 134.405 Under what circumstances are fees and expenses
reimbursable?
(a) If you are a prevailing eligible party, you may receive an
award for reasonable fees and expenses unless the position of the
agency in the proceeding is found by the ALJ to be ``substantially
justified'', or special circumstances exist which make an award unjust.
The ``position of the agency'' includes not only the position taken by
SBA in the administrative proceeding, but also the position which it
took in the action which led to the administrative proceeding. No
presumption arises that SBA's position was not substantially justified
simply because it did not prevail in a proceeding. However, upon your
assertion that the position of SBA was not substantially justified, SBA
will be required to establish that its position was reasonable in fact
and law.
(b) The ALJ may reduce or deny an award for reimbursement if you
have unreasonably protracted the administrative proceeding or if other
special circumstances would make the award unjust.
(c) Awards for fees and expenses incurred before the date on which
an administrative proceeding was initiated are allowable only if you
can demonstrate that they were reasonably incurred in preparation for
the proceeding.
Sec. 134.406 Who is eligible for possible reimbursement?
(a) You are eligible for possible reimbursement if:
(1) You are an individual, owner of an unincorporated business,
partnership, corporation, association, organization, or unit of local
government; and
(2) You are a party, as defined in 5 U.S.C. 551(3); and
(3) You are the prevailing party; and
(4) You meet certain net worth and employee eligibility
requirements set forth in Sec. 134.407.
(b) You are not eligible for possible reimbursement if you
participated in the administrative proceeding only on behalf of persons
or entities that are ineligible.
Sec. 134.407 How do I know which eligibility requirement applies to
me?
Follow this chart to determine your eligibility. You should
calculate your net worth and the number of your employees as of the
date the administrative proceeding was initiated.
----------------------------------------------------------------------------------------------------------------
If your participation in the proceeding was: Eligibility requirements:
----------------------------------------------------------------------------------------------------------------
(1) As an individual rather than a business owner...... (1) Personal net worth may not exceed 2 million
dollars.
(2) As owner of an unincorporated business............. (2) Personal net worth may not exceed 7 million
dollars, and
No more than 500 employees.
(3) As a partnership, corporation, association, (3) Business net worth may not exceed 7 million
organization, or unit of local government. dollars, and
No more than 500 employees.
(4) As a charitable or other tax-exempt organization (4) No net worth limitations, and
described in 26 U.S.C. 501(c)(3) or a cooperative No more than 500 employees.
association as defined in 12 U.S.C. 1141j(a).
----------------------------------------------------------------------------------------------------------------
Sec. 134.408 What are the special rules for calculating net worth and
number of employees?
(a) Your net worth must include the value of any assets disposed of
for the purpose of meeting an eligibility standard, and must exclude
any obligation incurred for that purpose. Transfers of assets, or
obligations incurred, for less than reasonably equivalent value will be
presumed to have been made for the purpose of meeting an eligibility
standard.
(b) If you are an owner of an unincorporated business, or a
partnership, corporation, association, organization, or unit of local
government, your net worth must include the net worth of all of your
affiliates. ``Affiliates'' are:
(1) Corporations or other business entities which directly or
indirectly own or control a majority of the voting shares or other
ownership interests in the applicant concern; and
(2) Corporations or other business entities in which the applicant
concern directly or indirectly owns or controls a majority of the
voting shares or other ownership interests.
(c) Your employees include all those persons regularly working for
you at the time the administrative proceeding was initiated, whether or
not they were at work on that date. Part-time employees must be
included on a proportional basis. You must include the employees of all
your affiliates in your total number of employees.
Sec. 134.409 What is the difference between a fee and an expense?
A fee is a charge to you for the professional services of
attorneys, agents, or expert witnesses rendered in connection with your
case. An expense
[[Page 2690]]
is the cost to you of any study, analysis, engineering report, test,
project, or similar matter prepared in connection with your case.
Sec. 134.410 Are there limitations on reimbursement for fees and
expenses?
(a) Awards will be calculated on the basis of fees and expenses
actually incurred. If services were provided by one or more of your
employees, or were made available to you free, you may not seek an
award for those services. If services were provided at a reduced rate,
fees and expenses will be calculated at that reduced rate.
(b) In determining the reasonableness of the fees for attorneys,
agents or expert witnesses, the ALJ will consider at least the
following:
(1) That provider's customary fee for like services;
(2) The prevailing rate for similar services in the community in
which that provider ordinarily performs services;
(3) The time actually spent in representing you; and
(4) The time reasonably spent in light of the difficulty and
complexity of the issues.
(c) An award for the fees of an attorney or agent may not exceed
$75 per hour, and an award for the fees of an expert witness may not
exceed $25 per hour, regardless of the rate charged.
(d) An award for the reasonable cost of any study, analysis,
engineering report, test, project or similar matter prepared on your
behalf may not exceed the prevailing rate payable for similar services,
and you may be reimbursed only if the study or other matter was
necessary to the preparation of your case.
Sec. 134.411 What should I include in my application for an award?
(a) Your application must be in the form of a written petition
which is served and filed in accordance with Sec. 134.204. It must
contain the following information:
(1) A statement that OHA has jurisdiction over the case pursuant to
Sec. 134.102(g);
(2) Identification of the administrative proceeding for which you
are seeking an award;
(3) A statement that you have prevailed, and a list of each issue
in which you claim the position of SBA was not substantially justified;
(4) Your status as an individual, owner of an unincorporated
business, partnership, corporation, association, organization, or unit
of local government;
(5) Your net worth and number of employees as of the date the
administrative proceeding was initiated, or a statement that one or
both of these eligibility requirements do not apply to you;
(6) The amount of fees and expenses you are seeking, along with the
invoice or billing statement from each service provider;
(7) A description of any affiliates (as that term is defined in
Sec. 134.408), or a statement that no affiliates exist;
(8) A statement that the application and any attached statements
and exhibits are true and complete to the best of your knowledge and
that you understand a false statement on these documents is a felony
punishable by fine and imprisonment under 18 U.S.C. 1001; and
(9) (i) Your name and address;
(ii) Your signature, or the signature of either a responsible
official or your attorney; and
(iii) The address and telephone number of the person who signs the
application.
(b) You should follow this chart to determine which further
documents must be included with your application:
----------------------------------------------------------------------------------------------------------------
Party Required documents
----------------------------------------------------------------------------------------------------------------
(1) Individual, owner of unincorporated business, (1) Net worth exhibit.
partnership, corporation, association, organization,
or unit of local government.
(2) Organization qualified as tax-exempt under 26 (2) Copy of a ruling by the Internal Revenue Service
U.S.C. 501(c)(3). that you qualify as a 501(c)(3) organization or
Statement that you were listed in the current edition
of IRS Bulletin 78 as of the date the administrative
proceeding was initiated.
(3) Tax-exempt religious organization not required to (3) Description of your organization and the basis for
obtain a ruling from the Internal Revenue Service on your belief you are exempt.
its exempt status.
(4) Cooperative association as defined in 12 U.S.C. (4) Copy of your charter or articles of incorporation,
1141j(a). and
Copy of your bylaws.
----------------------------------------------------------------------------------------------------------------
Sec. 134.412 What must a net worth exhibit contain?
(a) A net worth exhibit may be in any format, but it must contain:
(1) List of all assets and liabilities for you and each affiliate
in detail sufficient to show your eligibility;
(2) Aggregate net worth for you and all affiliates; and
(3) Description of any transfers of assets from, or obligations
incurred by, you or your affiliates within one year prior to the
initiation of the administrative proceeding which reduced your net
worth below the eligibility ceiling, or a statement that no such
transfers occurred.
(b) The net worth exhibit must be filed with your application, but
will not be part of the public record of the proceeding. Further, in
accordance with the provisions of Sec. 134.204(g), you need not serve
your net worth exhibit on other parties.
Sec. 134.413 What documentation do I need for fees and expenses?
You must submit a separate itemized statement or invoice for the
services of each provider for which you seek reimbursement. Each
separate statement or invoice must contain:
(a) The hours worked in connection with the proceeding by each
provider supplying a billable service;
(b) A description of the specific services performed by each
provider;
(c) The rate at which fees were computed for each provider;
(d) The total charged by the provider on that statement or invoice;
and
(e) The provider's verification that the statement or invoice is
true to the best of his or her knowledge and that he or she understands
that a false statement is punishable by fine and imprisonment under 18
U.S.C. 1001.
Sec. 134.414 What deadlines apply to my application for an award and
where do I send it?
After you have prevailed in an administrative proceeding or in a
discrete issue therein, you must serve, and file with OHA, your written
application for an award, and its attachments, no later than 30 days
after the decision in the administrative proceeding becomes final under
Sec. 134.227. The deadline for filing an application for an award may
not be extended. If SBA or another party requests review of the
decision in the underlying administrative proceeding,
[[Page 2691]]
your request for an award for fees and expenses may still be filed, but
it will not be considered by the ALJ until a final decision is
rendered.
Sec. 134.415 How will proceedings relating to my application for fees
and expenses be conducted?
Proceedings will be conducted in accordance with the provisions in
subpart B of this part.
Sec. 134.416 How will I know if I receive an award?
The ALJ will issue an initial decision on the merits of your
request for an award which will become final in 30 days unless a
request for review is filed under Sec. 134.228. The decision will
include findings on your eligibility, on whether SBA's position was
substantially justified, and on the reasonableness of the amount you
requested. Where applicable, there will also be findings on whether you
have unduly protracted the proceedings or whether other circumstances
make an award unjust, and an explanation of the reason for the
difference, if any, between the amount requested and the amount
awarded. If you have sought an award against more than one federal
agency, the decision will allocate responsibility for payment among the
agencies with appropriate explanation.
Sec. 134.417 May I seek review of the ALJ's decision on my award?
You may request review of the ALJ's decision on your award by
filing a request for review in accordance with Sec. 134.228. You may
seek judicial review of a final decision as provided in 5 U.S.C.
504(c)(2).
Sec. 134.418 How are awards paid?
If you are seeking payment of an award, you must submit a copy of
the final decision, along with your certification that you are not
seeking judicial review of either the decision in the adversary
adjudication, or of the award, to the following address: Chief
Financial Officer, Office of Financial Operations, SBA, P.O. Box 205,
Denver, CO 80201-0205. SBA will pay you the amount awarded within 60
days of receipt of your request unless it is notified that you or
another party has sought judicial review of the underlying decision or
the award.
PART 132--[REMOVED]
2. Part 132 is hereby removed.
PARTS 112, 113, 124, and 136--[AMENDED]
3. In accordance with the list below, for each section indicated in
the left column, remove the reference indicated in the middle column
from wherever it appears in the section, and add in its place the
reference in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
112.11(b)....................... 134.34............ 134.228
112.11(b)....................... 134.19............ 134.222
112.11(b)....................... 134.21............ 134.211
112.11(c)....................... 134.32(b)......... 134.227(b)
113.7(b)........................ 134.34............ 134.228
113.7(b)........................ 134.19............ 134.222
113.7(b)........................ 134.21............ 134.211
113.7(c)........................ 134.32(b)......... 134.227(b)
124.210(b)...................... 134.11(a)......... 134.203(a)
124.210(d)(2)................... 134.12............ 134.202
124.211(g)...................... 134.19............ 134.222
136.170(j)(2)................... 134.34(a)......... 134.228(a)
136.170(j)(2)................... 134.34(b)......... 134.228(a)
136.170(j)(2)................... 134.32(b)(3)...... 134.227(b)
------------------------------------------------------------------------
Philip Lader,
Administrator.
[FR Doc. 96-1158 Filed 1-26-96; 8:45 am]
BILLING CODE 8025-01-P
Complete official Federal Register PDF
FR Doc. 96-1140 Amendment of FIRMR Provisions To Modify Requirements for Obtaining Delegations of Procurement Authority
[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2723-2725]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1140]
=======================================================================
-----------------------------------------------------------------------
GENERAL SERVICES ADMINISTRATION
41 CFR Parts 201-20 and 201-24
[FIRMR Interim Rule 2, Supplement 1]
RIN 3090-AE 71
Amendment of FIRMR Provisions To Modify Requirements for
Obtaining Delegations of Procurement Authority
AGENCY: Information Technology Service, GSA.
[[Page 2724]]
ACTION: Interim rule with request for comments.
-----------------------------------------------------------------------
SUMMARY: This change to the Federal Information Resources Management
Regulation (FIRMR) revises policies regarding delegations of
procurement authority from GSA for the acquisition of Federal
information processing (FIP) resources. In a FIRMR rule change issued
October 24, 1994, GSA established three tiers of regulatory thresholds
for information technology resources: $20 million, $10 million, and $5
million based on the size of an agency's information technology budget
and its management record. In letters to all Federal agencies dated
June 19, 1995, GSA granted specific agency delegations of procurement
authority of $100 million to each agency. This rule change codifies
that higher delegation authority by establishing $100 million as the
regulatory threshold for agency acquisitions of FIP resources. This
change is made in continuation of a long term GSA trend to place
greater authority in the hands of the operating agencies. The higher
threshold will allow agencies to assume greater responsibility for
their acquisitions while allowing GSA to focus on larger, more complex
acquisitions. In addition to increasing the dollar amount of regulatory
delegations thresholds, this interim rule strongly encourages agency
Designated Senior Officials (DSO's) to redelegate a minimum of 25
percent of GSA's exclusive procurement authority for FIP resources to
qualified officials at other levels, and changes the approving
authority for exceptions to the use of GSA's consolidated local
telecommunications service.
DATES: This amendment is effective immediately upon publication.
Comments will be considered in the final rule, but must be received on
or before February 28, 1996.
FOR FURTHER INFORMATION CONTACT:
Doris Farmer, GSA/MKR, FTS/Commercial (202) 501-0960 (v), Internet
([email protected]), or (202) 501-0657 (tdd).
SUPPLEMENTARY INFORMATION: (1) This interim rule enables GSA to focus
on high dollar, high risk agency information technology acquisitions.
It provides more authority to agencies, while continuing to require
increased measures of accountability and outcomes. The increased
authority allows agencies to further streamline their internal
acquisition management and review functions. It also promotes
improvements in early agency planning and analysis of business
processes that may be improved through the use of information
technology. (2) An explanation of the changes being made follows:
(a) Subsection 201-20.305(a) is amended to encourage DSO's to
redelegate a minimum of 25 percent of the monetary value of GSA's
delegated procurement authority to other qualified agency officials at
lower organizational levels where sufficient expertise exists. Such
redelegations will further expedite FIP acquisitions and provide for a
more efficient process. DSO's who elect not to redelegate at least 25
percent, or who withdraw earlier delegations, must advise GSA in
writing of the circumstances that will not allow redelegation and the
management action being taken to allow such redelegation in the future.
This change greatly increases the authority granted agencies in Interim
Rule 2, which stated that agencies could only redelegate a maximum of
50 percent of their delegated authority.
(b) Subsection 201-20.305-1 is amended to establish a new
regulatory delegation of procurement authority of $100 million for
acquiring FIP resources without prior approval from GSA. This dollar
threshold also applies to specific make and model requirements and
requirements available from only one source.
(c) Subsection 201-24.102(c)(2) is amended to inform agencies to
submit requests for exceptions to the use of consolidated local
telecommunications service directly to the Federal Telecommunications
Service (TT) for review.
(3) This rule was submitted to, and approved by, the Office of
Management and Budget in accordance with Executive Order 12866,
Regulatory Planning and Review.
(4) The recordkeeping provisions of the Paperwork Reduction Act do
not apply because the FIRMR changes do not impose information
collection requirements or collection of information from offerors,
contractors, or members of the public which require the approval of OMB
under 44 U.S.C. 3501 et seq.
List of Subjects in 41 CFR Parts 201-20 and 201-24
Archives and records, Computer technology, Federal information
processing resources activities, Government procurement, Property
management, Records management, and Telecommunications.
For the reasons set forth in the preamble, GSA is amending 41 CFR
Parts 201-20 and 201-24 as follows:
PART 201-20--ACQUISITION
1. The authority citation for part 201-20 continues to read as
follows:
Authority: 40 U.S.C. 486(c) and 751(f).
2. Section 201-20.305 is amended by revising paragraphs (a)(3) and
(a)(5) as follows:
Sec. 201-20.305 Delegation of GSA's exclusive procurement authority.
* * * * *
(3) The agency's DSO should redelegate, at a minimum, 25 percent of
the monetary value of GSA's delegated exclusive authorities for FIP
resources to qualified officials possessing the expertise to conduct
and manage FIP acquisitions.
* * * * *
(5) DSO's who elect not to redelegate at least 25 percent of the
monetary value of the delegated authority, or who withdraw a
delegation, shall advise GSA/MKA, 18th and F Streets, NW., Washington,
DC 20405, in writing, of the circumstances involving such redelegations
and their plan regarding redelegations within the agency.
* * * * *
3. Section 201-20.305-1 is amended by revising paragraphs (a)(1)
introductory text and (a)(3) introductory text, as follows:
Sec. 201-20.305-1 Regulatory delegations.
(a) * * *
(1) FIP equipment, software, services, and support services when
the total estimated dollar value of all of the FIP resources to be
acquired under the contract, including all optional items and all
option periods, does not exceed $100 million, and if either paragraph
(a)(1) (i), (ii) or (iii) of this section applies:
* * * * *
(3) Use or acquisition of FIP resources from the following GSA
contracting programs do not require delegations of procurement
authority from GSA:
* * * * *
PART 201-24--GSA SERVICES AND ASSISTANCE
1. The authority citation for part 201-24 continues to read as
follows:
Authority: 40 U.S.C. 486(c) and 751(f).
2. Section 201-24.102 is amended by revising paragraph (c)(2) as
follows:
Sec. 201-24.102 Consolidated local telecommunications service.
* * * * *
(c) * * *
(2) Agencies shall submit requests for exceptions to the use of
consolidated
[[Page 2725]]
local telecommunications services to: GSA, Federal Telecommunications
Service (TT), 1730 M Street, NW., Suite 200, Washington, DC 20036.
* * * * *
Dated: October 11, 1995.
Roger W. Johnson,
Administrator of General Services.
[FR Doc. 96-1140 Filed 1-26-96; 8:45 am]
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